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- All HBS Web
(582)
- News (55)
- Research (451)
- Events (4)
- Multimedia (7)
- Faculty Publications (312)
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- 2021
- Chapter
The Professionalization of Compliance
By: Eugene F. Soltes
Keywords: Compliance
Soltes, Eugene F. "The Professionalization of Compliance." Chap. 3 in The Cambridge Handbook of Compliance, edited by Benjamin van Rooij and D. Daniel Sokol, 27–36. Cambridge Law Handbooks. Cambridge University Press, 2021.
- 2022
- Chapter
Measuring Compliance Risk and the Emergence of Analytics
By: Eugene F. Soltes
Corporate compliance manages a diverse set of regulatory and reputational concerns ranging from fraud to privacy to discrimination. However, effectively managing such risks has often been hampered by a lack of adequate information about when, where, and why misconduct... View Details
Keywords: Compliance; Risk; Analytics; Governance Compliance; Governing Rules, Regulations, and Reforms; Risk Management; Analytics and Data Science
Soltes, Eugene F. "Measuring Compliance Risk and the Emergence of Analytics." Chap. 8 in Measuring Compliance: Assessing Corporate Crime and Misconduct Prevention, edited by Melissa Rorie and Benjamin van Rooij, 137–152. Cambridge University Press, 2022.
- Fall 2016
- Article
The Integrity of Private Third-party Compliance Monitoring
By: Jodi L. Short and Michael W. Toffel
Government agencies are increasingly turning to private, third-party monitors to inspect and assess regulated entities’ compliance with law. The integrity of these regulatory regimes rests on the validity of the information third-party monitors provide to regulators.... View Details
Keywords: Regulation; Compliance; Compliance Policies; Conflict Of Interest; Independent Third Party; Inspection; Audit Quality; Auditor; Audit; Environment; Safety; Conflict of Interests; Working Conditions; Labor; Corporate Social Responsibility and Impact; Governance Compliance; Accounting Audits
Short, Jodi L., and Michael W. Toffel. "The Integrity of Private Third-party Compliance Monitoring." Administrative & Regulatory Law News 42, no. 1 (Fall 2016): 22–25.
- 2015
- Working Paper
The Integrity of Private Third-party Compliance Monitoring
By: Jodi L. Short and Michael W. Toffel
Government agencies are increasingly turning to private, third-party monitors to inspect and assess regulated entities’ compliance with law. The integrity of these regulatory regimes rests on the validity of the information third-party monitors provide to regulators.... View Details
Keywords: Regulation; Compliance; Compliance Policies; Conflict Of Interest; Independent Third Party; Inspection; Audit Quality; Auditor; Audit; Environment; Production; Supply Chain; Quality; Government Administration; Working Conditions; Safety; Labor; Governing Rules, Regulations, and Reforms; Governance Compliance; Manufacturing Industry; Public Administration Industry; Accounting Industry; Service Industry; United States
Short, Jodi L., and Michael W. Toffel. "The Integrity of Private Third-party Compliance Monitoring." Harvard Kennedy School Regulatory Policy Program Working Paper, No. RPP-2015-20, November 2015. (Revised December 2015.)
- March 2006
- Background Note
Strategic Compliance Management
Explains the construct of strategic compliance management (SCM) and asserts that managers and their firms can perform more effectively, that is, create or capture more value or better manage risk, when they comply with applicable laws, search for innovation... View Details
Bagley, Constance E. "Strategic Compliance Management." Harvard Business School Background Note 806-173, March 2006.
- Forthcoming
- Article
Sending a Message: An Empirical Assessment of Responses to Punitive and Non-punitive Compliance Messaging Strategies
By: Jodi L. Short, Michael W. Toffel, Elizabeth A. Keenan and Melissa Ouellet
Regulators operate in an increasingly hostile political environment. The U.S. Supreme Court is ramping up efforts to curtail the authority of administrative agencies. The second election of Donald Trump to the presidency has unleashed a torrent of anti-regulatory... View Details
Keywords: Field Experiment; Compliance; Compliance Programs; Compliance Policies; Regulatory Enforcement; Environmental Regulation; Environmental Policy; Government Experimentation; Governance Compliance; Government Administration; Governing Rules, Regulations, and Reforms; Business and Government Relations; Construction Industry; Public Administration Industry; California; United States
Short, Jodi L., Michael W. Toffel, Elizabeth A. Keenan, and Melissa Ouellet. "Sending a Message: An Empirical Assessment of Responses to Punitive and Non-punitive Compliance Messaging Strategies." Ecology Law Quarterly (forthcoming).
- January 2012
- Background Note
Legal Compliance Programs
By: Lynn S. Paine and Lara Adamsons
Paine, Lynn S., and Lara Adamsons. "Legal Compliance Programs." Harvard Business School Background Note 312-111, January 2012.
- March 2018 (Revised April 2018)
- Case
Designing a Compliance Program at AB InBev
By: Eugene Soltes
Compliance programs help companies align the interests and behavior of employees with external expectations and regulation. The case discusses how AB InBev, a major brewer, developed its compliance program. View Details
Keywords: Governance; Crime and Corruption; Governance Compliance; Consumer Products Industry; Africa; Europe; India; North America
Soltes, Eugene. "Designing a Compliance Program at AB InBev." Harvard Business School Case 118-071, March 2018. (Revised April 2018.)
- 14 Jul 2020
- News
El Lado Oscuro de Compliance
- 07 May 2021
- News
IAE Compliance In Short Part One
- 27 Dec 2019
- News
Does compliance have a dark side?
- January 1989 (Revised June 1993)
- Case
General Electric: Compliance Systems
By: Robert L. Simons
After General Electric (GE) is indicted in 1985 for defrauding the Department of Defense, Chairman John F. Welch takes dramatic steps to prevent a recurrence. This case documents the new systems and procedures that are put in place to ensure that all GE employees are... View Details
Keywords: Policy; Contracts; Business or Company Management; Communication; Business History; Behavior; Boundaries; Management Style; Cost Management; Electronics Industry
Simons, Robert L. "General Electric: Compliance Systems." Harvard Business School Case 189-081, January 1989. (Revised June 1993.)
- 9 Aug 2013 - 13 Aug 2013
- Conference Presentation
How Compliance and Networks Shape Status
By: Ranjay Gulati
- 03 Jun 2014
- Working Paper Summaries
Eliciting Taxpayer Preferences Increases Tax Compliance
- Article
Why Compliance Programs Fail: And How to Fix Them
By: Hui Chen and Eugene Soltes
Firms spend millions of dollars annually on whistle-blower hotlines, training, and other efforts to ensure adherence to laws, regulations, and company policies. Yet malfeasance remains entrenched in the corporate world. Why? Too many firms treat compliance as a... View Details
Keywords: Governance Compliance; Programs; Employees; Training; Performance Effectiveness; Measurement and Metrics
Chen, Hui, and Eugene Soltes. "Why Compliance Programs Fail: And How to Fix Them." Harvard Business Review 96, no. 2 (March–April 2018): 116–125.
- 16 Nov 2020
- News
Better Compliance Through Less Surveillance
- spring 1977
- Article
A Managerial View of Compliance
By: Joseph L. Bower
Keywords: Management
Bower, Joseph L. "A Managerial View of Compliance." Price Fixing: Government Case Selection Antitrust Law Journal 46, no. 2 (spring 1977): 498–503.
Compliance as Management (“The Dark Side of Compliance”)
Featured in law-partner response to chapter: Jeffrey M. Kaplan, Does Compliance Have a Dark Side?, Conflict of Interest Blog, Dec. 27, 2019. Keynote to IAE Bus. Sch.,... View Details