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Preserving Human Agency in Automated Compliance
2016
Social Science Research Network
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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
2008
American Business Law Journal
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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*
2008
Canadian Review of Sociology/Revue canadienne de sociologie
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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
2021
Administrative Sciences
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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
2017
Nordic Journal of Working Life Studies
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'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?
2021
European Journal of International Security
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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
2009
Ethics & Global Politics
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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
2004
Cambridge Journal of Education
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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
2002
International Organization
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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
2011
IMF Staff Country Reports
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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
2009
2009 Atlanta Conference on Science and Innovation Policy
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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
2017
Journal of Occupational Health Psychology
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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
2021
International Journal of Advanced Computer Science and Applications
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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]
2018
The Third Way and beyond
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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
2011
Theoretical Inquiries in Law
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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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