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Article
Publication date: 6 July 2015

Perrie Michael Weiner, Patrick Hunnius and Sean R. Crain

To address “Conflicts, Conflicts Everywhere,” a speech at the recent IA Watch 17th Annual Compliance Conference by Julie M. Riewe, co-chief of the Securities and Exchange…

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Abstract

Purpose

To address “Conflicts, Conflicts Everywhere,” a speech at the recent IA Watch 17th Annual Compliance Conference by Julie M. Riewe, co-chief of the Securities and Exchange Commission’s Enforcement Division’s Asset Management Unit (AMU).

Design/methodology/approach

Provide information on the AMU’s creation, the AMU’s 2015 priorities for each of the primary investment vehicles it polices –registered investment companies; private funds (both hedge funds and private equity funds); and other client accounts, such as separately managed accounts/retail accounts – and the AMU’s central concern across all of the investment vehicles it polices: conflicts of interest.

Findings

Conflicts of interest will be receiving much attention from the Commission in the coming months. In order to help avoid an SEC inquiry or, worse yet, an enforcement action, corporations and individuals should seek counsel.

Originality/value

Practical explanation and guidance from experienced securities and financial services lawyers.

Details

Journal of Investment Compliance, vol. 16 no. 2
Type: Research Article
ISSN: 1528-5812

Keywords

Case study
Publication date: 27 June 2023

Al Warner and Christopher Harben

This case is based on an existing firm. The names have not been changed, and all data on the firm’s history and opportunities is accurate. Primary data is based on interviews with…

Abstract

Research methodology

This case is based on an existing firm. The names have not been changed, and all data on the firm’s history and opportunities is accurate. Primary data is based on interviews with the owner of the firm. One of the authors is a client of the studio and friend of the owner. The case has been reviewed and approved by Jill Murphey, owner of yogaErie. The purpose of this paper is to introduce students to industry analysis, to entrepreneurial decisions and to issues with organizational growth and change.

Case overview/synopsis

Jill Murphey, owner of Yoga Erie, is considering whether to or how to expand her studio operations into adjacent communities. Her studio has been very successful since she opened in 2009: the studio has been named Erie’s Best for most of the years since then. Classes were filled and students were asking about the prospects of a satellite studio in other parts of the community. Information on the options Murphey was considering are presented as well as Murphey’s motivations in opening her own studio, and the opportunities as well as concerns she faced in the expansion decision.

Complexity academic level

This case was originally targeted toward graduate and undergraduate courses in Strategy because of the industry definition and diversification problems but can also be used in classes on Organizational Change or Entrepreneurship.

Details

The CASE Journal, vol. 20 no. 2
Type: Case Study
ISSN: 1544-9106

Keywords

Case study
Publication date: 8 May 2018

Joanna Kimbell, Anne Macy, Emily Ehrlich Hammer and Denise Philpot

The Women’s US Soccer team in 2016 entered into the summer Olympics with a dark cloud over their heads, the lack of pay equity in the sport of soccer. Despite being heralded as…

Abstract

Synopsis

The Women’s US Soccer team in 2016 entered into the summer Olympics with a dark cloud over their heads, the lack of pay equity in the sport of soccer. Despite being heralded as the best female team in the world, the team’s compensation does not reflect their winning record or average work performance. Complex contractual negotiations and compensation intricacies surround this situation and the legal proceedings with the Equal Employment Opportunity Commission that include discrepancies between gender preferences for compensation, benefits packages and terms of the overall collective bargaining agreement in a monopsony. The financial impact of lost wages and the role of the fan base are also examined.

Research methodology

This case has been created through the eyes of past and current members of the US Women’s Soccer team using scholarly and periodical sources.

Relevant courses and levels

This case is designed for upper level, undergraduate human resource management, labor economics and employment law courses, specifically, principles of human resource management, gender equity courses, business law, labor economics, law & economics.

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