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      ComplianceRemove Compliance →

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      • March 2012
      • Background Note

      Managing the Layoff Process: The United States

      By: Sandra J. Sucher
      This note is an overview of the context for managing layoffs in the United States. It describes the legal responsibilities of managers in conducting layoffs, recent unemployment trends, and the financial, health, training, job placement, and other benefits that... View Details
      Keywords: Job Cuts and Outsourcing; Resignation and Termination; Compensation and Benefits; Ethics; Management; Employees; Governance Compliance; United States
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      Sucher, Sandra J. "Managing the Layoff Process: The United States." Harvard Business School Background Note 612-067, March 2012.
      • January 2012
      • Background Note

      Legal Compliance Programs

      By: Lynn S. Paine and Lara Adamsons
      Keywords: Governance Compliance; Programs
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      Paine, Lynn S., and Lara Adamsons. "Legal Compliance Programs." Harvard Business School Background Note 312-111, January 2012.
      • September 2011 (Revised January 2012)
      • Case

      Gerson Lehrman Group: Managing Risks

      By: Boris Groysberg, Paul Healy and Sarah L. Abbott
      It was June 2011 and Alexander Saint-Amand, President and CEO of Gerson Lehrman Group, the largest expert network firm globally, has found his firm once again in the midst of controversy. This controversy centered around a number of insider trading cases that had been... View Details
      Keywords: Risk Management
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      Groysberg, Boris, Paul Healy, and Sarah L. Abbott. "Gerson Lehrman Group: Managing Risks." Harvard Business School Case 412-004, September 2011. (Revised January 2012.)
      • September 2011
      • Article

      A Global Leader's Guide to Managing Business Conduct

      By: Lynn S. Paine, Rohit Deshpandé and Joshua D. Margolis
      An extensive global survey by three Harvard Business School professors finds that employees agree on core standards of corporate behavior. But meeting those standards will require new approaches to managing business conduct. The compliance and ethics programs of most... View Details
      Keywords: Leadership; Management; Ethics; Cross-Cultural and Cross-Border Issues; Globalized Firms and Management; Standards; Corporate Accountability; Corporate Governance
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      Paine, Lynn S., Rohit Deshpandé, and Joshua D. Margolis. "A Global Leader's Guide to Managing Business Conduct." Harvard Business Review 89, no. 9 (September 2011). (Online edition.)
      • August 2011
      • Article

      Coming Clean and Cleaning Up: Does Voluntary Self-Reporting Indicate Effective Self-Policing

      By: Michael W. Toffel and Jodi L. Short
      Regulatory agencies are increasingly establishing voluntary self-reporting programs both as an investigative tool and to encourage regulated firms to commit to policing themselves. We investigate whether voluntary self-reporting can reliably indicate effective... View Details
      Keywords: Environmental Sustainability; Governing Rules, Regulations, and Reforms; Programs; Governance Compliance; Corporate Disclosure; Law Enforcement
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      Toffel, Michael W., and Jodi L. Short. "Coming Clean and Cleaning Up: Does Voluntary Self-Reporting Indicate Effective Self-Policing." Journal of Law & Economics 54, no. 3 (August 2011): 609–649.
      • July 2011 (Revised November 2012)
      • Case

      Ultimate Fighting Championship: License to Operate (A)

      By: George Serafeim and Kyle Welch
      The case describes the challenges that Ultimate Fighting Championship faced as a result of regulatory opposition and loss of the license to operate. The genesis of the business idea, the subsequent growth, and the fall of the UFC are described. The case concludes with... View Details
      Keywords: Governance Compliance; Ethics; Judgments; Investment; Sports Industry; Entertainment and Recreation Industry
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      Serafeim, George, and Kyle Welch. "Ultimate Fighting Championship: License to Operate (A)." Harvard Business School Case 112-011, July 2011. (Revised November 2012.)
      • April 2011 (Revised April 2015)
      • Case

      Cipla 2011

      By: Rohit Deshpande, Sandra J. Sucher and Laura Winig
      Dr. Yusuf Hamied, head of the Indian pharma and generics manufacturing company Cipla, is weighing options for how to continue to support the global fight against HIV/AIDS while positioning his company for growth in a changing regulatory landscape. View Details
      Keywords: Leadership; Leading Change; Leadership Style; Management Teams; Governance Compliance; Corporate Strategy; Pharmaceutical Industry
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      Deshpande, Rohit, Sandra J. Sucher, and Laura Winig. "Cipla 2011." Harvard Business School Case 511-050, April 2011. (Revised April 2015.)
      • April 2011
      • Article

      Ethical Breakdowns: Good People often Let Bad Things Happen. Why?

      By: Max H. Bazerman and Ann E. Tenbrunsel
      Companies are spending a great deal of time and money to install codes of ethics, ethics training, compliance programs, and in-house watchdogs. If these efforts worked, the money would be well spent. But unethical behavior appears to be on the rise. The authors observe... View Details
      Keywords: Ethics; Moral Sensibility; Corporate Accountability; Corporate Governance; Leadership; Behavior; Conflict of Interests
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      Bazerman, Max H., and Ann E. Tenbrunsel. "Ethical Breakdowns: Good People often Let Bad Things Happen. Why?" Harvard Business Review 89, no. 4 (April 2011).
      • 10 Feb 2011
      • Keynote Speech

      Performance vs. Compliance: A Global Leader's Guide to Managing Business Conduct

      By: Lynn S. Paine
      Keywords: Leadership; Global Range; Management; Governance Compliance
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      Paine, Lynn S. "Performance vs. Compliance: A Global Leader's Guide to Managing Business Conduct." University College, London, Centre for Ethics and Law, London, England, February 10, 2011.
      • February 2011 (Revised September 2016)
      • Case

      Investcorp and the Moneybookers Bid

      By: Matthew Rhodes-Kropf, Carin-Isabel Knoop and Nori Gerardo Lietz
      In January 2007, Hazem Ben-Gacem, managing director and co-head of Investcorp Technology Partners (ITP), needs to decide what to bid at an auction for Moneybookers Limited, one of the top three e-payment solution providers in Europe. However, approximately 70% of... View Details
      Keywords: Business Startups; Games, Gaming, and Gambling; Private Equity; Investment; Auctions; Bids and Bidding; Valuation; Europe; United States
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      Rhodes-Kropf, Matthew, Carin-Isabel Knoop, and Nori Gerardo Lietz. "Investcorp and the Moneybookers Bid." Harvard Business School Case 811-013, February 2011. (Revised September 2016.)
      • November 2010 (Revised February 2013)
      • Case

      Energy Security in Europe (A): Nord Stream

      By: Rawi E. Abdelal and Sogomon Tarontsi
      Russian and German energy firms initiated the Nord Stream natural gas pipeline project with strong political support from their home governments but encountered resistance from other states. Although the pipeline would connect Russia with Germany directly, the project... View Details
      Keywords: Non-Renewable Energy; Leadership; Distribution; Business and Government Relations; Conflict and Resolution; Energy Industry; Russia; European Union; Germany
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      Abdelal, Rawi E., and Sogomon Tarontsi. "Energy Security in Europe (A): Nord Stream." Harvard Business School Case 711-026, November 2010. (Revised February 2013.)
      • 14 Oct 2010
      • Conference Presentation

      Coming Clean and Cleaning Up: Does Voluntary Self-Reporting Indicate Effective Self-Policing?

      By: Michael W. Toffel
      Keywords: Governance Compliance
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      Toffel, Michael W. "Coming Clean and Cleaning Up: Does Voluntary Self-Reporting Indicate Effective Self-Policing?" Paper presented at the Workshop for Empirical Research in Operations Management, October 14, 2010.
      • October 2010
      • Supplement

      Belco Global Foods: Spreadsheet Supplement (CW)

      By: C. Fritz Foley and Matthew Johnson
      This case introduces students to the fundamental issues that managers face when deciding what international trade finance terms to use when transacting with other firms. In late 2009, Pam Arnold, the Head of Global Credit at Belco Global Foods must decide which trade... View Details
      Keywords: Customers; Decisions; Trade; Financial Strategy; Governance Compliance; Managerial Roles; Market Transactions
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      Foley, C. Fritz, and Matthew Johnson. "Belco Global Foods: Spreadsheet Supplement (CW)." Harvard Business School Spreadsheet Supplement 211-703, October 2010.
      • September 2010
      • Article

      Making Self-Regulation More Than Merely Symbolic: The Critical Role of the Legal Environment

      By: Jodi L. Short and Michael W. Toffel
      Using data from a sample of U.S. industrial facilities subject to the federal Clean Air Act from 1993 to 2003, this article theorizes and tests the conditions under which organizations' symbolic commitments to self-regulate are particularly likely to result in improved... View Details
      Keywords: Adoption; Code Law; Environmental Sustainability; Governing Rules, Regulations, and Reforms; Organizations; Governance Compliance; Strategy; Motivation and Incentives; United States
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      Short, Jodi L., and Michael W. Toffel. "Making Self-Regulation More Than Merely Symbolic: The Critical Role of the Legal Environment." Administrative Science Quarterly 55, no. 3 (September 2010): 361–396. (Lead article; Featured in the Stanford Social Innovation Review (Summer 2011) and in Behind the scenes of the Administrative Science Quarterly.)
      • Dec 2009
      • Conference Presentation

      Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing

      By: Michael W. Toffel
      Keywords: Governance Compliance
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      Toffel, Michael W. "Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing." Paper presented at the Duke Fuqua School of Business Strategy Seminar, Durham, NC, December 2009.
      • Article

      Mission-Driven Governance

      By: Raymond Fisman, Rakesh Khurana and Edward Martenson

      The purpose of this paper is to provide a useful, easily applied theory of governance performance. The existing model is fundamentally adversarial, rooted in the paradigm of principal-agent conflict. At its base is an image of governance as a never-ending struggle... View Details

      Keywords: Corporate Governance; Governing and Advisory Boards; Knowledge Management; Standards; Mission and Purpose; Organizational Change and Adaptation; Performance Effectiveness; Performance Evaluation
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      Fisman, Raymond, Rakesh Khurana, and Edward Martenson. "Mission-Driven Governance." Stanford Social Innovation Review 7, no. 3 (Summer 2009).
      • May 2009
      • Conference Presentation

      Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing

      By: Michael W. Toffel
      Keywords: Governance Compliance
      Citation
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      Toffel, Michael W. "Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing." Paper presented at the Stanford Operations, Information & Technology Seminars, May 2009.
      • Article

      How Well Do Social Ratings Actually Measure Corporate Social Responsibility?

      By: Aaron K. Chatterji, David I. Levine and Michael W. Toffel
      Ratings of corporations' environmental activities and capabilities influence billions of dollars of "socially responsible" investments as well as some consumers, activists, and potential employees. In one of the first studies to assess these ratings, we examine how... View Details
      Keywords: Governance Compliance; Governing Rules, Regulations, and Reforms; Measurement and Metrics; Corporate Social Responsibility and Impact; Performance Effectiveness; Natural Environment; Pollutants
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      Chatterji, Aaron K., David I. Levine, and Michael W. Toffel. "How Well Do Social Ratings Actually Measure Corporate Social Responsibility?" Journal of Economics & Management Strategy 18, no. 1 (Spring 2009): 125–169.
      • Feb 2009
      • Conference Presentation

      Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing

      By: Michael W. Toffel
      Keywords: Governance Compliance
      Citation
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      Toffel, Michael W. "Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing." University of Western Ontario, Richard Ivey School of Business, February 2009.
      • 06 Feb 2009
      • Conference Presentation

      Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing

      By: Michael W. Toffel
      Keywords: Governance Compliance
      Citation
      Related
      Toffel, Michael W. "Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing." Paper presented at the Conference on Corporate Transparency and Accountability, Washington, DC, February 06, 2009.
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