Compliance - Publications - Faculty & Research

15 Dec 2020
Research & Ideas

The Unspoken Messages of COVID-19 Restrictions

that emphasizing an activity’s health risks might encourage compliance better than imposing blanket restrictions. “If the opening up messaging was, ‘Yes, we will allow you to do this because we respect individual freedom, but you’re... View Details

Keywords: by Danielle Kost; Food & Beverage

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1.16 Student Educational Records | MBA

violation of rights of students under FERPA may be submitted in writing within 180 days to the Family Policy Compliance Office, US Department of Education, 400 Maryland Avenue, S.W., Washington, DC 20202-5920. View Details

September 1995
Case

Richina Capital Partners Limited

By: William A. Sahlman and Jason Green

Richard Yan and Suzanne Foels raise a $52.5 million fund to invest in Chinese companies in concert with major multinational companies. They face all the challenges of starting a business from scratch in addition to the challenges of operating in a cross-cultural... View Details

Keywords: Business Startups; Venture Capital; Problems and Challenges; Emerging Markets; Multinational Firms and Management; Cross-Cultural and Cross-Border Issues; Governance Compliance; Business Strategy; Expansion; Investment Return; China

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18 Feb 2009
First Look

First Look: February 18, 2009

selection, and creating separate committees for professional practice, ethics, and compliance and operations; and enhancing its ethics and compliance program through human resource processes (e.g.,... View Details

Keywords: Martha Lagace

12 Jan 2015
Research & Ideas

Regulators Ease Up on Companies Generating Political Benefits

of the financial scandals that propelled the recent economic collapse, Heese looked at enforcement by the Securities and Exchange Commission, asking why regulators were so amiss at monitoring firms' compliance with accounting standards.... View Details

Keywords: by Michael Blanding

01 Sep 2020
Blog Post

6 Ways to Support COVID-Weary Employees

punishment and dominant leadership. Tightness seems to be an adequate coping response to an immediate crisis such as a pandemic, as it requires people’s strict compliance to a new set of rules, such as social distancing, to protect people... View Details

Keywords: All Industries

October 1992 (Revised August 1994)
Case

Allied-Signal: Managing the Hazardous Waste Liability Risk

By: Richard H.K. Vietor and Edward Prewitt

Allied-Signal, Inc., one of the world's oldest chemical companies and today a diversified conglomerate, is liable for clean-up costs of old hazardous waste sites. These costs are substantial: reserves grew to nearly $500 million in 1991. Attempting to avoid further... View Details

Keywords: Wastes and Waste Processing; Environmental Sustainability; Programs; Cost Management; Policy; Government Legislation; Factories, Labs, and Plants; Governance Compliance; Legal Liability; Chemical Industry; United States; Europe

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HBS - Financials | From the Chief Financial Officer

compliance issues that are significantly raising the cost of doing business. In addition, we are mindful of the potential impact of growing geopolitical tensions on the economic landscape. The School’s capital budget for fiscal 2024 is... View Details

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Terms of Use - HBS Online

uploads. In some Programs, users may contribute by speaking or appearing on camera, and User Content may include transmissions or recordings of a user’s voice and/or image. You agree that you will use the Services in compliance with the... View Details

26 Apr 2011
First Look

First Look: April 26

simply a bilateral matter. First, a need to secure construction permits in multiple jurisdictions around the Baltic Sea involved other countries. And second, Germany's membership in the European Union entailed compliance with goals and... View Details

Keywords: Sean Silverthorne

29 Oct 2020
Research & Ideas

The COVID Gender Gap: Why Fewer Women Are Dying

health officials to consider targeting men when communicating recommendations around COVID-19 to attempt to increase compliance with safety regulations—for their own good and the good of society, Pons says. "You can imagine that some men... View Details

Keywords: by Dina Gerdeman; Health

20 Jan 2016
Research & Ideas

Maybe Uber isn't God's Gift to Mankind

the UK, licensed and insured vehicles, and full compliance with every applicable law and regulation. But Uber's “casual driver” model offered a perpetual cost advantage, and in October 2014 Hailo abandoned the US market. Uber's lesson to... View Details

Keywords: by Carmen Nobel; Transportation; Insurance

22 Jul 2021
News

Mentoring Fashion Startups in Singapore; Rising Star Accolades for Mid-Career Women

winner is Amy Kadomatsu (MBA 1998), CEO of ComplySci, a leading RegTech company providing compliance solutions to more than 1,200 financial services and professional services companies globally. For the entrepreneur sector, the winner is... View Details

Keywords: Margie Kelley

01 Dec 2008
News

Lesson from the Fall

employees of the chairman and CEO. Ethical Discipline What Skilling and chairman Kenneth Lay failed to understand as leaders is that compliance with espoused ethical and legal standards is an organizational achievement. Or to put it... View Details

Keywords: Malcolm S. Salter; Oil and Gas Extraction; Mining; Electric Power Generation, Transmission, Distribution; Utilities

14 Jul 2015
First Look

First Look: July 14, 2015

a palliative care program. Purchase this case: https://cb.hbsp.harvard.edu/cbmp/product/615052-PDF-ENG Harvard Business School Case PEL-073 Between Compliance and Support: The Role of the Commonwealth in District Takeovers No abstract... View Details

Keywords: Sean Silverthorne

April 2002 (Revised September 2002)
Background Note

Capital Controls

By: Rawi E. Abdelal and Laura Alfaro

Only in the waning years of the 20th century did international financial markets begin to enjoy the freedom from government regulation that they had experienced before the first world war. By 2002, international capital markets had grown to be enormous--$1.2 trillion... View Details

Keywords: History; Policy; Business and Government Relations; Change Management; Cost vs Benefits; Governance Controls; Governance Compliance; Emerging Markets; Financial Markets; Network Effects; Banking Industry; Financial Services Industry

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11 May 2011
Research & Ideas

Building a Better Board

external events in the late 1990s, accelerated dramatically with the accounting scandals of the Enron era plus the passage of Sarbanes-Oxley, and then continued to change under the pressure of shareholder activism. There's a lot more attention paid to non-fun stuff... View Details

Keywords: by Carmen Nobel

01 Sep 2011
News

Water for Life

initiatives that go beyond compliance with national standards. We also started undertaking innovative programs on wastewater effluent reuse as part of our water recycling efforts, as well as energy-efficient projects to reduce our carbon... View Details

Keywords: Waste Management and Remediation Services; Corporate Services; Water, Sewage and Supply Systems; Utilities

April 2022 (Revised August 2022)
Case

Conflicts of Interest at Uptown Bank

By: Jonas Heese

In 2013, two employees debated whether to blow the whistle on their employer, Bell Bank, after completing an internal review that revealed undisclosed conflicts of interest. Bell Bank’s Asset Management business disproportionately invested clients’ money in Bell Bank’s... View Details

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July/August 2004
Article

Stakeholders and Environmental Management Practices: An Institutional Framework

By: Magali Delmas and Michael W. Toffel

Despite burgeoning research on companies' environmental strategies and environmental management practices, it remains unclear why some firms adopt environmental management practices beyond regulatory compliance. This paper leverages institutional theory by proposing... View Details