Compliance with SEC Rule 38a‐1 and the requirement for a fund to have a chief compliance officer (CCO) requires fund companies to take an in‐depth look at how their organizations…
Abstract
Compliance with SEC Rule 38a‐1 and the requirement for a fund to have a chief compliance officer (CCO) requires fund companies to take an in‐depth look at how their organizations deal with compliance as a whole and how their service providers fit into the compliance equation. A fundamental consideration is cost, and the CCO role can carry a significant price tag. Experience counts too. Even though the functions of this role are spelled out, the role is yet untested in the industry. Hiring an outside CCO and outsourcing compliance services offer several benefits to a fund including economies of scale, consistency, the outsourcing provider’s breadth of experience and expertise, and elimination of conflicts of interest within the investment advisor organization when separate resources/staff conduct compliance activities.
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The October 5, 2004 deadline for complying with Rule 206(4)‐7 under the Investment Advisers Act of 1940 has come and gone and it’s a whole new world for compliance with rules…
Abstract
The October 5, 2004 deadline for complying with Rule 206(4)‐7 under the Investment Advisers Act of 1940 has come and gone and it’s a whole new world for compliance with rules, regulations, and regulator expectations. Much has changed with regard to compliance in our industry over the past several years ‐ and still more remains to be interpreted, digested, and put into place before the dust can settle. One thing is clear: there is no such thing as business as usual, nor should we expect that any time soon. The fundamental concern at this point in time lies in how SEC Rule 38a‐1 should be ‐ and will be ‐ enforced throughout the industry. If history is any teacher, the next several years undoubtedly will feature clarifications and guidance from regulators that will help fund companies succeed in adhering to the rule’s requirements. While those of us directly involved in day‐to‐day compliance are experiencing rapid change at unprecedented levels, this is not the first time in our history that such sweeping changes have been prevalent.
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The law-oriented short stories and novels of lawyer/English professor John William Corrington are receiving increasing attention from legal scholars. However, no one has analyzed…
Abstract
The law-oriented short stories and novels of lawyer/English professor John William Corrington are receiving increasing attention from legal scholars. However, no one has analyzed the science fiction screenplays he co-wrote with his wife, Joyce, from a legal perspective. This article analyzes two such screenplays and concludes that they are “Socratic” texts whose narrative structures and epistemological processes work in much the same way that the traditional participatory exchange works in law school. My analysis explores the links between law, allegory and science fiction as intersecting methods to imagine the possibilities for the future.
Past research has shown that wellness culture projects identities that are predominantly middle-class, white, thin, able-bodied women. Wellness cultures are amplified through…
Abstract
Past research has shown that wellness culture projects identities that are predominantly middle-class, white, thin, able-bodied women. Wellness cultures are amplified through digital media, namely highly visual social media platforms such as Instagram and TikTok, that promote a feminine ideal that women can (and should) achieve through rigorous commitment and investment. However, discourses surrounding wellness culture are a cause for concern when consumption, choice, and responsibility are positioned as a mode to constantly improve oneself until an idealised appearance is achieved.
In this chapter, the author explores the experiences of five Asian-Australian women aged 18–35 living in Australia as they navigate ideals of femininity. The author draws on perspectives from feminist new materialism to understand the material-discursive practices that form norms and ideals of the female body. Findings are presented in the form of vignettes to help trace affective encounters with objects, digital media, discourses, and other bodies that produce different affective relations as they seek to understand Asian-Australian femininity. The author argues that digital media and wellness culture prompt individual understanding and practices to adhere to transnational ideals of the feminine body rather than dismantling social and cultural norms that limit individual choice, an issue that has thus far received limited scholarly attention for Asian-Australians. This chapter builds on previous studies that position wellness culture within an established white female neoliberal rhetoric.
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Beth Sundstrom, Heather M. Brandt, Lisa Gray and Jennifer Young Pierce
Cervical cancer (CxCa) incidence and mortality remain unacceptably high in South Carolina, USA, presenting an ideal opportunity for intervention. To address this need, Cervical…
Abstract
Purpose
Cervical cancer (CxCa) incidence and mortality remain unacceptably high in South Carolina, USA, presenting an ideal opportunity for intervention. To address this need, Cervical Cancer-Free South Carolina developed an academic-community partnership with researchers and students at a public university to design, implement, and evaluate a theory-based CxCa communication campaign, It’s My Time. The paper aims to discuss this issue.
Design/methodology/approach
The goal of this campaign was to decrease CxCa by increasing human papillomavirus (HPV) vaccination and appropriate screening. This paper describes the development, implementation, and evaluation of a successful theory-based CxCa prevention communication campaign for college women based on formative audience research and targeted messages delivered to audience segments through new and traditional communication channels. The health belief model (HBM) served as a theoretical framework for the campaign throughout development, implementation, and evaluation.
Findings
This campaign demonstrated the effectiveness of the HBM to address CxCa prevention, including HPV vaccine acceptability. The campaign aimed to increase perceptions of susceptibility, which were low, by emphasizing that HPV is a sexually transmitted infection. A community-based grassroots approach to addressing disparities in CxCa prevention increased benefits and decreased barriers. Social media emerged as a particularly appropriate platform to disseminate cues to action. In total, 60 percent of participants who responded to an anonymous web-based survey evaluation indicated that they received the HPV vaccine as a result of campaign messages.
Originality/value
This paper offers practical suggestions to campaign planners about building academic-community partnerships to develop theory-based communication campaigns that include conducting formative research, segmenting target audiences, engaging with young people, and incorporating social media.
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Dinesh Rathi, Lisa M. Given and Eric Forcier
This paper aims first to identify key interorganisational partnership types among non-profit organisations (NPOs) and second to determine how knowledge sharing takes place within…
Abstract
Purpose
This paper aims first to identify key interorganisational partnership types among non-profit organisations (NPOs) and second to determine how knowledge sharing takes place within each type of partnership. Results explore the value of social media specifically in facilitating external relationships between NPOs, firms and the communities they serve.
Design/methodology/approach
Empirical qualitative analysis of exploratory interviews with 16 Canadian NPOs generates a non-exhaustive classification of partnership types emerging from these organisations, and their defining characteristics in the context of interorganisational knowledge sharing.
Findings
Overall eight categories of partnerships from the sampled NPOs emerged from the analysis of the data. These include business partnerships, sector partnerships, community partnerships, government partnerships, expert partnerships, endorsement partnerships, charter partnerships and hybrid partnerships. Using examples from interviews, the sharing of knowledge within each of these partnerships is defined uniquely in terms of directionality (i.e. uni-directional, bi-directional, multi-directional knowledge sharing) and formality (i.e. informal, semi-formal or formal knowledge sharing).Specific practices within these relationships also arise from examples, in particular, the use of social media to support informal and community-driven collaborations. Twitter, as a popular social networking tool, emerges as a preferred medium that supports interorganisational partnerships relevant to NPOs.
Originality/value
This research is valuable in identifying the knowledge management practices unique to NPOs. By examining and discussing specific examples of partnerships encountered among NPOs, this paper contributes original findings about the implications of interorganisational knowledge sharing, as well as the impact of emerging social technologies on same.
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Nichola Robertson, Yelena Tsarenko, Michael Jay Polonsky and Lisa McQuilken
The purpose of this paper is to empirically examine the factors driving and mitigating the experienced vulnerabilities of women undergoing the transformative service of in-vitro…
Abstract
Purpose
The purpose of this paper is to empirically examine the factors driving and mitigating the experienced vulnerabilities of women undergoing the transformative service of in-vitro fertilisation (IVF), and how this influences women’s evaluations and intentions.
Design/methodology/approach
The conceptual framework was tested using quantitative data collected via an online survey of Australian women who have undergone IVF treatment. Hayes’ PROCESS macro was used to analyse the data.
Findings
The results indicate that women’s persistent goal-striving alongside their perceived personal sacrifices influence the association between their need for parenthood and their experienced vulnerability. Institutional factors such as IVF clinic technical and interpersonal quality influence these consumers’ IVF experience evaluations and word-of-mouth (WoM) intentions.
Research limitations/implications
This study’s results are limited to women who are undergoing IVF treatment. Further empirical work is needed to deepen the understanding of the role played by partners and other family members in women’s IVF experiences.
Practical implications
IVF clinics can reduce women’s experienced vulnerability by encouraging women who have a good probability of succeeding to persist in the pursuit of the goal of conceiving a child via IVF. This can be achieved by enabling and empowering them so that they give themselves the best chance during treatment, thus facilitating their control. Managing the expectations of those women with a lower probability of success is also recommended. The importance of the technical and interpersonal quality delivered by IVF clinics in influencing the positive evaluations and behavioural intentions of women experiencing vulnerabilities is further highlighted.
Originality/value
This study contributes to the transformative service research literature by: examining the IVF transformative experience, which has been largely overlooked; focussing on the intersection of transformative services and consumers experiencing vulnerability, which is an emerging research area; and testing a framework quantitatively that intermingles individual and institutional factors as antecedents and consequences of consumers’ experienced vulnerabilities, advancing the existing conceptual and qualitative work.
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Lisa M. O’Brien, Alejandra Salinas, Kelly C. Reinhart and Jeanne R. Paratore
Purpose – To help teacher educators understand how to more fully prepare pre-service teachers (PSTs) for meaningful and effective instruction with multimodal texts and the…
Abstract
Structured Abstract
Purpose – To help teacher educators understand how to more fully prepare pre-service teachers (PSTs) for meaningful and effective instruction with multimodal texts and the underlying technologies.
Design – This mixed methods investigation employed designed-based research in that as the authors observed and gathered data on PSTs’ outcomes within the context of a literacy methods course, the authors also engaged in an iterative process of collaborative design to develop a sustainable instructional model across three academic semesters with three cohorts of PSTs. The authors analyzed pre- and post-PST surveys measuring their knowledge of, disposition toward, and self-efficacy with technology and technology in teaching as well their intent to use technology in their future teaching. The authors also coded and analyzed PST lesson plans completed across each semester for instances of meaningful integration of multimodal texts and the underlying technology, and sound literacy instruction. Finally, the authors closely examined differences in how the course was shaped and “reshaped” across all three iterations and noted any differences in PST outcomes related to these shifts.
Findings – Overall findings suggest that enrollment in the literacy methods course improved both PSTs’ self-efficacy and knowledge about teaching with technology while also supporting PSTs’ ability to develop sound literacy instructional plans. Moreover, strategic positioning of multimodal texts and technology, in which integration is seamless, can help PSTs meaningfully and effectively weave multimodal text sets into their literacy lesson plans.
Practical Implications – This chapter contributes to the literature on integrating multimodal texts and the underlying technologies into PST programs by providing explicit, research-based recommendations for how teacher educators can meaningfully and seamlessly infuse multimodal text sets into core curricula and instructional practices.