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Article
Publication date: 14 March 2008

David Rouch, Joanna Benjamin, Michael Raffan, Mark Kalderon and Simon Orton

The purpose of this paper is to provide an overview of recent guidance from the FSA and industry, and recent case law regarding product providers and distributors

358

Abstract

Purpose

The purpose of this paper is to provide an overview of recent guidance from the FSA and industry, and recent case law regarding product providers and distributors

Design/methodology/approach

Explains current status of the guidance; provides overview of the guidance and its two component parts directed at “product providers” and “distributors”; discusses international dimensions; explains compliance implications; describes parallel trade association principles published in a July 2007 paper entitled Retail Structured Products: Principles for Managing the Provider‐Distributor Relationship; and summarizes three recent English judicial decisions relevant to the responsibilities and duties of providers and distributors.

Findings

The responsibilities of providers and distributors regarding retail structured products are being defined by an interaction of regulatory, common law, and soft law provisions. Just as the FSA's exercise of its regulatory powers is increasingly based less on detailed rules and more on general principles, so the judges' decision making is based less on doctrinal detail and more on a pragmatic assessment of the relevant facts as a whole.

Practical implications

Regarding retail products, the best approach for providers and distributors is to focus not only on detailed rules and contractual provisions but also on the factual detail of the arrangements, and whether the outcomes are fair to investors and meet their reasonable expectations as created by the firm.

Originality/value

Expert analysis provided by leading lawyers specialized in financial institutions.

Details

Journal of Investment Compliance, vol. 9 no. 1
Type: Research Article
ISSN: 1528-5812

Keywords

Available. Content available
Article
Publication date: 14 March 2008

Henry A Davis and James A. Tricarico Jr

321

Abstract

Details

Journal of Investment Compliance, vol. 9 no. 1
Type: Research Article
ISSN: 1528-5812

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Book part
Publication date: 7 October 2019

Mari Elken and Martina Vukasovic

The term “loose coupling” has been widely employed in higher education research. Building partly on the “garbage can model” of decision-making, it proposed an alternative to…

Abstract

The term “loose coupling” has been widely employed in higher education research. Building partly on the “garbage can model” of decision-making, it proposed an alternative to rational and linear views on organizing and governing, emphasizing instead ambiguity and complexity. The review of higher education research literature presented in this chapter demonstrates that the concept of loose coupling has frequently been used as a background concept, often taken for-granted either as a point of departure for studies of organizational processes in higher education or as a diagnosis of the complexity of higher education organization that inhibits implementation of reforms. This chapter provides systematization and critical examination of how the term “loose coupling”/“loosely coupled systems” has been employed in journal articles focusing on higher education in the last 40 years. It presents a broad mapping of 209 articles and a more detailed qualitative review of 22 articles, which employed loose coupling as more than a background concept.

Details

Theory and Method in Higher Education Research
Type: Book
ISBN: 978-1-83867-842-5

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Book part
Publication date: 15 November 2018

Bev Orton

There are seven main characters of which five are women: Sindiswa, Mia, Susan, Thenjiwe and Nicky. The other two characters, Glen and Zaccaria, represent males from very different…

Abstract

There are seven main characters of which five are women: Sindiswa, Mia, Susan, Thenjiwe and Nicky. The other two characters, Glen and Zaccaria, represent males from very different socio-economic and political backgrounds. The character of Dumasani, a young boy, is referred to in the play. What makes the play especially significant is that of a cast of seven, five are women. Throughout the play the character of Glen, a spy for the apartheid government, reveals the manipulative and deceitful manner in which the members of the South African police force and political informers carried out their work. He forms relationships with people about whom he professes to care; however, his only concern is that they are able to provide information that will secure financial reward for his spying activities for the apartheid government. Born in the RSA offers the audience an interesting exchange of ideas and thoughts about the political, economic and social situation in apartheid South Africa. Through the exploration of narratives and improvisation a landscape of violence is thrown open. A landscape of violence, that is not only physical, but also psychological. The play presents a complex situation in which violence does not only come from one source but from various sources such as the government, the youth, the opposition parties, the comrades, the private domestic space, subversive activities and political organisations. Any opposition to government policies results in harsher and more extreme violence by the apartheid regime strengthening their oppressive forces.

Details

Women, Activism and Apartheid South Africa: Using Play Texts to Document the Herstory of South Africa
Type: Book
ISBN: 978-1-78754-526-7

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Book part
Publication date: 22 July 2013

Stefano Brusoni and Andrea Prencipe

This chapter adopts a problem-solving perspective to analyze the competitive dynamics of innovation ecosystems. We argue that features such as uncertainty, complexity, and…

Abstract

This chapter adopts a problem-solving perspective to analyze the competitive dynamics of innovation ecosystems. We argue that features such as uncertainty, complexity, and ambiguity, entail different knowledge requirements which explain the varying abilities of focal firms to coordinate the ecosystem and benefit from the activities of their suppliers, complementors, and users. We develop an analytical framework to interpret various instances of coupling patterns and identify four archetypical types of innovation ecosystems.

Details

Collaboration and Competition in Business Ecosystems
Type: Book
ISBN: 978-1-78190-826-6

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Article
Publication date: 1 June 2012

Sinikka Moilanen

The purpose of this paper is to examine how a parent company ensures reliable accounting information from its subsidiaries located in a significantly different environment…

1161

Abstract

Purpose

The purpose of this paper is to examine how a parent company ensures reliable accounting information from its subsidiaries located in a significantly different environment, analyzing the process and its outcomes.

Design/methodology/approach

The paper employs the conceptualization of management control as a loosely‐coupled system to explore the integration of accounting‐related work between a parent company and subsidiaries. Three Western firms and their subsidiaries in the territory of the former Soviet Union are studied, focusing on the couplings between different elements of control and their outcomes, and taking accounting as an object and element of control.

Findings

The results show how other elements of control can steer accounting‐related work. As the organizational structures made possible personnel controls in the form of informal training in accounting, results controls were responsive to these personnel controls. This constructed common models of thinking, meaning that cultural controls were responsive to results controls. The responsiveness also supports generative learning, since accounting‐related training includes and introduces Western business thinking.

Originality/value

The findings show that loose couplings within management control systems may lead to generative learning due to the rules imposed by the parent company. Elaborating the dual role of accounting as an object and element of control illustrates a relationship different from the earlier view that loose coupling between parent's rules and what is locally done tends to foster local stability based on preservation of existing ways of thinking, i.e. adaptation instead of adaptability.

Details

Journal of Accounting & Organizational Change, vol. 8 no. 2
Type: Research Article
ISSN: 1832-5912

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Book part
Publication date: 15 November 2018

Bev Orton

Glass House is a play about the relationship between two young women Phumla and Linda. According to Dike the play was specifically written to show the clashing of two cultures and…

Abstract

Glass House is a play about the relationship between two young women Phumla and Linda. According to Dike the play was specifically written to show the clashing of two cultures and how white people could not understand the pain of black people. Glass House provides testimony as to how women suffered physical and mental violence whilst in detention, and this play clearly highlights how, for women, becoming part of the struggle meant surviving the acts of aggression and detention by the security forces. In Glass House Dike exposes the agony and survival techniques of women who have had to endure periods in detention desperately struggling to cope in adverse conditions and, on their release from detention, having to contend with the suspicions of their community thinking that they were informers spying for the government.

Details

Women, Activism and Apartheid South Africa: Using Play Texts to Document the Herstory of South Africa
Type: Book
ISBN: 978-1-78754-526-7

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Book part
Publication date: 9 November 2023

Bev Orton and Alexander D. Ornella

Abstract

Details

Duty to Revolt
Type: Book
ISBN: 978-1-80382-316-4

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Case study
Publication date: 26 November 2014

Hristina Kostadinova Dzharova and Sudheer Gupta

Social Innovation and Entrepreneurship.

Abstract

Subject area

Social Innovation and Entrepreneurship.

Study level/applicability

The case is suitable for graduate (MSc, MBA) and advanced undergraduate (BSc, BAs) students and applicable for course material focusing on social entrepreneurship, social ventures, strategic management, sustainable development and emerging markets.

Case overview

This case explores Nuru International, a non-profit enterprise established in 2008 with the mission to “end extreme poverty throughout the world”. Jake Harriman, the founder and CEO of NURU, together with his team are on the onset of diversifying crop offerings among Kenyan farmers in an attempt to alleviate challenges stemming from severe climatic changes and low-crop quality. As 2014 is the first year for Kenyan farmers to grow alternative crops, the Nuru team faces the challenging task of convincing farmers to embrace diversification. Additionally, as part of its proof of concept philosophy, Nuru is establishing operations in Ethiopia. There, Nuru has to identify best marketable crops and promote these among Ethiopian farmers while empowering and engaging local leaders in the process. Finally, the team is looking for financing opportunities for Nuru's entrepreneurial mission. Their funding opportunities come from the private markets, the philanthropic market and the impact investing space. They are carefully analyzing these options and looking for alternatives in capital markets. Pondering on Nuru's rewarding experience with KIVA, a Web-based lending platform, the team wonders if crowdfunding may be a viable option to finance Nuru's operations in Ethiopia. They are interested in equity crowdfunding but are not sure what might be the associated opportunities and risks. They, therefore, need to assess the merits of the practice and decide on how compelling it is for Nuru's expansion plans to Ethiopia.

Expected learning outcomes

The case aims to help students comprehend the role of hybrid organizational designs in meeting broad societal issues such as extreme poverty; evaluate collective impact initiatives in addressing strategic and behavioral changes for organizations operating in contexts of extreme poverty where partnerships are the key for success; assess diverse capital steams for social entrepreneurs and understand how these relate to the stages of evolution of a social venture; and elaborate on crowdfunding as a nascent source of capital for social enterprises.

Supplementary materials

Teaching Notes are available for educators only. Please contact your library to gain login details or email support@emeraldinsight.com to request teaching notes.

Details

Emerald Emerging Markets Case Studies, vol. 4 no. 8
Type: Case Study
ISSN: 2045-0621

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Book part
Publication date: 15 November 2018

Bev Orton

The five play texts You Strike the Woman, You Strike the Rock (Phyllis Klotz, 1994), Glass House (Fatima Dike, 2002), Born in the RSA (Barney Simon, 1994), Has Anyone Seen Zandile?

Abstract

The five play texts You Strike the Woman, You Strike the Rock (Phyllis Klotz, 1994), Glass House (Fatima Dike, 2002), Born in the RSA (Barney Simon, 1994), Has Anyone Seen Zandile? (Gcina Mhlophe, 1994), and So What’s New? (Fatima Dike, 1998) are introduced providing a brief insight into the strength of women as they struggle to make a living for their children in the face of extremely adverse political conditions, both in urban areas and in their households, as well as their suffering and grief for the loss of children caught up in the political struggle. Marginalised and struggling African women represented the most vulnerable members of the urban community. The reader is introduced to the voices within the play texts and how they represent both white and black South African women and how they on women’s lives from different backgrounds, classes and race thereby providing insight into their diversity of experiences and the censorial and penal repercussions women were forced to endure for contravening political Afrikaner ideology and statutory law.

Details

Women, Activism and Apartheid South Africa: Using Play Texts to Document the Herstory of South Africa
Type: Book
ISBN: 978-1-78754-526-7

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