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Article
Publication date: 5 September 2016

Mark Srere and Jennifer Mammen

To analyze the recent Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) whistleblower awards and to evaluate what issues may be important…

69

Abstract

Purpose

To analyze the recent Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) whistleblower awards and to evaluate what issues may be important for in-house counsel in the future.

Design/methodology/approach

The article discusses the most recent whistleblower settlements and focuses on lessons learned for compliance.

Findings

The SEC continues to publicize substantial whistleblower awards in an effort to attract additional whistleblowers and gather information that may lead to successful enforcement actions. In addition, the CFTC, whose corresponding Whistleblower Program has been slow to issue awards has announced that it is ramping up its program.

Practical implications

Companies should ensure that they have vigorous compliance programs in place to prevent and detect potential securities violations and to respond immediately in order to mitigate penalties that may result from inadvertent violations.

Originality/value

This article identifies recent awards issued under Whistleblower Programs created under the Dodd-Frank Act and should be of interest to publicly traded companies and all entities regulated by the SEC and CFTC that may be targeted by potential whistleblowers.

Details

Journal of Investment Compliance, vol. 17 no. 3
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 5 May 2015

Mark Srere, Mary Beth Buchanan, Elaine Koch, Jennifer Mammen and Tyson A. Johnson

– To highlight the first award granted under the US Securities and Exchange Commission Whistleblower Program to a compliance professional.

230

Abstract

Purpose

To highlight the first award granted under the US Securities and Exchange Commission Whistleblower Program to a compliance professional.

Design/methodology/approach

Explains the first award issued to a compliance professional under the SEC’s Whistleblower program and the rules for issuing such an award.

Findings

The SEC has emphasized this award to a compliance professional, noting that individuals performing compliance, audit, and legal functions are on the front lines against fraud and corruption and are often privy to the very kinds of specific, timely, and credible information that can prevent an imminent fraud or stop an ongoing fraud. The SEC’s specific courting of compliance and audit personnel makes it even more important for companies to pay particular attention to complaints raised by those individuals.

Practical implications

Companies should continue to take steps to ensure that they have vigorous compliance programs in place to detect potential issues and to respond immediately and effectively to internally reported information.

Originality/value

Practical guidance from experienced regulatory and employment lawyers.

Details

Journal of Investment Compliance, vol. 16 no. 1
Type: Research Article
ISSN: 1528-5812

Keywords

Available. Content available
Article
Publication date: 5 May 2015

Henry A Davis

132

Abstract

Details

Journal of Investment Compliance, vol. 16 no. 1
Type: Research Article
ISSN: 1528-5812

Available. Content available
Book part
Publication date: 16 June 2017

Abstract

Details

Walking
Type: Book
ISBN: 978-1-78714-628-0

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Book part
Publication date: 16 June 2017

Corinne Mulley, Klaus Gebel and Ding Ding

Abstract

Details

Walking
Type: Book
ISBN: 978-1-78714-628-0

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Book part
Publication date: 16 June 2017

Abstract

Details

Walking
Type: Book
ISBN: 978-1-78714-628-0

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Case study
Publication date: 30 November 2023

Moumita Sharma and Pallavi Srivastava

This case study attempts to sensitize the impact of restructuring on the organization’s employer brand. The students shall learn to appreciate the criticality of maintaining a…

Abstract

Learning outcomes

This case study attempts to sensitize the impact of restructuring on the organization’s employer brand. The students shall learn to appreciate the criticality of maintaining a balance between being an employee-centric organization and building a sustainable business model, to analyze the alternative people management strategies in emerging start-ups.

Case overview/synopsis

This case study illustrates the innovative human resource (HR) policies adopted by the start-up Meesho. Meesho was started as “Fashnear” by two Indian Institute of Technology graduates Sanjeev Barnwal and Vidit Aatrey in the year 2015, with the headquarters located in Bengaluru, Karnataka, India. It was a social commerce platform wherein the local apparel sellers or manufacturers could register themselves on the app and sell their products online to nearby consumers and the product would be delivered to their homes. Later, it was renamed Meesho (Meri E-Shop) with an improved business model. The innovative people-centric policies got Meesho recognition as one of the most employee-friendly start-ups and an innovative employer. However, later as part of the restructuring exercise, it had to lay off employees, which had a counter impact on its reputation and image as a desirable employer. This case study captures the dilemma faced by start-ups like Meesho who were in the process of sustaining their growth and optimizing their workforce and, at the same time, have to manage their employer brand in the process.

Complexity academic level

This case study can be used at the postgraduate level of management and in executive management programs.

Supplementary material

Teaching notes are available for educators only.

Subject code

CSS6: Human resource management.

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Article
Publication date: 16 October 2024

Marissa Bird, James Shaw, Christopher D. Brinton, Vanessa Wright and Carolyn Steele Gray

A synthesis of integrated care models classified by their aims and central characteristics does not yet exist. We present a collection of five “archetypes” of integrated care…

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Abstract

Purpose

A synthesis of integrated care models classified by their aims and central characteristics does not yet exist. We present a collection of five “archetypes” of integrated care, defined by their aims, to facilitate model comparison and dialogue.

Design/methodology/approach

We used a purposive literature search and expert consultation strategy to generate five archetypes. Data were extracted from included articles to describe the characteristics and defining features of integrated care models.

Findings

A total of 25 examples of integrated care models (41 papers) were included to generate five archetypes of integrated care. The five archetypes defined include: (1) whole population models, (2) life stage models, (3) disease-focused models, (4) identity group-based models and (5) equity-focused models.

Research limitations/implications

The five presented archetypes offer a conceptual framework for academics, health system decision makers and patients, families, and communities seeking to develop, adapt, investigate or evaluate models of integrated care.

Originality/value

Two cross-cutting themes were identified, including (1) minimal reporting of patient, caregiver and community engagement efforts in integrated care development, implementation and evaluation, and (2) the nuanced emphasis and implementation of electronic data sharing methods across archetypes, and the need for further definition of the role of these data sharing methods.

Details

Journal of Integrated Care, vol. 32 no. 4
Type: Research Article
ISSN: 1476-9018

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