Compliance as the Interaction between Rules and Behavior

Van Rooij, B., & Sokol, D. D. Compliance as the interaction between rules and behavior (Introduction to Cambridge Handbook of Compliance). In B. Van Rooij and D. Daniel Sokol (Eds.), Cambridge Handbook of Compliance. Cambridge, UK: Cambridge University Press (2021 Forthcoming)

UC Irvine School of Law Research Paper No. 2020-29

13 Pages Posted: 10 Apr 2020 Last revised: 24 Apr 2020

See all articles by Benjamin van Rooij

Benjamin van Rooij

University of California, Irvine School of Law; University of Amsterdam - Faculty of Law

D. Daniel Sokol

USC Gould School of Law; USC Marshall School of Business

Date Written: March 28, 2020

Abstract

Compliance has become important in our contemporary markets, societies, and modes of governance across very different public and private domains, stimulating a rich body of empirical work and practical expertise. Yet, so far, we do not have a comprehensive understanding of what compliance is and what mechanisms and interventions play a role in shaping it nor how compliance shapes various fields. Thus far, the academic knowledge of compliance has remained siloed in different disciplinary domains, and along different regulatory and legal spheres and different mechanisms and interventions. This chapter, which is the introduction to the Cambridge Handbook of Compliance, offers a comprehensive view of what compliance is. It takes a broad approach in seeing compliance as the interaction between rules and behavior. It discusses what different mechanisms and interventions are at play in shaping such compliance. And it reflects on the the different methods to study compliance and their inherent limitations.

Keywords: compliance, empirical,

JEL Classification: H26, K10, K20, K42,

Suggested Citation

van Rooij, Benjamin and van Rooij, Benjamin and Sokol, D. Daniel, Compliance as the Interaction between Rules and Behavior (March 28, 2020). Van Rooij, B., & Sokol, D. D. Compliance as the interaction between rules and behavior (Introduction to Cambridge Handbook of Compliance). In B. Van Rooij and D. Daniel Sokol (Eds.), Cambridge Handbook of Compliance. Cambridge, UK: Cambridge University Press (2021 Forthcoming) , UC Irvine School of Law Research Paper No. 2020-29, Available at SSRN: https://ssrn.com/abstract=3563295

Benjamin Van Rooij

University of California, Irvine School of Law ( email )

401 E. Peltason Dr.
Ste. 1000
Irvine, CA 92697-1000
United States

University of Amsterdam - Faculty of Law ( email )

Amsterdam, 1018 WB
Netherlands

D. Daniel Sokol (Contact Author)

USC Gould School of Law ( email )

699 Exposition Boulevard
Los Angeles, CA 90089
United States

USC Marshall School of Business ( email )

701 Exposition Blvd
Los Angeles, CA California 90089
United States

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