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Preserving Human Agency in Automated Compliance

Onnig H. Dombalagian
2016 Social Science Research Network  
At the same time, in light of the well-known weaknesses of automated systems, securities firms (and their regulators) must temper investment in automation with efforts to augment the agency of compliance  ...  The imperative of realtime, prophylactic regulation increasingly compels reallocation of regulatory and compliance budgets to surveillance and enforcement technology.  ...  Their control of the mechanisms of collection and distribution of such information effectively sets most of the technical standards for those information products. Id. 131.  ... 
doi:10.2139/ssrn.2831611 fatcat:7ri6mpvd5bd3ddslbygchilk2i

New Governance, Compliance, and Principles-Based Securities Regulation

Cristie L. Ford
2008 American Business Law Journal  
the brokers' controlling shareholdings in Cartaway, or any of the related conflicts of interest.  ...  Bill 38 §1 defines material information as ''information relating to the business, operations or securities of an issuer that would reasonably be expected to significantly affect the value or market price  ...  Gary Hagland, A Critical Evaluation of the Compliance Administrative Control System Within Albert E Sharp and its Motivational Impact Upon Those It is Supposed to Control, 3 J. FINAN.  ... 
doi:10.1111/j.1744-1714.2008.00050.x fatcat:7hko3xkmmbhnzdsa2avfpkaq6a

Organizational Structures as Recursively Constructed Systems of Agency and Constraint: Compliance and Resistance in the Context of Structural Conditions*

David Wicks
2008 Canadian Review of Sociology/Revue canadienne de sociologie  
in a typology juxtaposed upon the two dimensions that reflect intended organizational outcomes and the degree of compliance displayed.  ...  Unfortunately with each of these approaches to compliance there only seems to be an interest in the “right” type of compliance to secure, rather than questioning how much, or what types of compliance are  ... 
doi:10.1111/j.1755-618x.1998.tb00728.x fatcat:prqypd5ohvdrpok3lkz3mrpiny

Developing a Maturity Model for the Compliance Function of Investment Firms: A Preliminary Case Study from Norway

Helena Holter Antonsen, Dag Øivind Madsen
2021 Administrative Sciences  
The model indicates a path of evolution wherein the compliance function matures from being reactive and inconsistent to becoming a proactive and integrated part of a firm's business practices.  ...  The findings generally illustrate the ways in which the effectiveness of the compliance function can be evaluated using a maturity model.  ...  This entails putting in place a series of systems and controls to secure a clear organizational structure, lines of responsibility, and effective risk management processes.  ... 
doi:10.3390/admsci11040109 fatcat:m6r77464sjbrlag4wtpnmrvrf4

Commitment or Compliance? Institutional Logics of Work Environment Management

Christian Uhrenholdt Madsen, Peter Hasle
2017 Nordic Journal of Working Life Studies  
'traditional' approach to work environment management and the logic of commitment as the human resource informed approach.  ...  In this paper, we use the 'institutional logics' perspective to propose heuristic ideal types of two institutional logics of work environment management:The logic of compliance as the ideal type of the  ...  This approach reflects human relations inspired ideas about empathetic and semi-therapeutic roles for management.  ... 
doi:10.18291/njwls.v7is2.96688 fatcat:4llfhvzdxvh5pfh4oy7bogfgiy

The Swedish Covid-19 Strategy and Voluntary Compliance: Failed Securitization or Constitutional Security Management?

Oscar L. Larsson
2021 European Journal of International Security  
In spite of early warning signals from the World Health Organization, countries struggled to shape their policy responses and counter-measures for curtailing the spread of the virus while also minimizing  ...  Is this an instance of a failed "securitization" process, or rather a sensible Constitutional and political response to a severe security event?  ...  It rather consists of specific policy instruments and their underlying motivations insofar as they serve to explain the controversial Swedish strategy, regardless of its effectiveness.  ... 
doi:10.1017/eis.2021.26 fatcat:j5boqx5wljb3haba2nfqihgniy

Patriotism and pluralism: identification and compliance in the post-national polity

Antonino Palumbo
2009 Ethics & Global Politics  
The paper discusses the identity-building power and motivational force of patriotism.  ...  The basic idea underlying the discussion is that far from being a mere irrational and destructive force, patriotism is an expression of 'existing human social identity.'  ...  The European Union in Search of Political Identity and Legitimacy,' Florence, 25 and 26 May 2007.  ... 
doi:10.3402/egp.v2i4.2002 fatcat:llopqao5qnec5oebjfeo75ejme

Still no pedagogy? principle, pragmatism and compliance in primary education

Robin Alexander *
2004 Cambridge Journal of Education  
test the continuing validity of Simon's claim by reference to a major policy initiative in the pedagogical domain: the government's Primary Strategy, published in May 2003.  ...  It then critically assesses the Primary Strategy's account of some of the components of pedagogy thus defined, notably learning, teaching, curriculum and culture, and the political assumptions which appear  ...  This kind of reactive or opportunistic appropriation not only smacks of control freakery but also calls further into question the government's much-vaunted principle of 'evidence-based' policy and practice  ... 
doi:10.1080/0305764042000183106 fatcat:7t36iaf77za7bjpa7hmjqqan2y

Paths to Compliance: Enforcement, Management, and the European Union

Jonas Tallberg
2002 International Organization  
EU cooperation and the policy domain with the highest number of directives, the effects of this massive policy program are also visible in the cross-temporal compliance data presented in Figures 1 and  ...  I conclude with a reflection on the preconditions of this supranational compliance system, and the probability of their emergence or creation elsewhere.  ... 
doi:10.1162/002081802760199908 fatcat:mxbwos4vfjhytg3o5izohmzmsu

United Kingdom: Basel Core Principles for Effective Banking Supervision Detailed Assessment of Compliance

International Monetary Fund
2011 IMF Staff Country Reports  
As part of the ARROW assessments, supervisors are asked to determine whether banks have established appropriate information technology policies and processes that address areas such as information security  ...  An assessment of the effectiveness of banking supervision requires a review of the legal framework, both generally and as specifically related to the financial sector, and detailed examination of the policies  ... 
doi:10.5089/9781462333486.002 fatcat:uy25kgqucnax7pqxbgomslq7fu

Compliance with the private standards and capacity building of national institutions under globalization: new agendas for developing countries

M. Iizuka, Y. Bourbon-Galvez
2009 2009 Atlanta Conference on Science and Innovation Policy  
We will discuss the following cases of standards compliance and their impacts on enhancement of national and local capabilities: (1) the salmon farming industry in Chile, (2) and the fresh agricultural  ...  In other words, we discovered that while the global (private) standards intend to control and shape the economic activities in developing countries through value chains, the local institutions also were  ...  Acknowledgements We would like to thank the valuable comments given by Paul Nightingale, Nick von Tunzelmann, Rungroge Kamondetdacha and the participants at the International Workshop on Globalization,  ... 
doi:10.1109/acsip.2009.5367833 fatcat:imxufiol3zebhctqdkckwvneum

Safety climate and culture: Integrating psychological and systems perspectives

Tristan Casey, Mark A. Griffin, Huw Flatau Harrison, Andrew Neal
2017 Journal of Occupational Health Psychology  
We outline four key strategies through which organizations to reconcile the system control problems of promotion versus prevention, and stability versus flexibility.  ...  We discuss how organizations can deploy different configurations of enabling capital to exert control over work systems and maintain safe and productive performance.  ...  Given this emphasis on autonomy and internalization of company goals, energize exerts control over system operators primarily through its effects on internalized forms of motivation.  ... 
doi:10.1037/ocp0000072 pmid:28150991 fatcat:wii6be3ikvarpat2obyxqinqzi

Adopting Vulnerability Principle as the Panacea for Security Policy Monitoring

Prosper K. Yeng, Stephen D., Bian Yang
2021 International Journal of Advanced Computer Science and Applications  
The impact of such harm can be enormous.To avert this, monitoring the compliance of information security policies (otherwise known as use policies) have been adopted as a strategy towards enhancing security  ...  Despite the adoption of information security policies, many industries continue to suffer from the harm of noncompliance.  ...  Key words including employee, information security policy, monitoring and ethics were combined with Boolean functions of AND, OR and NOT, to enhance the effectiveness of the search strategy.  ... 
doi:10.14569/ijacsa.2021.0120303 fatcat:wu5gsfd42ndc7ayhiyhltc6nfm

Generative equality, work and the Third Way [chapter]

Peter McCullen, Colin Harris
2018 The Third Way and beyond  
of autonomy)'. 31 Third, the prerequisite for this effective information flow must be the creation of an active and sustainable trust between the recipients of welfare and the providing agencies. 32  ...  In line with this, management objectives have shifted from attaining control and compliance of the workforce -as suggested by the cycle of control arguments and, more generally, by Taylorist approachestowards  ...  It will therefore be important for New Labour to address those security needs if they wish to foster the active and productive citizenry of Giddens's most hopeful account.  ... 
doi:10.7765/9781526137883.00009 fatcat:6u5jrvq4cngkpg6zt7o7ynpfxq

The Efficacy of Regulation as a Function of Psychological Fit: Reexamining the Hard Law/Soft Law Continuum

Deborah E Rupp, Cynthia A Williams
2011 Theoretical Inquiries in Law  
A law and morality perspective, coupled with insights from the field of psychology, asserts that influence, compliance, and motivation are far more complex than this legal literature would suggest.  ...  Much of the legal literature discusses regulation and regulatory forms with a seemingly implicit assumption that "those to be influenced" are inherently self-interested and thus motivated to comply with  ...  Needs Appealed o T Autonomy/ Meaningful Existence Relatedness/ Belongingness Competency/ Control Motives Activated Ethics/Values/ Moral obligations Social relations Self-interest Structures Figure 1:  ... 
doi:10.2202/1565-3404.1280 fatcat:huxydwqc4vhsbc5kqy2d4mos64
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