Purpose – The purpose of this article is to inform the various securities market participants about new Exchange Act Rule 13h‐1, its specifics and the requirements it may impose. Design/methodology/approach – The paper outlines the various requirements of the Rule and additional background...

Purpose – The purpose of this paper is to review significant questions raised by the US Supreme Court's June 13, 2011 decision in Janus Capital Group, Inc. v. First Derivative Traders and discuss issues that fund directors and advisers may want to consider as a result....

Purpose – The purpose of this paper is to explain the SEC staff's web site responses to a series of frequently asked questions concerning SEC Advisers Act Rule 206(4)‐5. Design/methodology/approach – The paper explains the SEC staff responses to FAQs on the ability to rely on prior...

Purpose – The purpose of this paper is to review recent regulatory enforcement actions sanctioning firms for failure to safeguard material, non‐public information (MNPI). Design/methodology/approach – The paper reviews recent enforcement actions and examines the implications for other...

Purpose – The aim of this paper is to provide evidence on the extent and the consequences of the provision of non-audit services (NAS) by statutory auditors to German family firms. Design/methodology/approach – The study analyzes hand collected fee data of 368 listed and private family firms...

Examines the phenomenon of worker displacement resulting from redundancies within defence‐related industries. Focuses on responses to an extensive survey of people made redundant over a three‐year period in four defence‐dependent companies in Scotland. Examines individuals’ experiences...

Despite the growth of many new business advice and support services over the last 15 years, the extent to which such facilities are used by the Australian small business sector has not been extensively examined, especially amongst the micro‐enterprises that comprise the majority of all small...

UK Business Link provides bespoke advice to small to medium‐sized enterprises (SMEs) through business advisers. The Small Business Service’s consultation paper, “Integrating the business support infrastructure for SMEs”, advocated “customer‐driven, not supply‐led” publicly funded...

Purpose – This case study aims to describe the work of a Business Link in relation to the promotion and implementation of Investors in People (IIP) with small to medium‐sized enterprises (SMEs). Its purpose is to highlight the views of IIP advisors with regard to working with SMEs and the...

The paper reports upon the findings of a national survey of Personal Business Advisors (PBAs). It examines the nature of the client‐PBA relationship in terms of how relationships are established with growth firms and how they are maintained over the long term. Results show that a range of...