Download or read book Institutional Self regulation compliance written by Tamar Frankel and published by . This book was released on 2018 with total page 485 pages. Available in PDF, EPUB and Kindle. Book excerpt: The duty of financial institutions to self-regulate their compliance with the law was triggered by relatively recent developments. Financial institutions (banks, mutual funds, securities exchanges and advisers) have grown larger and were operating internationally. Government and outside regulators could not effectively supervise and prevent institutional violations. The failures and violations of such institutions were costly to the country, to their employees and to their investors. The failures prompted legislators and regulators to require these institutions to self-regulate and self-police to prevent violation of the law. The Law of Institutional Self-Regulation (Compliance) is addressed to law students and practitioners. It aims at understanding and managing a system of self-regulation by financial institutions by a dual system of both law and culture. To be sure, the law requires institutions to self-regulate. But rules of law are not enough. In fact, the main mechanism for self-regulation is institutional culture. Like law, culture is a system of rules and their enforcement. Unlike the law, culture rules are established and enforced by institutions, internally. Thus, both law and culture aim at ensuring institutional compliance with the law. Even though most of the materials and cases in this book involve financial institutions, a similar design of self-regulation applies to any institution. Students and practitioners should be sensitive to signs that maylead to institutional violations of the law. They should note the signs of tendencies that may lead to violations of the law and focus on measures that are likely to prevent such violations. This book notes the differences between the Law Officers and Compliance Officers, the evolving recognition of compliance as a profession, and the rise of compliance officers' independence. The book offers principles, approaches, and techniques, aimed at detecting and preventing institutions' legal violations such as, monitoring and investigations, employees' self-examination and rewarding employees for ensuring and supporting compliance with the law. To be sure, each institution, has its "parents," history, business, powers and weaknesses, aspirations and competitors. This is why institutional self-regulation cannot be uniform and its culture must be adjusted to the law in its own special way--to reach the same application of the law to all.
Download or read book The Open Corporation written by Christine Parker and published by Cambridge University Press. This book was released on 2002-07-08 with total page 380 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Open Corporation, originally published in 2002, set out a blueprint for effective corporate self-regulation, offering practical strategies for managers, stakeholders and regulators to build successful self-regulation management systems. Christine Parker examined the conditions under which corporate self-regulation of social and legal responsibilities were likely to be effective, covering a wide range of areas - from consumer protection to sexual harassment to environmental compliance. Focusing on the features that make self-regulation or compliance management systems effective, Parker argued that law and regulators needed to focus much more on 'meta-regulating' corporate self-regulation if democratic control over corporate action was to be established.
Download or read book Management of Animal Care and Use Programs in Research Education and Testing written by Robert H. Weichbrod and published by CRC Press. This book was released on 2017-09-07 with total page 917 pages. Available in PDF, EPUB and Kindle. Book excerpt: AAP Prose Award Finalist 2018/19 Management of Animal Care and Use Programs in Research, Education, and Testing, Second Edition is the extensively expanded revision of the popular Management of Laboratory Animal Care and Use Programs book published earlier this century. Following in the footsteps of the first edition, this revision serves as a first line management resource, providing for strong advocacy for advancing quality animal welfare and science worldwide, and continues as a valuable seminal reference for those engaged in all types of programs involving animal care and use. The new edition has more than doubled the number of chapters in the original volume to present a more comprehensive overview of the current breadth and depth of the field with applicability to an international audience. Readers are provided with the latest information and resource and reference material from authors who are noted experts in their field. The book: - Emphasizes the importance of developing a collaborative culture of care within an animal care and use program and provides information about how behavioral management through animal training can play an integral role in a veterinary health program - Provides a new section on Environment and Housing, containing chapters that focus on management considerations of housing and enrichment delineated by species - Expands coverage of regulatory oversight and compliance, assessment, and assurance issues and processes, including a greater discussion of globalization and harmonizing cultural and regulatory issues - Includes more in-depth treatment throughout the book of critical topics in program management, physical plant, animal health, and husbandry. Biomedical research using animals requires administrators and managers who are knowledgeable and highly skilled. They must adapt to the complexity of rapidly-changing technologies, balance research goals with a thorough understanding of regulatory requirements and guidelines, and know how to work with a multi-generational, multi-cultural workforce. This book is the ideal resource for these professionals. It also serves as an indispensable resource text for certification exams and credentialing boards for a multitude of professional societies Co-publishers on the second edition are: ACLAM (American College of Laboratory Animal Medicine); ECLAM (European College of Laboratory Animal Medicine); IACLAM (International Colleges of Laboratory Animal Medicine); JCLAM (Japanese College of Laboratory Animal Medicine); KCLAM (Korean College of Laboratory Animal Medicine); CALAS (Canadian Association of Laboratory Animal Medicine); LAMA (Laboratory Animal Management Association); and IAT (Institute of Animal Technology).
Download or read book Research Regulatory Compliance written by Mark A. Suckow and published by Academic Press. This book was released on 2015-06-14 with total page 345 pages. Available in PDF, EPUB and Kindle. Book excerpt: Research Regulatory Compliance offers the latest information on regulations and compliance in the laboratory. With the increasing complexity of regulations and need for institutional infrastructure to deal with compliance of animal use issues, as well as a requirement surrounding human subjects, this publication provides reputable guidance and information. The book is extremely helpful as a resource for researchers, administrators, and technicians in the laboratory, and is also a great asset for faculty or new researchers coming in to the laboratory environment. It will help prepare users for the deluge of regulatory and compliance issues they will face while conducting their scientific programs. The book is edited and authored by known leaders in the field of compliance and regulations, and contains extensive research on the topics. It represents the new standard for information in every laboratory. Provides a “one-stop" , go-to resource for the many regulatory and compliance issues that affect laboratory study and research models Extremely helpful as a resource for researchers, administrators, and technicians in the laboratory, and also a great asset for faculty or new researchers coming in to the laboratory environment Focuses on United States regulations, covering both animal models and human subjects Written and edited by known leaders in the field of regulatory compliance who bring many years of collective experience to the book
Download or read book Industry Self Regulation and Voluntary Environmental Compliance written by Jr., Al Iannuzzi and published by CRC Press. This book was released on 2016-04-19 with total page 200 pages. Available in PDF, EPUB and Kindle. Book excerpt: Why self-regulation? With the advent of such concepts as design for the environment, industrial ecology, and the recognized enlightened self-interest that voluntary compliance brings, it is in any company's best interest to avoid fines, liabilities, and bad publicity. Consumer concern and pressure from the marketplace give a competitive advantage t
Download or read book Organizational Challenges to Regulatory Enforcement and Compliance written by Susan S. Silbey and published by SAGE. This book was released on 2013-08-28 with total page 184 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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
Download or read book Making Global Self Regulation Effective in Developing Countries written by Dana L. Brown and published by Oxford University Press, USA. This book was released on 2007-10-04 with total page 282 pages. Available in PDF, EPUB and Kindle. Book excerpt: Evaluates the effectiveness of self-regulation compared to other forms of global regulation. Suggests some minimal forms of government action and participation by global actors that can make global corporate self-regulation more effective in bettering conditions in the developing world.
Download or read book The Structure of Regulation written by Williamson, David and published by Edward Elgar Publishing. This book was released on 2021-09-23 with total page 160 pages. Available in PDF, EPUB and Kindle. Book excerpt: This timely and original book provides an exploration of the factors that combine to determine the form of regulatory problems and the overall success or failure of regulation. Using environmental regulation as a basis for analysis, this book puts forward a theoretical framework for the design of effective regulation and demonstrates how businesses’ compliance with environmental regulation, in particular, could be improved.
Download or read book A New Institutional Economics Perspective on Industry Self Regulation written by Jan Sammeck and published by Springer Science & Business Media. This book was released on 2011-12-06 with total page 188 pages. Available in PDF, EPUB and Kindle. Book excerpt: The idea of self-regulation as an instrument capable of mitigating socially undesirable practices in industries - such as corruption, environmental degradation, or the violation of human rights - is receiving substantial consideration in theory and practice. By approaching this phenomenon with the theory of the New Institutional Economics, Jan Sammeck develops an analytical approach that points out the critical mechanisms which decide about the effectiveness of this instrument. By integrating theory with practical examples of self-regulation, this study highlights the necessity to look at the institutional incentives of an industry, in order to come to a sound judgement about the feasibility and effectiveness of this instrument in a given situation.
Download or read book Understanding Regulation written by Robert Baldwin and published by Oxford University Press. This book was released on 2011-10-28 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulation is a key concern of industries, consumers, citizens, and governments alike. Building on the success of the first edition, Understanding Regulation, Second Edition provides the reader with an introduction to key debates and discussions in the field of regulation from a number of disciplinary perspectives, looking towards law, economics, business, political science, sociology, and social administration. The book has been extensively revised and updated to take into account the significant developments and events of the past decade. Containing several new chapters, it has been completely restructured into seven parts, covering: the fundamental issues regarding regulation; different types of regulatory strategies; rules and enforcement; quality and evaluation; regulation at different levels of government; network issues; and concluding thoughts. Drawing on cross-sectoral and cross-national examples, this book reviews the central questions of regulation, and reflects upon those contentious issues that affect the design and operation of regulatory institutions. Amongst other topics, it discusses 'better regulation', enforcement, self-regulation, risk regulation, cost-benefit analysis, and more utility regulation-oriented topics, such as price-setting. It will be an essential resource for academics, researchers, and graduates across the social sciences studying regulation.
Download or read book Responsive Regulation written by Ian Ayres and published by Oxford University Press. This book was released on 1995-02-16 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book transcends current debate on government regulation by lucidly outlining how regulations can be a fruitful combination of persuasion and sanctions. The regulation of business by the United States government is often ineffective despite being more adversarial in tone than in other nations. The authors draw on both empirical studies of regulation from around the world and modern game theory to illustrate innovative solutions to this problem. Their ideas include an argument for the empowerment of private and public interest groups in the regulatory process and a provocative discussion of how the government can support and encourage industry self-regulation.
Download or read book The Oxford Handbook of Regulation written by Robert Baldwin and published by OUP Oxford. This book was released on 2012-07-19 with total page 680 pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulation is often thought of as an activity that restricts behaviour and prevents the occurrence of certain undesirable activities, but the influence of regulation can also be enabling or facilitative, as when a market could potentially be chaotic if uncontrolled. This Handbook provides a clear and authoritative discussion of the major trends and issues in regulation over the last thirty years, together with an outline of prospective developments. It brings together contributions from leading scholars from a range of disciplines and countries. Each chapter offers a broad overview of key current issues and provides an analysis of different perspectives on those issues. Experiences in different jurisdictions and insights from various disciplines are drawn upon, and particular attention is paid to the challenges that are encountered when specific approaches are applied in practice. Contributors develop their own distinctive arguments relating to the central issues in regulation and apply scholarly rigour and clear writing to matters of high policy-relevance. The essays are original, accessible, and agenda-setting, and the Handbook will be essential reading both to students and researchers and to with regulatory and regulated professionals.
Download or read book The Cambridge Handbook of Compliance written by Benjamin van Rooij and published by Cambridge University Press. This book was released on 2021-05-20 with total page 1559 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance has become key to our contemporary markets, societies, and modes of governance across a variety of public and private domains. While this has stimulated a rich body of empirical and practical expertise on compliance, thus far, there has been no comprehensive understanding of what compliance is or how it influences various fields and sectors. The academic knowledge of compliance has remained siloed along different disciplinary domains, regulatory and legal spheres, and mechanisms and interventions. This handbook bridges these divides to provide the first one-stop overview of what compliance is, how we can best study it, and the core mechanisms that shape it. Written by leading experts, chapters offer perspectives from across law, regulatory studies, management science, criminology, economics, sociology, and psychology. This volume is the definitive and comprehensive account of compliance.
Download or read book Regulatory Institutions and Structures written by Anthony Ogus and published by . This book was released on 2003 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article presents a legal perspective on regulatory institutions, procedures and processes. Analysis of legal instruments examines justifications for regulatory interventions, and considers the inadequacies of private law remedies to instances of market failure (such as monopolies, inadequate or asymmetric information, externalities and co-ordination problems). A distinction is drawn between social and economic regulation: the former deals with such matters as health and safety, and environmental and consumer protection; and the latter is needed where there is insufficient competition. Instruments of social regulation include prior approval, mandatory standards and information disclosure. A range of instruments of economic regulation is also assessed, including competition law, public ownership, price and quality regulation, and competitive public franchising. Analysis of regulatory processes focuses on regulatory rule-making, delegated regulation and self-regulation. Particular weight is given to different forms of accountability - financial, procedural and substantive - which draws attention to the significance of the public interest dimension of regulatory systems.
Download or read book Regulatory Theory written by Peter Drahos and published by ANU Press. This book was released on 2017-02-23 with total page 820 pages. Available in PDF, EPUB and Kindle. Book excerpt: This volume introduces readers to regulatory theory. Aimed at practitioners, postgraduate students and those interested in regulation as a cross-cutting theme in the social sciences, Regulatory Theory includes chapters on the social-psychological foundations of regulation as well as theories of regulation such as responsive regulation, smart regulation and nodal governance. It explores the key themes of compliance, legal pluralism, meta-regulation, the rule of law, risk, accountability, globalisation and regulatory capitalism. The environment, crime, health, human rights, investment, migration and tax are among the fields of regulation considered in this ground-breaking book. Each chapter introduces the reader to key concepts and ideas and contains suggestions for further reading. The contributors, who either are or have been connected to the Regulatory Institutions Network (RegNet) at The Australian National University, include John Braithwaite, Valerie Braithwaite, Peter Grabosky, Neil Gunningham, Fiona Haines, Terry Halliday, David Levi-Faur, Christine Parker, Colin Scott and Clifford Shearing.
Download or read book Regoverning the Workplace written by Cynthia Estlund and published by Yale University Press. This book was released on 2010-01-01 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: This original book seeks to shape current trends toward employer self-regulation into a new paradigm of workplace governance in which workers participate. The decline of collective bargaining and the parallel rise of employment law have left workers with an abundance of legal rights but no representation at work. Without representation, even workers' legal rights are often under-enforced. At the same time, however, many legal and social forces have pushed firms to self-regulate--to take on the task of realizing public norms through internal compliance structures. Cynthia Estlund argues that the trend toward self-regulation is here to stay, and that worker-friendly reformers should seek not to stop that trend but to steer it by securing for workers an effective voice within self-regulatory processes. If the law can be retooled to encourage forms of self-regulation in which workers participate, it can help both to promote public values and to revive workplace self-governance.
Download or read book Regulated Self regulation as a Form of Modern Government written by Wolfgang Schulz and published by Indiana University Press. This book was released on 2004 with total page 120 pages. Available in PDF, EPUB and Kindle. Book excerpt: Massive changes are taking place all over the world in redefining the relationship between government, public, and private institutions. Nowhere is this redefinition more urgent than in communications, where widespread privatization and deregulation of telecommunication companies and broadcasters has created a need for new modes of corporate governance in the new global marketplace. In this study, Wolfgang Schulz and Thorsten Held set out to find answers to key questions relating to the changing role of government--especially in regulating the transnational communications industry--and to provide a tool kit for what they call regulated self-regulation applicable across the world.
