Alec Koch, Russell G. Ryan and Laura K. Bennett
To provide analysis on several SEC enforcement actions of interest to broker-dealers and investment advisers.
Abstract
Purpose
To provide analysis on several SEC enforcement actions of interest to broker-dealers and investment advisers.
Design/methodology/approach
The article is organized chronologically based on the dates of the SEC enforcement actions discussed.
Findings
The SEC enforcement actions discussed in the article demonstrate that broker-dealers and investment advisers must maintain and enforce compliance and supervision policies and procedures reasonably designed to detect and prevent violations of the securities laws. When firm personnel commit violations (either intentionally or inadvertently), the SEC will evaluate whether firms could have been more effective in detecting and preventing those violations.Some of these cases also serve to remind firms that the SEC will often take enforcement action even when there is no evidence of customer harm.
Originality/value
Practical guidance from experienced securities lawyers that consolidates and analyzes several recent SEC enforcement actions.
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An increasing number of countries have introduced duties for public-sector organisations who, in addition to addressing discrimination, are now also required to promote equality…
Abstract
Purpose
An increasing number of countries have introduced duties for public-sector organisations who, in addition to addressing discrimination, are now also required to promote equality of opportunity between different groups. The purpose of this paper is to explore the limited progress of gender equality policies, through a study of the local implementation of equalities policies. The authors highlight the role of equalities leads in the public sector as local “agents of change”, and explore explanations of the implementation gap between policy and practice.
Design/methodology/approach
The paper reports on a small-scale qualitative study with equalities leads in the health sector in England. The study comprised semi-structured interviews with equalities leads from nine health organisations which were purposively selected to include a mix of areas and populations. The interviews focused on the leads’ backgrounds and their perceptions of barriers to their work.
Findings
The equalities leads had a range of experience prior to their current post, though most had little formal subject-specific training. They highlighted a number of barriers to effective implementation of gender equality strategies, including resource issues, the impact of organisational change, the increased the number of equalities they were expected to address, organisational perceptions that gender was no longer a priority and resistance to what are seen as “tick box” exercises.
Originality/value
The value of this paper is that it adds to the understanding of the challenges facing the implementation of gender equalities policies in the health sector, the reasons for these and the role of local policy implementers in the effectiveness of national equalities policies.
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Sri Rahayu Hijrah Hati and Aida Idris
The purpose of this paper is to examine the influence of extrinsic factors, namely, age, education, gender, marital status and income on customers’ intention to support Islamic…
Abstract
Purpose
The purpose of this paper is to examine the influence of extrinsic factors, namely, age, education, gender, marital status and income on customers’ intention to support Islamic social enterprises via donation. The paper also assesses the influence of religiosity on support intention (SI). The impact of customers’ perceptual reaction to the credibility of social enterprises’ advertising is also measured to assess its influence on SI.
Design/methodology/approach
A total of 214 completed questionnaires from online and offline surveys were analysed using several statistical analyses, including structural equation modelling, to assess the effects of the independent variables on SI.
Findings
The study found that customers’ socioeconomic status and religiosity have no significant influence on their intention to channel their donations via Islamic social enterprises. It is the social enterprises’ advertising which significantly influences their SI.
Research limitations/implications
The study focuses on an Islamic research context of social entrepreneurship. Thus, the results cannot be generalised directly to the non-Islamic social entrepreneurship context.
Practical implications
Findings of the study suggest that organisations should develop effective communication strategies through advertising to highlight organisational credibility as it plays an important role in shaping customers’ attitudes and intentions.
Originality/value
The study investigates the effects of marketing on customers’ SI. It also considers credibility, advertising, and the concept of branding in a context of social entrepreneurship, a concept that is still largely unexplored in the literature.
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Officially, of course, the world is now post-imperial. The Q’ing and Ottoman empires fell on the eve of World War I, and the last Leviathans of Europe's imperial past, the…
Abstract
Officially, of course, the world is now post-imperial. The Q’ing and Ottoman empires fell on the eve of World War I, and the last Leviathans of Europe's imperial past, the Austro-Hungarian and Tsarist empires, lumbered into the grave soon after. Tocsins of liberation were sounded on all sides, in the name of democracy (Wilson) and socialism (Lenin). Later attempts to remake and proclaim empires – above all, Hitler's annunciation of a “Third Reich” – now seem surreal, aberrant, and dystopian. The Soviet Union, the heir to the Tsarist empire, found it prudent to call itself a “federation of socialist republics.” Mao's China followed suit. Now, only a truly perverse, contrarian regime would fail to deploy the rhetoric of democracy.
Deborah S. Willis and Laura N. Schram
Recent research on graduate students’ diversity, equity and inclusion (DEI) socialization found that graduate colleges play a role in supporting graduate students’ DEI…
Abstract
Purpose
Recent research on graduate students’ diversity, equity and inclusion (DEI) socialization found that graduate colleges play a role in supporting graduate students’ DEI professional development (Perez et al., 2020), but more studies are needed about how graduate colleges facilitate DEI socialization. One graduate college at a large, selective, research-intensive, public university in the Midwestern US created a graduate certificate for professional development in DEI to expand graduate students’ capacities to contribute to inclusion and equity in higher education. The purpose of this multi-method program evaluation is to assess whether the certificate program created significant learning about DEI and developed intercultural competence among graduate students.
Design/methodology/approach
The authors rely on multiple methods to evaluate the impact of the professional development DEI certificate. First, the authors used the Intercultural Development Inventory (IDI) pre and postassessment to measure the growth of participants in the first three years of the program. Second, the authors designed a reflection tool to assess significant learning after each component of the program. Finally, we conducted focus groups with graduates of the program to understand what program components were most valuable for DEI-related significant learning.
Findings
The authors found that the DEI professional development program increased students’ intercultural competence as measured by the IDI. Students reported perceptions of significant learning in every domain of learning we assessed using a self-reflection tool and in focus groups.
Originality/value
To the best of the authors’ knowledge, this is the first study that demonstrates how graduate colleges contribute to DEI socialization by preparing graduate students to interact across differences and contribute to inclusive climates both within and beyond academe.
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Julia Brannen, Rebecca O’Connell and Kia Ditlevsen
This chapter contributes to the literature on domestic food provisioning and food insecurity in contemporary Europe, focusing on lone-parent households living with a disability or…
Abstract
This chapter contributes to the literature on domestic food provisioning and food insecurity in contemporary Europe, focusing on lone-parent households living with a disability or long-term health condition, either of a parent and/or a child, in the United Kingdom and Denmark. Taking a comparative case approach, it examines parents' strategies to achieve food security through practices of ‘domestic food provisioning’ that draw on resources within and outside the household. Taking account of the multiple layers of context in which provisioning practices are embedded, this chapter identifies factors or mechanisms that enhance or reduce food security for families living with a disability or long-term health condition. At the micro-level of food preparation, these families experience challenges including cooking and requirements for labour-saving equipment, providing meals that meet the needs of selective eaters (often children), the need to rely on their children's help and for outsourced domestic labour through buying ready-made foods. At the meso-level of procurement and ‘physical access’ to shops, transport is crucial, with households experiencing differences in service provision. At the macro-level of national welfare systems and ‘economic access’ to food, this chapter points to evidence that Britain provides insufficient financial provision for those with a disability or long-term health condition compared with Denmark, differences reflected in the depth and rates of poverty and food insecurity between these countries. However, as the cases in both countries demonstrate, welfare benefits provide insufficient financial resources to access adequate nutritious food or meet customary norms.
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Katie M. Brown and Sarah M. Brown
This chapter provides an analysis of the history of politics in sport, how nationalism has amplified divisions in politics and sports and how social media has impacted politics in…
Abstract
Purpose
This chapter provides an analysis of the history of politics in sport, how nationalism has amplified divisions in politics and sports and how social media has impacted politics in sports.
Design/methodology/approach
The authors examine how the nationalism narrative is present in sports, thus further enmeshing politics in sport. A review of literature and case studies are used to provide context of how athletes have used their social media for political purposes and how political ideologies and social media can impact international sport markets.
Findings
While politics and sports being deeply intertwined is not new, social media has pushed even publicly apolitical organizations to get involved in political discussions. Social media has allowed for some to continue pushing a nationalism narrative as it relates to sport and challenge athletes who appear to threaten seemingly nationalistic values. However, social media also enables athletes to engage their fans and advocate for themselves and political issues in real time.
Research limitations/implications (if applicable)
n/a.
Originality/value
The chapter looks at nationalism, politics in sport and how social media can be used to further amplify and/or divide over political ideologies. Athletes are in a unique position to use their social media platforms to speak directly to their fans and engage in politics, pushing organizations to seemingly abandon their once public apolitical stances. This chapter examines how athletes, organizations and politicians are using social media to debate matters, advocate for social justice and call attention to a myriad of political issues.