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Viewing: 1 - 50 of 551 papers

1.

FinTech, RegTech and the Reconceptualization of Financial Regulation

Northwestern Journal of International Law & Business, Forthcoming, University of Hong Kong Faculty of Law Research Paper No. 2016/035
Number of pages: 51 Posted: 05 Oct 2016 Last Revised: 26 Oct 2016
Accepted Paper Series
The University of Hong Kong - Faculty of Law, The University of Hong Kong - Faculty of Law and University of New South Wales (UNSW) - Faculty of Law
Downloads 8,947
2.

The Effect of SOX Internal Control Deficiencies on Firm Risk and Cost of Equity

Journal of Accounting Research, Forthcoming 2008
Number of pages: 61 Posted: 20 Apr 2006 Last Revised: 07 Nov 2008
Accepted Paper Series
Graduate School of Management, UC-Davis, University of Iowa - Department of Accounting, University of Texas at Austin - Department of Accounting and Algert Global, LLC
Downloads 4,672
3.

Corporate Social Responsibility Beyond Law, Through Law, for Law

U. of Edinburgh School of Law Working Paper No. 2009/03
Number of pages: 69 Posted: 28 Mar 2009
Working Paper Series
Independent
Downloads 4,344
4.

The Distributed Liability of Distributed Ledgers: Legal Risks of Blockchain

University of Illinois Law Review, 2017-2018, Forthcoming, University of Luxembourg Law Working Paper No. 007/2017, Center for Business & Corporate Law (CBC) Working Paper 002/2017, University of Hong Kong Faculty of Law Research Paper No. 2017/020, UNSW Law Research Paper No. 17-52, European Banking Institute Working Paper Series 14
Number of pages: 49 Posted: 15 Aug 2017 Last Revised: 13 Jul 2018
Accepted Paper Series
Universite du Luxembourg - Faculty of Law, Economics and Finance, University of New South Wales (UNSW) - Faculty of Law and The University of Hong Kong - Faculty of Law
Downloads 3,442
5.

The Sarbanes-Oxley Act of 2002 and Security Market Behavior: Early Evidence

Number of pages: 56 Posted: 22 Mar 2004
Working Paper Series
University of Memphis - School of Accountancy and University of Memphis - Fogelman College of Business and Economics

Multiple version iconThere are 2 versions of this paper

Downloads 2,861
6.

How Does Internal Control Regulation Affect Financial Reporting?

AAA 2007 Financial Accounting & Reporting Section (FARS) Meeting Paper
Number of pages: 45 Posted: 15 Sep 2006 Last Revised: 15 Sep 2009
Working Paper Series
Villanova University - Accountancy and Ohio State University (OSU) - Department of Accounting & Management Information Systems
Downloads 2,726
7.

Market Reactions to the Disclosure of Internal Control Weaknesses and to the Characteristics of Those Weaknesses Under Section 302 of the Sarbanes Oxley Act of 2002

Number of pages: 42 Posted: 02 Nov 2005
Working Paper Series
University of Georgia - J.M. Tull School of Accounting, University of Tennessee, Haslam College of Business, Accounting and Information Management and University of Michigan - Stephen M. Ross School of Business

Multiple version iconThere are 2 versions of this paper

Downloads 2,573
8.

Regulating a Revolution: From Regulatory Sandboxes to Smart Regulation

23 Fordham Journal of Corporate and Financial Law 31-103 (2017), European Banking Institute Working Paper Series 2017 - No. 11, University of Luxembourg Law Working Paper No. 006/2017, University of Hong Kong Faculty of Law Research Paper No. 2017/019, UNSW Law Research Paper No. 17-71, Center for Business and Corporate Law (CBC) Working Paper Series 001/2017
Number of pages: 67 Posted: 19 Aug 2017 Last Revised: 13 Jul 2018
Accepted Paper Series
Universite du Luxembourg - Faculty of Law, Economics and Finance, University of New South Wales (UNSW) - Faculty of Law, The University of Hong Kong - Faculty of Law and The University of Hong Kong - Faculty of Law
Downloads 2,486
9.

Corporate Governance in an Era of Compliance

William & Mary Law Review, Vol. 57, No. 6, 2016, Fordham Law Legal Studies Research Paper No. 2766661
Number of pages: 66 Posted: 20 Apr 2016
Accepted Paper Series
Fordham University School of Law
Downloads 2,422
10.

Corporate Criminal Liability in Australia: An Evolving Corporate Governance Technique?

Vanderbilt Law School, Law and Economics Research Paper Series No. 03-10, Journal of Business Law, p. 1, 2003
Number of pages: 41 Posted: 13 Aug 2003
Accepted Paper Series
The University of Sydney Law School
Downloads 2,416
11.

The Role of Government in Corporate Governance

New York University Journal of Law and Business, Vol. 1, p. 219, 2004, KSG Working Paper No. RWP04-045
Number of pages: 28 Posted: 02 Nov 2004 Last Revised: 29 Mar 2010
Working Paper Series
University of Pennsylvania Law School, Harvard University - Harvard Kennedy School (HKS), Harvard University - John F. Kennedy School of Government and Harvard University - Harvard Kennedy School (HKS)
Downloads 2,289
12.

Corporate Governance of Banks after the Financial Crisis

"Corporate Governance of Banks after the Financial Crisis”, in: E. Wymeersch, K. J. Hopt, G. Ferrarini, eds., Financial Regulation and Supervision, A post-crisis analysis, Oxford University Press 2012, pp. 337-367, ECGI - Law Working Paper No. 181/2011
Number of pages: 5 Posted: 29 Aug 2011 Last Revised: 23 Dec 2013
Accepted Paper Series
Max Planck Institute for Comparative and International Private Law
Downloads 2,209
13.

Reporting Internal Control Deficiencies in the Post-Sarbanes-Oxley Era: The Role of Auditors and Corporate Governance

Number of pages: 37 Posted: 11 Jan 2005
Working Paper Series
Bentley University and George Mason University - Department of Accounting

Multiple version iconThere are 2 versions of this paper

Downloads 1,860
14.

Antitrust Compliance Programmes & Optimal Antitrust Enforcement

Journal of Antitrust Enforcement, Volume 1, Issue 1, April 2013, Forthcoming
Number of pages: 35 Posted: 16 Nov 2012
Accepted Paper Series
King's College London – The Dickson Poon School of Law
Downloads 1,725
15.

Revisiting a Foreign Corrupt Practices Act Compliance Defense

2012 Wisconsin Law Review 609
Number of pages: 52 Posted: 11 Jan 2012 Last Revised: 11 Jul 2012
Accepted Paper Series
Southern Illinois University School of Law
Downloads 1,579
16.

The Risk Management Duties of the Board of Directors

Hanne Birkmose, Mette Neville & Karsten Engsig Sørensen (eds.), Boards of Directors in European Companies – Reshaping and Harmonising Their Organisation and Duties, Forthcoming , Financial Law Institute Working Paper Series 2013-02
Number of pages: 32 Posted: 21 May 2013 Last Revised: 24 May 2013
Accepted Paper Series
Tilburg Law School
Downloads 1,402
17.

The Effect of Internal Control and Risk Management Regulation on Earnings Quality: Evidence from Germany

Journal of Accounting and Public Policy 33 (1): 1-31, AAA 2008 Financial Accounting and Reporting Section (FARS) Paper
Number of pages: 58 Posted: 20 Nov 2006 Last Revised: 18 Mar 2014
Accepted Paper Series
University of Illinois at Urbana-Champaign, University of Muenster and University of Muenster
Downloads 1,366
18.

New Governance, Compliance, and Principles-Based Securities Regulation

American Business Law Journal, Forthcoming
Number of pages: 55 Posted: 15 Mar 2007
Accepted Paper Series
Peter A. Allard School of Law
Downloads 1,342
19.

Rethinking Criminal Corporate Liability

Indiana Law Journal, Vol. 82, No. 2, Spring 2007
Number of pages: 41 Posted: 07 Apr 2007
Accepted Paper Series
Jenner & Block, LLC
Downloads 1,219
20.

Evolution of Corporate Criminal Liability: Implications for Managers

NYU, Law and Economics Research Paper No. 04-022, LEADERSHIP AND GOVERNANCE FROM THE INSIDE OUT, Jeffrey Sonnenfeld & Robert Gandossey, ed., 2004
Number of pages: 12 Posted: 15 Sep 2004 Last Revised: 27 May 2008
Accepted Paper Series
New York University School of Law
Downloads 1,206
21.

'C' is for Crucible: Behavioral Ethics, Culture, and the Board's Role in C-Suite Compliance

RAND Center for Corporate Ethics and Governance Symposium White Paper Series, Symposium on "Culture, Compliance & the C-Suite: How Executives and Policymakers Can Better Safeguard Against Misconduct at the Top" (2013)
Number of pages: 24 Posted: 30 May 2013 Last Revised: 19 Nov 2014
Accepted Paper Series
Bryan Cave LLP
Downloads 1,136
22.

E-Compliance: Towards a Roadmap for Effective Risk Management

Number of pages: 24 Posted: 28 Mar 2007
Working Paper Series
Harvard University - Berkman Klein Center for Internet & Society and University of St. Gallen Law School
Downloads 1,121
23.

Cartels, Corporate Compliance and What Practitioners Really Think About Enforcement

Antitrust Law Journal, Vol. 78, 2012
Number of pages: 40 Posted: 07 Jun 2012
Accepted Paper Series
University of Florida - Levin College of Law
Downloads 1,106
24.

In Search of Effective Ethics & Compliance Programs

39 Journal of Corporation Law 769 (2014), University of Tennessee Legal Studies Research Paper No. 229
Number of pages: 64 Posted: 12 Dec 2013 Last Revised: 09 Nov 2014
Accepted Paper Series
The Konkurrenz Group
Downloads 1,081
25.

Corporate Governance of Banks and Other Financial Institutions After the Financial Crisis: Regulation in the Light of Empiry and Theory

Journal of Corporate Law Studies, Volume 13, Part 2, pp. 219-253.
Number of pages: 35 Posted: 03 Oct 2013 Last Revised: 14 Nov 2013
Accepted Paper Series
Max Planck Institute for Comparative and International Private Law
Downloads 1,049
26.

Arthur Andersen and the Myth of the Corporate Death Penalty: Corporate Criminal Convictions in the Twenty-First Century

15 University of Pennsylvania Journal of Business Law 797 (2013)
Number of pages: 46 Posted: 21 Aug 2012 Last Revised: 07 May 2013
Accepted Paper Series
O'Melveny & Myers LLP
Downloads 1,030
27.

The Development and Implementation of IMF and World Bank Conditionality

HWWA Discussion Paper No. 165
Number of pages: 66 Posted: 11 Feb 2003
Working Paper Series
Heidelberg University
Downloads 1,004
28.

Financial Reporting Fraud and Other Forms of Misconduct: A Multidisciplinary Review of the Literature

Review of Accounting Studies, 2018, Vol 23(2), 732-783, Columbia Business School Research Paper No. 17-87
Number of pages: 90 Posted: 22 Aug 2017 Last Revised: 25 May 2018
Accepted Paper Series
Columbia Business School - Accounting, Business Law & Taxation, Ohio State University (OSU) - Fisher College of Business, Duke University School of Law, University of Washington - Michael G. Foster School of Business, University of Washington - Michael G. Foster School of Business and University of Southern California - Leventhal School of Accounting
Downloads 985
29.

Betting the Corporation: Compliance or Defiance? Compliance Programs in the Context of Deferred and Non-Prosecution Agreements - Corporate Pre-Trial Agreement Update - 2008

Corporate Counsel Review, Forthcoming
Number of pages: 25 Posted: 23 Jan 2009 Last Revised: 26 Jan 2009
Accepted Paper Series
affiliation not provided to SSRN, Haynes and Boone LLP and OCEG
Downloads 973
30.

Perception is Not Reality: The FCPA, Brazil, and the Mismeasurement of Corruption

Minnesota Journal of International Law, Vol. 22, No. 1, p. 247, 2013
Number of pages: 35 Posted: 02 Feb 2013 Last Revised: 24 Feb 2013
Accepted Paper Series
University of Minnesota - Twin Cities - School of Law
Downloads 959
31.

Compliance, Technology, and Modern Finance

11 Brook. J. Corp. Fin. & Com. L. 159 (2016), Temple University Legal Studies Research Paper No. 2017-06
Number of pages: 24 Posted: 25 Jan 2017 Last Revised: 21 Apr 2017
Accepted Paper Series
Temple University - James E. Beasley School of Law
Downloads 951
32.

The Two Faces of Lawyers: Professional Ethics and Business Compliance With Regulation

Georgetown Journal of Legal Ethics, Vol. 22, 2009, University of Miami Legal Studies Research Paper No. 2007-23
Number of pages: 48 Posted: 06 Dec 2007 Last Revised: 13 Aug 2014
Accepted Paper Series
Melbourne Law School, University of Melbourne, University of Miami - School of Law and University of Aarhus - Department of Political Science
Downloads 927
33.

Technologies of Compliance: Risk and Regulation in a Digital Age

Texas Law Review, Vol. 88, p. 669, 2010, UC Berkeley Public Law Research Paper No. 1463727
Number of pages: 71 Posted: 29 Aug 2009 Last Revised: 28 Feb 2014
Accepted Paper Series
University of California, Berkeley - School of Law
Downloads 909
34.

The Emergence of Regtech 2.0: From Know Your Customer to Know Your Data

(2016) 44 Journal of Financial Transformation 79, UNSW Law Research Paper No. 17-63
Number of pages: 20 Posted: 02 Oct 2017
Working Paper Series
The University of Hong Kong - Faculty of Law, The University of Hong Kong - Faculty of Law and University of New South Wales (UNSW) - Faculty of Law
Downloads 852
35.

Deferred Prosecution and Non-Prosecution Agreements and the Erosion of Corporate Criminal Liability

Maryland Law Review, Vol. 72, No. 4, 2013, U of Michigan Public Law Research Paper No. 352
Number of pages: 51 Posted: 03 Oct 2013
Accepted Paper Series
University of Michigan Law School
Downloads 851
36.

Regulating the 'New Regulators': Current Trends in Deferred Prosecution Agreements

American Criminal Law Review, Vol. 45, 2008
Number of pages: 30 Posted: 24 Feb 2008
Accepted Paper Series
Hogan & Hartson LLP and affiliation not provided to SSRN
Downloads 831
37.

Tracing the Historical Development of Corporate Social Responsibility and Corporate Social Reporting

Marina Nehme and Claudia Wee, ‘Tracing the Historical Development of Corporate Social Responsibility and Corporate Social Reporting’ (2008) 15 James Cook University Law Review, 129-168
Number of pages: 40 Posted: 31 Oct 2013
Accepted Paper Series
UNSW Australia and University of New South Wales (UNSW) - Australian School of Business, Banking & Finance
Downloads 825
38.

Rethinking Compliance

3 J. of Antitrust Enforcement 31 (2015), University of Florida Levin College of Law Research Paper No. 16-3
Number of pages: 47 Posted: 05 Aug 2014 Last Revised: 18 Jan 2016
Accepted Paper Series
Independent and University of Florida - Levin College of Law
Downloads 821
39.

The Compliance Function: An Overview

NYU Law and Economics Research Paper No. 14-36
Number of pages: 20 Posted: 20 Nov 2014 Last Revised: 15 Jan 2015
Working Paper Series
New York University School of Law
Downloads 813
40.

Sarbanes-Oxley: Legislating in Haste, Repenting in Leisure

UCLA School of Law, Law-Econ Research Paper No. 06-14
Number of pages: 16 Posted: 01 May 2006
Working Paper Series
University of California, Los Angeles (UCLA) - School of Law
Downloads 807
41.

Corporate Governance Dynamics and Tax Compliance

International Trade and Business Law Review, 2009, U of Michigan Law & Economics, SJD Working Paper No. 1361895
Number of pages: 27 Posted: 19 Mar 2009 Last Revised: 29 Jun 2009
Accepted Paper Series
Università degli Studi di Milano-Bicocca
Downloads 786
42.

The State of Information Security Law: A Focus on the Key Legal Trends

Number of pages: 55 Posted: 30 Mar 2008
Working Paper Series
Locke Lord LLP
Downloads 776
43.

Classifying Institutional Investors

Number of pages: 35 Posted: 09 Aug 2004
Working Paper Series
Camara & Sibley LLP
Downloads 748
44.

Internal Controls after Sarbanes-Oxley: Revisiting Corporate Law's Duty of Care as Responsibility for Systems

Number of pages: 32 Posted: 29 Sep 2005
Working Paper Series
Georgetown University Law Center
Downloads 747
45.

Basel 3, Pillar 2: The Role of Banks’ Internal Governance and Control Function

Number of pages: 12 Posted: 16 Aug 2011
Working Paper Series
Università degli studi di Modena e Reggio Emilia (UNIMORE) - Center for Research in Banking and Finance (CEFIN)
Downloads 744
46.

Proactive Financial Reporting Enforcement and Shareholder Wealth

Number of pages: 59 Posted: 27 Sep 2016 Last Revised: 15 Dec 2017
Working Paper Series
University of Chicago - Booth School of Business, University of Chicago - Booth School of Business and University of Chicago - Booth School of Business
Downloads 703
47.

Two Ways to Think About the Punishment of Corporations

American Criminal Law Review, 2009, Northwestern Public Law Research Paper No. 09-19
Number of pages: 45 Posted: 22 Oct 2009 Last Revised: 27 Oct 2009
Accepted Paper Series
University of Chicago Law School
Downloads 700
48.

Shining Light on Global Supply Chains

Harvard International Law Journal, Vol. 56, p. 419, 2015
Number of pages: 46 Posted: 22 Oct 2014 Last Revised: 16 Feb 2016
Accepted Paper Series
University of British Columbia – Faculty of Law
Downloads 694
49.

Information Disclosure and Regulatory Compliance: Economic Issues and Research Directions

Number of pages: 18 Posted: 04 Aug 2006
Working Paper Series
New York University (NYU) - Leonard N. Stern School of Business
Downloads 683
50.

The Privatization of Compliance

RAND Center for Corporate Ethics and Governance Symposium White Paper Series, Symposium on "Transforming Compliance: Emerging Paradigms for Boards, Management, Compliance Officers, and Government" (2014).
Number of pages: 13 Posted: 01 Jun 2014 Last Revised: 13 Jan 2015
Accepted Paper Series
Bryan Cave LLP
Downloads 680