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Table of Contents
Intro; Acknowledgements; Contents; Notes on Contributors; List of Figures; List of Tables; Introduction; Chapter 1 Understanding Compliance with Laws and Regulations: A Mechanism-Based Approach; 1 Introduction; 2 A Mechanism-Based Approach; Explaining Lower-Than-Expected Compliance: A Study in English Prisons; Purposes of the Analysis of Compliance; 3 A Mechanism-Based Typology of Legal Compliance; Instrumental (or Prudential) Compliance; Incentives and Disincentives as Mechanisms of Compliance; 'Creative Compliance'; Normative Compliance; Legitimacy and Compliance
Acceptance of, or Belief in, Social NormsNormative Attachment and Compliance; Compliance Through Normative Cues; Situational Compliance; Architectural Constraint-Based Compliance; Architectural Enablement; Social-Structural Constraint-Based Compliance; Social-Structural Enablement; Compliance Based on Habit or Routine; 4 Interactions Between Different Mechanisms of Compliance; The Instrumental and the Normative; Interaction Effects from Situational Measures; 5 The Nielsen-Parker Holistic Compliance Model; Business Motives; Internal Influences; External Influences; 6 Conclusion; References
Chapter 2 Legitimacy and Regulatory Compliance1 Introduction; 2 What Is Legitimacy?; 3 Mechanism for Legitimising Organisations; Lawfulness; Procedural Justice; Distributive Justice; Effectiveness; 4 Legitimacy and Employee Behaviour; 5 Conclusion; References; Chapter 3 The Uncertain Professional Status of Compliance; 1 Introduction; 2 The Triumph of Compliance; 3 Compliance's Incomplete Professional Status; 4 The Negative Effects of Compliance's Incomplete Professionalism; 5 Reasons for the Uncertain Professional Status of Compliance; 6 The Future of Compliance as a Profession
7 ConclusionReferences; Chapter 4 Compliance: From Soft Law to Hard Law-A View from France; 1 Soft Compliance; Non-legally Binding Instruments; 2 The Role of the NGOs; 3 When Soft Law Prompts Hard Law; 4 The Transition to Hard Law; The Duty of Care; Other Fields of Law; 5 Conclusion; References; Chapter 5 Living with the New General Data Protection Regulation (GDPR); 1 Introduction; 2 Background to the GDPR; 3 A High-Level Overview of the GDPR; Scope; 4 How Businesses Have Attempted to Comply with GDPR; Approach Through 2016-2018; Early 2018; 25 May 2018 and the Immediate Aftermath
A Project Approach (or Not?)5 How Regulators Are Enforcing the Regulation; 6 How Businesses Should Ensure Compliance That Is Practical; A Risk-Based Approach; Examples of GDPR Challenges and Navigation; Organisations Dealing with Minors; Subscription-Based Organisations and Publishers; Cookies; 7 What Does the Future Hold for Data Compliance?; Financial Crime: An Example of Improving Standards; 8 Conclusions; References; Chapter 6 Risk-Based Financial Regulation and Compliance Officer Liability; 1 Introduction; 2 Risk and Financial Services Regulation
Acceptance of, or Belief in, Social NormsNormative Attachment and Compliance; Compliance Through Normative Cues; Situational Compliance; Architectural Constraint-Based Compliance; Architectural Enablement; Social-Structural Constraint-Based Compliance; Social-Structural Enablement; Compliance Based on Habit or Routine; 4 Interactions Between Different Mechanisms of Compliance; The Instrumental and the Normative; Interaction Effects from Situational Measures; 5 The Nielsen-Parker Holistic Compliance Model; Business Motives; Internal Influences; External Influences; 6 Conclusion; References
Chapter 2 Legitimacy and Regulatory Compliance1 Introduction; 2 What Is Legitimacy?; 3 Mechanism for Legitimising Organisations; Lawfulness; Procedural Justice; Distributive Justice; Effectiveness; 4 Legitimacy and Employee Behaviour; 5 Conclusion; References; Chapter 3 The Uncertain Professional Status of Compliance; 1 Introduction; 2 The Triumph of Compliance; 3 Compliance's Incomplete Professional Status; 4 The Negative Effects of Compliance's Incomplete Professionalism; 5 Reasons for the Uncertain Professional Status of Compliance; 6 The Future of Compliance as a Profession
7 ConclusionReferences; Chapter 4 Compliance: From Soft Law to Hard Law-A View from France; 1 Soft Compliance; Non-legally Binding Instruments; 2 The Role of the NGOs; 3 When Soft Law Prompts Hard Law; 4 The Transition to Hard Law; The Duty of Care; Other Fields of Law; 5 Conclusion; References; Chapter 5 Living with the New General Data Protection Regulation (GDPR); 1 Introduction; 2 Background to the GDPR; 3 A High-Level Overview of the GDPR; Scope; 4 How Businesses Have Attempted to Comply with GDPR; Approach Through 2016-2018; Early 2018; 25 May 2018 and the Immediate Aftermath
A Project Approach (or Not?)5 How Regulators Are Enforcing the Regulation; 6 How Businesses Should Ensure Compliance That Is Practical; A Risk-Based Approach; Examples of GDPR Challenges and Navigation; Organisations Dealing with Minors; Subscription-Based Organisations and Publishers; Cookies; 7 What Does the Future Hold for Data Compliance?; Financial Crime: An Example of Improving Standards; 8 Conclusions; References; Chapter 6 Risk-Based Financial Regulation and Compliance Officer Liability; 1 Introduction; 2 Risk and Financial Services Regulation