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Article
Publication date: 9 September 2013

Jeffrey Legault, Pablo Quiňones, Mark G. Pedretti, Alexandra Poe and Lina Zhou

The purpose of this paper is to explain various regulatory risks and problem areas facing private equity firms and to recommend compliance policies and procedures to minimize…

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Abstract

Purpose

The purpose of this paper is to explain various regulatory risks and problem areas facing private equity firms and to recommend compliance policies and procedures to minimize those risks.

Design/methodology/approach

The paper explains several problem areas that have been the subject of regulatory investigations, including fees and expenses, antitrust, the Foreign Corrupt Practices Act (FCPA), fundraising, and insider trading.

Findings

Regulators and prosecutors are increasingly focusing on private equity firms.

Practical implications

Many private equity advisers met their registration deadlines but have not dedicated meaningful attention to customizing and implementing compliance policies and procedures, often purchased from non-law firm compliance consultants. Now is the time to take the next step.

Originality/value

Practical guidance from experienced financial services lawyers.

Details

Journal of Investment Compliance, vol. 14 no. 3
Type: Research Article
ISSN: 1528-5812

Keywords

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Article
Publication date: 9 September 2013

Henry A. Davis

131

Abstract

Details

Journal of Investment Compliance, vol. 14 no. 3
Type: Research Article
ISSN: 1528-5812

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Publication date: 8 August 2022

Diana Adela Martin, Christian Herzog, Kyriaki Papageorgiou and Gunter Bombaerts

The chapter presents the implementation of ethics education via challenge-based learning (CBL) in three European settings. At TU Eindhoven (the Netherlands), a mandatory…

Abstract

The chapter presents the implementation of ethics education via challenge-based learning (CBL) in three European settings. At TU Eindhoven (the Netherlands), a mandatory first-year User, Society, and Enterprise course on the ethics and history of technology offers a CBL alternative on ethics and data analytics in collaboration with internal student and research teams. The University of Lübeck (Germany) initiated the project CREATE – Challenge-based Learning for Robotics Students by Engaging Start-Ups in Technology Ethics, which enables 60 students in Robotics and Autonomous Systems to integrate ethical and societal considerations into technological development processes, in cooperation with start-ups from a local accelerator. In Spain, CBI-Fusion Point brings together 40 students from business and law (ESADE), engineering and technology (Polytechnic University of Catalonia), and design (IED Barcelona Design University) for an innovation course focused on the application of CERN-developed technologies to real-world problems. The chapter documents the process of setting up three CBL courses that engage students with grand societal topics which require the integration of ethical concerns from the design stage of technological development. The authors also reflect on the challenges of teaching ethics via CBL and the lessons they learned by delivering experiential learning activities rooted in real-life challenges and contexts marked by high epistemic uncertainty. The contribution reflects the transition to remote teaching and presents strategies employed to enhance online communication and collaboration. The chapter thus provides guidance for instructors interested in teaching ethics via CBL and recommends further lines for action and research.

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Article
Publication date: 1 March 2005

Wolfram Lutterer

Conceptual discussion of central viewpoints of Heinz von Foerster including parallels to the thinking of Gregory Bateson. Application to systems theory and social problems.

795

Abstract

Purpose

Conceptual discussion of central viewpoints of Heinz von Foerster including parallels to the thinking of Gregory Bateson. Application to systems theory and social problems.

Design/methodology/approach

Analysis and discussion of selected publications of both authors.

Findings

Coining the term of “systemics” instead of “second‐order cybernetics”, limits of systemic thinking, flaws in ignoring these limits for example, in the systems theory of Niklas Luhmann.

Originality/value

Definition of “systemic”, parallels between Foerster and Bateson.

Details

Kybernetes, vol. 34 no. 3/4
Type: Research Article
ISSN: 0368-492X

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