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      Governance ComplianceRemove Governance Compliance →

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      • 21 Apr 2005
      • Keynote Speech

      Value Shift: Is Compliance a Catalyst for Sustainable Business Performance?" Panel moderator. "Frontlines Forum: Shift to Value

      By: Lynn S. Paine
      Keywords: Values and Beliefs; Business Ventures; Performance; Governance Compliance
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      Paine, Lynn S. Value Shift: Is Compliance a Catalyst for Sustainable Business Performance?" Panel moderator. "Frontlines Forum: Shift to Value. Frontlines Forum, San Francisco, CA, April 21, 2005.
      • March 2005 (Revised August 2006)
      • Case

      Siebel Systems: The Role of the CFO

      By: Malcolm P. Baker and Lauren Barley
      Mike Lawrie, the newly appointed CEO of Siebel Systems, considers a combination of growth and spending cuts to turn around the struggling software company. Focuses on the role of the chief financial officer, Ken Goldman, in corporate governance and compliance under... View Details
      Keywords: Financial Management; Leading Change; Entrepreneurship; Job Design and Levels; Corporate Governance; Financial Strategy; Management Teams; Corporate Finance; Business and Shareholder Relations; Information Technology Industry
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      Baker, Malcolm P., and Lauren Barley. "Siebel Systems: The Role of the CFO." Harvard Business School Case 205-068, March 2005. (Revised August 2006.)
      • Article

      Designing Sustainability at BMW Group: The Designworks/USA Experience

      By: Kellie McElhaney, Michael W. Toffel and Natalie Hill
      This case study describes how an industrial design company developed a sustainability management system (SMS) standard, designed and implemented an SMS throughout its business, and then became the first company in the world to achieve third-party SMS certification by a... View Details
      Keywords: Design; Governance Compliance; Management Practices and Processes; Standards; Environmental Sustainability; Auto Industry; United States
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      McElhaney, Kellie, Michael W. Toffel, and Natalie Hill. "Designing Sustainability at BMW Group: The Designworks/USA Experience." Greener Management International: The Journal of Corporate Environmental Strategy and Practice 46 (Summer 2004): 103–116.
      • 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
      Keywords: Strategy; Management Practices and Processes; Environmental Management; Adoption; Business and Stakeholder Relations; Organizational Structure; Factories, Labs, and Plants; Competition; Framework; Governance Compliance; Governing Rules, Regulations, and Reforms
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      Delmas, Magali, and Michael W. Toffel. "Stakeholders and Environmental Management Practices: An Institutional Framework." Business Strategy and the Environment 13, no. 4 (July/August 2004): 209–222.
      • May 2004 (Revised June 2004)
      • Case

      Sarvega

      By: Paul A. Gompers and Vanessa del Valle Broussard
      David Cowan, general partner at Bessemer Venture Partners, has taken the lead on Sarvega, a Bessemer-backed company that was recently orphaned by the departure of one of Bessemer's other general partners. Cowan must decide whether to reinvest in Sarvega and, if so,... View Details
      Keywords: Decisions; Venture Capital; Investment; Governance Compliance; Resignation and Termination; Negotiation Deal; Partners and Partnerships; Information Technology Industry
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      Gompers, Paul A., and Vanessa del Valle Broussard. "Sarvega." Harvard Business School Case 204-137, May 2004. (Revised June 2004.)
      • 2003
      • Chapter

      Designing Sustainability at BMW Group: The Designworks/USA Experience

      By: Michael W. Toffel, Natalie Hill and Kellie McElhaney
      This case study describes how an industrial design company developed a Sustainability Management System (SMS) standard, designed and implemented an SMS throughout its business, and then became the first company in the world to achieve third-party SMS certification. The... View Details
      Keywords: Design; Governance Compliance; Management Practices and Processes; Standards; Environmental Sustainability; United States
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      Toffel, Michael W., Natalie Hill, and Kellie McElhaney. "Designing Sustainability at BMW Group: The Designworks/USA Experience." In From Principles to Practice, 57–83. Case Studies Series. Global Compact Office, 2003.
      • 19 Nov 2003
      • Lecture

      Governance Beyond the Boardroom: Assessing Risk and Assuring Compliance Throughout Your Organization." Presenter. "HBS Audioconference

      By: Lynn S. Paine
      Keywords: Governance; Risk and Uncertainty; Governance Compliance; Organizations
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      Paine, Lynn S. Governance Beyond the Boardroom: Assessing Risk and Assuring Compliance Throughout Your Organization." Presenter. "HBS Audioconference. Lecture at the HBS Audioconference, Harvard Business School Publishing, November 19, 2003.
      • 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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      Abdelal, Rawi E., and Laura Alfaro. "Capital Controls." Harvard Business School Background Note 702-082, April 2002. (Revised September 2002.)
      • February 2002
      • Case

      Strategy of the Firm Under Regulatory Review: The Case of Chilectra

      By: Rafael M. Di Tella and Alexander Dyck
      Discusses the largest electric distribution company in Chile and one of the five largest private Chilean companies. Introduces the exercise of operating control in order to improve the profitability of the investments, privatization, and international expansions. View Details
      Keywords: Corporate Governance; Corporate Accountability; Growth and Development Strategy; Privatization; Emerging Markets; Competitive Strategy; Expansion; Global Strategy; Governance Compliance; Utilities Industry; Chile
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      Di Tella, Rafael M., and Alexander Dyck. "Strategy of the Firm Under Regulatory Review: The Case of Chilectra." Harvard Business School Case 702-025, February 2002.
      • January 2002
      • Case

      Price-Fixing Vignettes

      By: Guhan Subramanian and Michelle Kalka
      This case escribes the antitrust prosecutions in the United States and abroad of the international bulk vitamins cartel. Both the civil and criminal fines were historically high, and it was the first time the United States prosecuted foreign nationals for U.S. criminal... View Details
      Keywords: Price; Lawsuits and Litigation; Governance Compliance; Auctions; Laws and Statutes; Monopoly; Globalized Markets and Industries; Retail Industry; Health Industry; United States
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      Subramanian, Guhan, and Michelle Kalka. "Price-Fixing Vignettes." Harvard Business School Case 902-068, January 2002.
      • November 2001
      • Case

      Aventis CropScience and StarLink Corn

      By: Ray A. Goldberg and James M Beagle
      Aventis CropScience responds to the discovery of an unapproved corn variety in food supplies and draws lessons for the company, industry, and governments. View Details
      Keywords: Policy; Governing Rules, Regulations, and Reforms; Food; Science-Based Business; Outcome or Result; Governance Compliance; Problems and Challenges; Nutrition; Food and Beverage Industry
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      Goldberg, Ray A., and James M Beagle. "Aventis CropScience and StarLink Corn." Harvard Business School Case 902-411, November 2001.
      • 2001
      • Working Paper

      Bank Capital and Risk Management: Issues for Banks and Regulators

      By: Kenneth A. Froot

      Banks and financial firms are in the process of evolving away from primary warehousers of risk to diversified originators and distributors of financial services. These changes are important for the way that financial firms think about their needs for economic... View Details

      Keywords: Bank Capital And Risk Management; Issues For Banks And Regulators; Risk Management; Governance Compliance; Capital; Banks and Banking; Banking Industry
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      Froot, Kenneth A. "Bank Capital and Risk Management: Issues for Banks and Regulators." IFCI Geneva Research Paper, No. 8, April 2001. (International Financial Risk Institute.)
      • January 2001 (Revised May 2001)
      • Background Note

      State, The

      By: Rawi E. Abdelal
      Surveys approaches to understanding the state; highlights the relationships between the state, order, and property; and offers an analytical framework for how states vary from place to place and over time. View Details
      Keywords: Business and Government Relations; Governance Compliance; Framework; Economic Sectors; Policy; Private Ownership; Public Ownership; Entrepreneurship; Development Economics; Equality and Inequality
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      Abdelal, Rawi E. "State, The." Harvard Business School Background Note 701-077, January 2001. (Revised May 2001.)
      • 1996
      • Chapter

      Venturing Beyond Compliance

      By: Lynn S. Paine
      Keywords: Governance Compliance
      Citation
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      Paine, Lynn S. "Venturing Beyond Compliance." In The Evolving Role of Ethics in Business, edited by Karen A. Edelman, 13–16. New York, NY: Conference Board, 1996.
      • 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
      Citation
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      Sahlman, William A., and Jason Green. "Richina Capital Partners Limited." Harvard Business School Case 396-059, September 1995.
      • August 1995 (Revised September 1995)
      • Case

      Hutton Branch Manager (C)

      By: Lynn S. Paine and Jane Palley Katz
      Centers on the company's plea of guilty to 2,000 counts of mail and wire fraud in response to the U.S. government's challenge to its cash management practices. Describes the Justice Department's investigations as well as the findings and recommendations of former... View Details
      Keywords: Organizational Change and Adaptation; Financial Management; Governance Controls; Crime and Corruption; Governance Compliance; Law Enforcement; Financial Services Industry; United States
      Citation
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      Paine, Lynn S., and Jane Palley Katz. "Hutton Branch Manager (C)." Harvard Business School Case 396-046, August 1995. (Revised September 1995.)
      • May 1995
      • Background Note

      Note on Industry Self-Regulation and U.S. Antitrust Laws

      By: Lynn S. Paine and Michael Santoro
      Describes the purpose and nature of industry self-regulation and outlines the factors self-regulatory groups must consider to avoid infringing U.S. antitrust laws. Several examples of industry self-regulation are discussed. View Details
      Keywords: Ethics; Governance Compliance; Governing Rules, Regulations, and Reforms; Knowledge; Law
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      Paine, Lynn S., and Michael Santoro. "Note on Industry Self-Regulation and U.S. Antitrust Laws." Harvard Business School Background Note 395-214, May 1995.
      • February 1994 (Revised August 1994)
      • Background Note

      Note on Contingent Environmental Liabilities

      By: Richard H.K. Vietor and Forest L. Reinhardt
      Addresses contingent environmental liabilities that are the result of unforeseen environmental risks where the dollar amount of such liabilities is unknown and depends on future events. In contrast, fines for violating environmental laws are liabilities, but are not... View Details
      Keywords: Legal Liability; Risk Management; Natural Environment; Laws and Statutes; Pollutants; Governance Compliance; United States
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      Vietor, Richard H.K., and Forest L. Reinhardt. "Note on Contingent Environmental Liabilities." Harvard Business School Background Note 794-098, February 1994. (Revised August 1994.)
      • December 1992 (Revised September 1995)
      • Exercise

      Negotiation Exercise on Tradeable Pollution Allowances: General Background Information

      By: Willis M. Emmons III
      Designed to teach students about the trade-offs faced by firms exploring alternative approaches to complying with pollution control regulations. The setting is the U.S. electric utility industry in 1993. In accordance with the provisions of the 1990 Clean Air Act,... View Details
      Keywords: Negotiation; Pollutants; Laws and Statutes; Governing Rules, Regulations, and Reforms; Governance Compliance; Utilities Industry; United States
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      Emmons, Willis M., III. "Negotiation Exercise on Tradeable Pollution Allowances: General Background Information." Harvard Business School Exercise 793-072, December 1992. (Revised September 1995.)
      • December 1992
      • Exercise

      Negotiation Exercise on Tradeable Pollution Allowances: Group A, Utility #1

      By: Willis M. Emmons III
      Describes the position of Utility #1 in negotiating Group A with respect to 1) its SO emissions reduction requirements; 2) the costs of its alternative compliance strategies; and 3) the nature of its state regulatory environment. View Details
      Keywords: Negotiation Participants; Negotiation Process; Pollutants; Laws and Statutes; Governing Rules, Regulations, and Reforms; Governance Compliance; Utilities Industry; United States
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      Emmons, Willis M., III. "Negotiation Exercise on Tradeable Pollution Allowances: Group A, Utility #1." Harvard Business School Exercise 793-073, December 1992.
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