Organizational Challenges To Regulatory Enforcement And Compliance
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Organizational Challenges To Regulatory Enforcement And Compliance
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Author : Susan S. Silbey
language : en
Publisher: SAGE
Release Date : 2013-08-28
Organizational Challenges To Regulatory Enforcement And Compliance written by Susan S. Silbey and has been published by SAGE this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-08-28 with Business & Economics categories.
Organizational Challenges to Regulatory Enforcement and Compliance: A New Common Sense about Regulation THE ANNALS of the American Academy of Political and Social Science September 2013, Volume 649 Special Editor: Susan S. Silbey Following a series of global financial and economic crises at the end of the first decade of the twenty-first century, we hear renewed calls for increased government regulation of the economy (including finance, banking, insurance, communications, environment, and employment) as a necessary safeguard against the excesses of exuberant capitalism. At the same time, opponents argue that government regulation not only dampens market efficiencies and hinders economic growth in general but specifically encourages the predatory and fraudulent practices responsible for the recent Great Recession. This volume of The ANNALS analyzes the bodies of scholarship on regulation as well as the empirical models and policy advice that have both fueled and responded to conventional public regulation by rethinking these paradigms from the perspective of the regulated organizations—in all their diversity and complexity. These articles examine three features of the contemporary situation that demand new ways of looking at the processes and prospects of regulation: experiences with innovative regulatory models propagated as risk management; failures of organizational self-governance; and new forms of networked and dispersed global organizations. We suggest that a new common sense about regulation acknowledges the ubiquity of legal regulation and the contextual conditions that frame the normative interpretations, the global circulation of regulation that has transformed its scale, and finally the role of the organization as the locus of regulation. Paperback: $35.00, Sale Price $28.00, ISBN: 978-1-4833-4508-6 Hardcover: $48.00, Sale Price $38.40, ISBN: 978-1-4833-4507-9
The Regulatory Craft
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Author : Malcolm K. Sparrow
language : en
Publisher: Rowman & Littlefield
Release Date : 2011-01-01
The Regulatory Craft written by Malcolm K. Sparrow and has been published by Rowman & Littlefield this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-01-01 with Law categories.
The Regulatory Craft tackles one of the most pressing public policy issues of our time—the reform of regulatory and enforcement practice. Malcolm K. Sparrow shows how the vogue prescriptions for reform (centered on concepts of customer service and process improvement) fail to take account of the distinctive character of regulatory responsibilities—which involve the delivery of obligations rather than just services.In order to construct more balanced prescriptions for reform, Sparrow invites us to reconsider the central purpose of social regulation—the abatement or control of risks to society. He recounts the experiences of pioneering agencies that have confronted the risk-control challenge directly, developing operational capacities for specifying risk-concentrations, problem areas, or patterns of noncompliance, and then designing interventions tailored to each problem. At the heart of a new regulatory craftsmanship, according to Sparrow, lies the central notion, "pick important problems and fix them." This beguilingly simple idea turns out to present enormously complex implementation challenges and carries with it profound consequences for the way regulators organize their work, manage their discretion, and report their performance. Although the book is primarily aimed at regulatory and law-enforcement practitioners, it will also be invaluable for legislators, overseers, and others who care about the nature and quality of regulatory practice, and who want to know what kind of performance to demand from regulators and how it might be delivered. It stresses the enormous benefit to society that might accrue from development of the risk-control art as a core professional skill for regulators.
The New Era Of Regulatory Enforcement A Comprehensive Guide For Raising The Bar To Manage Risk
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Author : Richard H. Girgenti
language : en
Publisher: McGraw Hill Professional
Release Date : 2016-05-20
The New Era Of Regulatory Enforcement A Comprehensive Guide For Raising The Bar To Manage Risk written by Richard H. Girgenti and has been published by McGraw Hill Professional this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-05-20 with Business & Economics categories.
Mitigate risk and achieve high-level business performance in today’s regulatory and enforcement environment The outset of the 21st century has seen a relentless flow of events from the 9/11 terrorist attack to the 2008 financial recession that have given birth to a new regulatory and enforcement landscape. In today’s global and digital world, this increasingly complex landscape has created unprecedented challenges and risks for businesses in all industries. The New Era of Regulatory Enforcement provides an overview of the challenges companies face in conducting business in this new environment. It discusses the government policies, strategies and tactics driving enforcement activity and outlines the most effective approaches for preventing, detecting, and responding to the risks presented. Authors Rich Girgenti and Tim Hedley--two highly experienced professionals at KPMG who daily work with organizations around the globe to help them understand and manage these challenges--draw upon their years of experience in both the private and public sector to provide an overview of the new regulatory and enforcement landscape and a framework for compliance. Assisted by a team of subject matter professionals, the book covers a broad range of topics including: · bribery and corruption · money laundering and trade sanctions · market manipulation · financial reporting fraud · off-shore tax evasion · unfair and abusive consumer finance practices, and · fraud and misconduct in the Healthcare and Life Sciences industries Prudent and diligent organizations must take the necessary steps to preserve the hard-earned value of their companies. In doing so, they will not only help improve their chances for sustainable business success, but also create benefit for their employees, shareholders, customers, and the public at large. Rich Girgenti, J.D., has more than 40 years of experience investigating fraud and misconduct and helping clients manage their risk of these occurrences. Rich leads KPMG LLP's Forensic Services and is a former KPMG board member, a veteran state prosecutor, and a previous Director of Criminal Justice for New York State. Tim Hedley, Ph.D., has extensive experience in helping companies prevent, detect, and respond to allegations of fraud and misconduct. He leads KPMG LLP’s Fraud Risk Management Services and is a frequent speaker on fraud risk topics, as well as a member of the NY State Society of CPAs and the AICPA.
Oecd Best Practice Principles For Regulatory Policy Regulatory Enforcement And Inspections
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Author : OECD
language : en
Publisher: OECD Publishing
Release Date : 2014-05-16
Oecd Best Practice Principles For Regulatory Policy Regulatory Enforcement And Inspections written by OECD and has been published by OECD Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-05-16 with categories.
This report provides guidance to policy makers on improving regulatory enforcement and inspections and provides some examples of good practices in this area.
Explaining Compliance
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Author : Christine Parker
language : en
Publisher: Edward Elgar Publishing
Release Date : 2011
Explaining Compliance written by Christine Parker and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Law categories.
'Taking a broad view of regulation, and covering a wide range of issues and industries, this collection is the most innovative effort to date to understand the responses of business firms to regulation. The book brings together an impressive group of scholars who analyze the concept of compliance and offer theoretically informed studies of its assumed links to regulation. A must read for both academics and practitioners, this ground-breaking collection firmly establishes a scholarly field of compliance studies.' Ronen Shamir, Tel Aviv University, Israel 'Business responses to regulation is a key area of social science research. Parker and Nielsen's collection brings together an excellent group of scholars with innovative, and I believe highly influential contributions that problematize the relations between regulation and compliance. The collection is a highly welcome addition to our field, that will redefine the research agenda on compliance. A significant achievement that will help to improve policy making and frame the scholarly research agenda for the years to come.' David Levi-Faur, The Hebrew University of Jerusalem, Israel and the Free University of Berlin, Germany 'A timely and important set of analyses on how and why businesses respond to regulation in the way that they do from some of the leading authors in the field, covering business responses to both state and non-state regulatory systems.' Julia Black, London School of Economics, UK Explaining Compliance consists of sixteen specially commissioned chapters by the world's leading empirical researchers, examining whether and how businesses comply with regulation that is designed to affect positive behaviour changes. Each chapter consists of reflective summaries on business compliance with different state or voluntary regulation, and the theoretical lessons to be drawn from it. As a whole, the book develops understanding and explanations of how, why and in what circumstances, firms come to comply with regulation, and when they do not. It also uncovers the complexity, ambiguity and transformation of regulation as it is interpreted, implemented and negotiated by firms, their stakeholders and internal constituencies in everyday business life. This unique and detailed resource will appeal to academics, graduate students and senior undergraduates in law, political science, sociology, criminology, economics, and psychology, as well as business and interdisciplinary areas such as law and society, and law and economics. Anyone researching business regulation, corporate social responsibility, regulation and compliance, enforcement and compliance, and public administration, will also find this book beneficial.
Financial Regulation And Compliance
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Author : H. Kotz
language : en
Publisher:
Release Date : 2015
Financial Regulation And Compliance written by H. Kotz and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015 with Industrial management categories.
Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.
Enforcing Regulation
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Author : K.O. Hawkins
language : en
Publisher: Springer
Release Date : 1984
Enforcing Regulation written by K.O. Hawkins and has been published by Springer this book supported file pdf, txt, epub, kindle and other format this book has been release on 1984 with Business & Economics categories.
Blood Banking And Regulation
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Author : Institute of Medicine
language : en
Publisher: National Academies Press
Release Date : 1996-07-19
Blood Banking And Regulation written by Institute of Medicine and has been published by National Academies Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 1996-07-19 with Medical categories.
This volume examines regulatory and policymaking procedures in blood banking, regulatory enforcement and compliance, innovations and alternatives in regulation, congressional oversight and regulatory initiatives, and investment in regulatory quality.
Regulation
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Author : Richard Johnstone
language : en
Publisher: National Gallery of Australia
Release Date : 2004
Regulation written by Richard Johnstone and has been published by National Gallery of Australia this book supported file pdf, txt, epub, kindle and other format this book has been release on 2004 with Administrative law categories.
There has been a significant increase in regulation of civil society in the late twentieth century by governments to ensure that their policy objectives are being achieved. As a result a wide range of institutions are subject to a range of regulatory practices ... This collection of papers is from an Australian Institute of Criminology conference which was held in Melbourne in September 2002 in conjunction with the Regulatory Institutions Network (RegNet) at the Australian National University and the Division of Business and Enterprise at the University of South Australia. The papers summarise the issues relating to the emergence of the 'new regulatory state', the various forms of regulatory techniques that are being used, the way in which regulatory regimes are increasingly being networked to ensure compliance and the conflicts that can sometimes emerge from such an interface.
Compliance Ethnography
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Author : Yunmei Wu
language : en
Publisher: Springer
Release Date : 2021-08-13
Compliance Ethnography written by Yunmei Wu and has been published by Springer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-08-13 with Social Science categories.
This book explores how small businesses respond to the law. By detailing the intricate ways in which businesses come to comply with or violate legal regulations, it shows a very different picture of compliance that completely changes the way we think about how businesses respond to the law, how we can capture such responses, and what explains their behaviors. The book moves us beyond a static and single-perspective approach to compliance, where firms are seen as obeying or breaking a specific rule at a specific point in time. Instead, it offers a dynamic view of compliance as it manifests in daily business, where firms must comply with a host of legal rules and must do so over a long period of time. This timely book is especially valuable to three main groups: to compliance practitioners and regulatory enforcement agents, who are increasingly forced to consider how compliance management and enforcement practices actually affect compliance; to regulatory governance scholars (in public administration, law, sociology, and management science), for whom compliance is a central aspect; and to scholars of Chinese law, who realize that compliance is a central challenge that the Chinese legal system must overcome.