Journal articles: 'Compliance management'

1

Brink, Alexander. "Handbuch Compliance-Management." Zeitschrift für Wirtschafts- und Unternehmensethik 12, no. 2 (2011): 337–42. http://dx.doi.org/10.5771/1439-880x-2011-2-337.

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Brandt, Verena. "Compliance-Management digitalisieren." Controlling & Management Review 61, no. 4 (May 2017): 78–81. http://dx.doi.org/10.1007/s12176-017-0037-z.

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Brondolo, John, Annette Chooi, Trevor Schloss, and Anthony Siouclis. "Compliance Risk Management: Developing Compliance Improvement Plans." Technical Notes and Manuals 2022, no. 001 (March 2022): 1. http://dx.doi.org/10.5089/9798400205910.005.

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KOTANI, Masashi. "Compliance and records management." Journal of Information Processing and Management 48, no. 7 (2005): 443–50. http://dx.doi.org/10.1241/johokanri.48.443.

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Nash, Hugh O. "Management & Compliance Series." Journal of Clinical Engineering 17, no. 4 (July 1992): 340. http://dx.doi.org/10.1097/00004669-199207000-00021.

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Behringer, Stefan, and Patrick Ulrich. "Compliance-Management in KMU." ZfKE – Zeitschrift für KMU und Entrepreneurship 69, no. 4 (October 1, 2021): 207–23. http://dx.doi.org/10.3790/zfke.69.4.207.

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Ruggiero, Laurie, Anthony Spirito, Donald Coustan, Stephen T. McGarvey, and Kathy Graff Low. "Self-Reported Compliance with Diabetes Self-Management during Pregnancy." International Journal of Psychiatry in Medicine 23, no. 2 (June 1993): 195–207. http://dx.doi.org/10.2190/6l8x-yjp0-4g3d-huuj.

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Objective: The current study examined regimen compliance in pregnant women with pre-existing (overt) diabetes across multiple self-care tasks at three times during the pregnancy: mid-second, early third, and late third trimesters. Method: Forty-nine pregnant women with Type I (68%) or Type II (32%) diabetes completed measures to assess compliance with the diabetic regimen, major and minor life stressors, and social support for the diabetic regimen. Results: Pregnant women with overt diabetes generally reported being compliant with their self-care regimen. There were, however, notable differences in reported compliance levels across different regimen tasks. Specifically, 74 to 79 percent of women reported being always compliant with dietary recommendations compared to 86 to 88 percent for insulin administration, 85 to 89 percent in managing insulin reactions, and 94 to 96 percent for glucose testing. Furthermore, stress in the form of major and minor life events and regimen-related social support were significantly related to self-reported compliance with dietary recommendations. There was no relationship between compliance and blood glucose levels. Conclusions: These findings suggest that psychiatric consultants focus on ways to increase social support as one means of improving compliance in pregnant women with diabetes.

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Miller, Denzil, and Elise Murray. "Compliance Evaluation and Sustainable Resource Management in the CCAMLR." Yearbook of Polar Law Online 12, no. 1 (December 13, 2021): 156–71. http://dx.doi.org/10.1163/22116427_012010011.

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Regional fisheries organisations globally are feeling the impacts of non-compliant behaviour by both contracting and non-contracting parties. Non-compliance arising from activities such as illegal, unreported and unregulated fishing, or failures by flag states to appropriately report the activities of their vessels, has resulted in damage to the environment and damage to the performance of regional fisheries management organisations themselves. As a result, many of these organisations are adopting and implementing a relatively new mechanism to tackle non-compliance: the compliance evaluation procedure. This article demonstrates that by adopting a compliance evaluation procedure, regional fisheries organisations are better placed to identify and address non-compliance in an effort to improve compliance with their conservation measures. It analyses in detail the procedure adopted by one particular organisation, the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR), to suggest that implementation of their procedure has improved transparency, accountability and enforcement. It is argued that the CCAMLR compliance evaluation procedure represents a model for other polar and high seas areas to promote sustainable, and responsible, fishing practices globally.

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Abdullah, Norris Syed, Marta Indulska, and Shazia Sadiq. "Compliance management ontology – a shared conceptualization for research and practice in compliance management." Information Systems Frontiers 18, no. 5 (February 3, 2016): 995–1020. http://dx.doi.org/10.1007/s10796-016-9631-4.

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Bacon, William R., and Nadine J. Dower. "Regulatory Management Simplified with Enterprise Compliance Management." Proceedings of the Water Environment Federation 2007, no. 14 (January 1, 2007): 4197–98. http://dx.doi.org/10.2175/193864707787974094.

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International Monetary Fund. "Moldova: Taking Compliance Management Further." IMF Staff Country Reports 12, no. 199 (2012): 1. http://dx.doi.org/10.5089/9781475506501.002.

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Orphan, Lynn H., and Douglas W. Karafa. "Adaptive Management – Beyond TMDL Compliance." Proceedings of the Water Environment Federation 2008, no. 12 (January 1, 2008): 4408–15. http://dx.doi.org/10.2175/193864708788751981.

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&NA;. "Compliance compromising management of osteoporosis." Inpharma Weekly &NA;, no. 1556 (September 2006): 2. http://dx.doi.org/10.2165/00128413-200615560-00002.

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&NA;. "Compliance aids improve hypertension management." Inpharma Weekly &NA;, no. 835 (May 1992): 16–17. http://dx.doi.org/10.2165/00128413-199208350-00029.

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Cohen, Joshua, Kathyrn Christensen, and Lanna Feldman. "Disease Management and Medication Compliance." Population Health Management 15, no. 1 (February 2012): 20–28. http://dx.doi.org/10.1089/pop.2011.0020.

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16

Faust, Thomas. "Compliance-Management in öffentlichen Verwaltungen." Innovative Verwaltung 35, no. 10 (July 2, 2013): 28–30. http://dx.doi.org/10.1007/s35114-013-0488-9.

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17

Bennett, Gary F. "OSHA compliance and management handbook." Journal of Hazardous Materials 38, no. 2 (August 1994): 344–45. http://dx.doi.org/10.1016/0304-3894(94)90044-2.

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18

Ghosh, Ashim Kumar. "An Overview of Compliance Management." Management Accountant Journal 56, no. 12 (December 31, 2021): 91. http://dx.doi.org/10.33516/maj.v56i12.91-93p.

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Dewi, Rindi Fitria, and Aria Farah Mita. "The Impact of Audit Committee’s Financial Expertise and Status on Accrual Earnings Management." Jurnal Akuntansi dan Keuangan 21, no. 2 (November 4, 2019): 82–89. http://dx.doi.org/10.9744/jak.21.2.82-89.

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This research aims to test the influence of tax sanction and obedience pressure on tax compliance. By applying a 2x2 between-subject factorial experiment method, this research has found the empirical evidence that taxpayers tend to be more tax-compliant when the tax sanction is high rather than low. Next, when taxpayers tend to be more non-compliant when they receive obedience pressure from their superior rather than not. Lastly, from the interaction test between tax sanction and obedience pressure variables, the researcher found empirical evidence that shows that, when given high tax sanctions, a taxpayer will have higher tax compliance rate when they do not receive obedience pressure compared with when they receive obedience pressure. This research has a practical implication that obedience pressure from a superior is a key that could potentially reduce tax compliance rate because, although there are low or high sanctions, if there are any obedience pressure, then the tax compliance rate will be low.

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Bacon, William R., and Nadine J. Dower. "Permit Management Simplified: Enterprise Compliance Management Web Solutions." Proceedings of the Water Environment Federation 2007, no. 3 (January 1, 2007): 1229–49. http://dx.doi.org/10.2175/193864707787975589.

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von Solms, S. H. (Basie). "Information Security Governance – Compliance management vs operational management." Computers & Security 24, no. 6 (September 2005): 443–47. http://dx.doi.org/10.1016/j.cose.2005.07.003.

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22

Wang, Jingxin, Joseph McNeel, William Goff, and Steve Milauskas. "Assessment of Compliance of Forestry Best Management Practices in West Virginia." Southern Journal of Applied Forestry 31, no. 2 (May 1, 2007): 60–65. http://dx.doi.org/10.1093/sjaf/31.2.60.

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Abstract The compliance of forestry best management practices (BMP) was assessed based on 116 randomly selected sites harvested between November 2003 and March 2004 in West Virginia. Landowners were contacted to gain permission for site visits according to the random list. The landowners also were interviewed to identify their knowledge and satisfaction about the harvest and BMP. Four checklists were used to assess 29 BMPs on haul roads, skid trails, landings, and in streamside management zones (SMZ). A general increasing trend in BMP compliance was noted in this statewide BMP assessment with an overall BMP compliance of 74%. Results also indicated that the BMP compliances averaged 81% on haul roads, 68% on skid trails, 80% on landings, and 55% in SMZs.

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23

Hendra, Ridwan. "Comparative Review of the Latest Concept in Compliance Management & The Compliance Management Maturity Models." RSF Conference Series: Business, Management and Social Sciences 1, no. 5 (November 26, 2021): 116–24. http://dx.doi.org/10.31098/bmss.v1i5.457.

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Like many other management systems, the compliance management system needs to be measured to know how exemplary the implementation is. The Compliance management maturity model (CMMM) is one measurement method that can help the organization assess the degree of Compliance Management implementation and the effectiveness of compliance management practices to help the organization achieve its objectives. To determine and identify the state-of-the-art CMMM, this study will enumerate and synthesize current CMMM and map their similarities and differences. Furthermore, to determine if the existing enterprise CMMM can measure the current Compliance Management practices by using the ISO 37301 international Standard as a proxy for a state-of-the-art Compliance Management system. The synthesizing process of the enterprise CMMM uses the literature review approach on the existing CMMM and ISO 37301 as the primary benchmark reference. The findings show that despite organizations facing increasing complexity and organizational characteristics of internal and external regulations, the CMMM as Compliance Management measurement tools are very few. The result also shows that the existing CMMM cannot cover all the current CMMM requirements needed from the International Standard.

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Kim, Sang Soo, and Yong Jin Kim. "The effect of compliance knowledge and compliance support systems on information security compliance behavior." Journal of Knowledge Management 21, no. 4 (July 10, 2017): 986–1010. http://dx.doi.org/10.1108/jkm-08-2016-0353.

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Purpose The purpose of this paper is to understand from the knowledge management perspective how the mechanism of different voluntary compliance behaviors works and how information technology is used for compliance management in corporate settings where privacy and security issues are getting critical due to the advancement of big data and artificial intelligence. Design/methodology/approach In this study, the authors propose a structural model based on the theory of planned behavior and the IT relatedness theory that behavioral belief about compliance and social pressure affect compliance knowledge and compliance intention, and compliance knowledge partially mediates the impact of both independent variables on compliance intention. The authors surveyed with a structured questionnaire 975 employees of a major Korean energy company, S-OIL, which deploys a compliance support system. The respondents are classified into two groups: an Active IT Utilization Group and a Passive IT Utilization Group. Findings The results of our empirical examination show that compliance intention belief and social pressure influence compliance intention, and further, that compliance behavior is mediated by compliance knowledge – in both the active IT utilization group and the passive IT utilization group. However, the significance of each path coefficient, R square and the mediation effect in Model 1 (passive IT utilization group) are obviously a poor contrast to Model 2 (active IT utilization group). Also, the path from behavioral belief to compliance knowledge and social pressure to compliance knowledge show a significant moderating effect of IT utilization level. Originality/value This paper aims to promote more effective voluntary compliance behavior by increasing the understanding of the impact differences of the preceding factors, and the ways in which those are related to the knowledge management practice in terms of both knowledge itself and its support systems, i.e. compliance support system.

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Ivanchenko, Nadezhda Shavkatovna, Tokhirjon Kholovich Khoshimov, and Oleg Mikhailovich Kiselev. "WAYS TO DEVELOP THE COMPLIANCE CONTROL SYSTEM: COMPANY COMPLIANCE RISK MANAGEMENT." Journal of Applied Research 3, no. 1 (2021): 52–59. http://dx.doi.org/10.47576/2712-7516_2021_1_3_52.

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26

Braganza, Ashley, and Ray Hackney. "Diffusing Management Information for Legal Compliance." Journal of Organizational and End User Computing 20, no. 2 (April 2008): 1–24. http://dx.doi.org/10.4018/joeuc.2008040101.

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Dimitrijevic, Marina. "Innovating the tax compliance management process." Zbornik radova Pravnog fakulteta, Nis, no. 67 (2014): 185–98. http://dx.doi.org/10.5937/zrpfni1467185d.

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Robin, Alan, and DavinderS Grover. "Compliance and adherence in glaucoma management." Indian Journal of Ophthalmology 59, no. 7 (2011): 93. http://dx.doi.org/10.4103/0301-4738.73693.

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Thales, Jon Geater. "Is Key Management the New Compliance?" Infosecurity 8, no. 2 (March 2011): 44. http://dx.doi.org/10.1016/s1754-4548(11)70027-4.

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Watts, Peter. "Compliance management in the corporate world." Computer Fraud & Security 2006, no. 12 (December 2006): 19–20. http://dx.doi.org/10.1016/s1361-3723(06)70454-7.

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31

Le Grand, Charles H. "Positive Security, Risk Management, and Compliance." EDPACS 47, no. 4 (April 2013): 1–10. http://dx.doi.org/10.1080/07366981.2013.775792.

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32

Barrow, Mark. "Quality‐management Systems and Dramaturgical Compliance." Quality in Higher Education 5, no. 1 (April 1999): 27–36. http://dx.doi.org/10.1080/1353832990050103.

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Marino, Joseph T. "Enhancing Patient Compliance in Asthma Management." Chest 110, no. 3 (September 1996): 862. http://dx.doi.org/10.1378/chest.110.3.862.

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Papadopoulos, A., and R. Jukes. "Motivation and compliance in wound management." Journal of Wound Care 8, no. 9 (October 1999): 467–69. http://dx.doi.org/10.12968/jowc.1999.8.9.26199.

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Senger, Eike Alexander, and Ingo Stadler. "Compliance-Management in der gesetzlichen Unfallversicherung." Innovative Verwaltung 38, no. 3 (March 2016): 18–20. http://dx.doi.org/10.1007/s35114-016-1267-1.

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36

Stark, Lori J., Lynnda M. Dahlquist, and Frank L. Collins. "Improving children's compliance with diabetes management." Clinical Psychology Review 7, no. 3 (January 1987): 223–42. http://dx.doi.org/10.1016/0272-7358(87)90035-3.

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37

Kaiser, Michael G., Stefan Smolnik, and Gerold Riempp. "Verbesserte Compliance durch Information Lifecycle Management." HMD Praxis der Wirtschaftsinformatik 45, no. 5 (October 2008): 30–38. http://dx.doi.org/10.1007/bf03341247.

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38

Wiatrak, Lidia. "COMPLIANCE MANAGEMENT IN PUBLIC ADMINISTRATION BODIES." Zeszyty Naukowe Wyższej Szkoły Humanitas Zarządzanie 22, no. 2 (June 30, 2021): 129–45. http://dx.doi.org/10.5604/01.3001.0015.0043.

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The aim of this study is to present the compliance functions in public administration bodies and, as a result, to present the demands with regard to the legitimacy of the compliance management in the public sector programme. The author has focused on theoretical considerations which purpose was to justify the necessity of implementing compliance procedures to public administration bodies. The analysis of the list of publications of the subject in terms of the issue mentioned above has been applied with particular reference to „Guidelines regarding the terms of creating and introducing effective compliance programmes in public sector.”, as well as to legal rules and press releases. In addition, the article has been based on the author’s knowledge acquired during the Approved Public Compliance Officer (APCO) training within „Ethics, Compliance & Integrity Professional” programme. The above mentioned issues comply with the present needs of public administration bodies which must implement whistleblowing procedures in accordance with the latest European Union directive and are willing to keep the compliance structures in accordance with the Central Anti-Corruption Bureau guidelines.

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Nagel, Katja. "Compliance-Management allein reicht nicht aus." Lebensmittel Zeitung 73, no. 35 (2021): 24. http://dx.doi.org/10.51202/0947-7527-2021-35-024-2.

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Durch immer höhere rechtliche und ethische Anforderungen auf nationaler und internationaler Ebene wird für Unternehmen aus der Lebensmittel-, Konsumgüter- und Handelsindustrie die Frage nach einem wirksamen System zur Verhinderung von Gesetzesverstößen immer wichtiger.

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Nagel, Katja. "Compliance-Management allein reicht nicht aus." Lebensmittel Zeitung 73, no. 35 (2021): 24. http://dx.doi.org/10.51202/0947-7527-2021-35-024-2.

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Durch immer höhere rechtliche und ethische Anforderungen auf nationaler und internationaler Ebene wird für Unternehmen aus der Lebensmittel-, Konsumgüter- und Handelsindustrie die Frage nach einem wirksamen System zur Verhinderung von Gesetzesverstößen immer wichtiger.

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Robertson, Raymond. "Lights On: How Transparency Increases Compliance in Cambodian Global Value Chains." ILR Review 73, no. 4 (December 6, 2019): 939–68. http://dx.doi.org/10.1177/0019793919893333.

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This article evaluates the implementation of a transparency policy in garment factories in Cambodia through the Better Factories Cambodia program. Using a difference-in-difference approach that is often applied to control for endogeneity, the author finds that compliance improved following the implementation of the transparency policy. Compliance increased in a group of 21 critical compliance areas that represent fundamental worker rights relative to relevant comparison groups. Compliance among the least-compliant factories, however, did not increase relative to other factories, possibly reflecting limited access to resources.

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Iriarte Yoller, N., J. Vicente García, and F. Rico Villademoros. "Short-term compliance in first-episode psychosis." European Psychiatry 33, S1 (March 2016): s254—s255. http://dx.doi.org/10.1016/j.eurpsy.2016.01.644.

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IntroductionNon-compliance is a significant problem in patients with first-episode psychosis (FEP), representing a challenge for mental health professionals due to the heterogeneous course and functional outcomes.ObjectivesThe aim was to describe the short-term compliance in FEP and analyze the demographics, clinical features, and management issues potentially associated with non-compliance.MethodsThis observational and retrospective study included all consecutive FEP admitted to our psychiatry unit from January to June 2015, belonging to our catchment area. To be categorized as compliant, patients had to attend month-1 and month-3 follow-up visits. Characteristics of compliant and non-compliant were compared using a bivariate analysis.ResultsWe included 18 patients whose characteristics are shown in the table. Overall, 8 (44.4%) were non-compliant. Patients who were non-compliant had a significantly shorter length of stay (10.3 [6.3] vs. 18.5 [8.9] days). Most patients (66.7%) had cannabis abuse, being slightly more frequent among non-compliant (75% vs. 60%, P = NS); in addition, the diagnosis of substance-induced psychotic disorder was also more common among non-compliant (50% vs 20%, P = NS). There were 2 patients who were readmitted, both in the non-compliant group (Table 1).ConclusionsShort-term non-compliance is high among patients with FEP. Despite the limitations of our study, our results suggest that, beside other factors (e.g. substance abuse), non-compliance could be associated with management-related factors.Disclosure of interestThe authors have not supplied their declaration of competing interest.

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Gingerich, Barbara Stover. "Compliance Concerns: Risk Management and Management of Employee Risk." Home Health Care Management & Practice 11, no. 5 (August 1999): 65–66. http://dx.doi.org/10.1177/108482239901100515.

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Humphreys, Edward. "Information security management standards: Compliance, governance and risk management." Information Security Technical Report 13, no. 4 (November 2008): 247–55. http://dx.doi.org/10.1016/j.istr.2008.10.010.

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Brener, Alan. "The Role of Compliance as a ‘Gate-Keeper’ Function in Financial Services: Reality vs Regulatory Conception." European Business Law Review 30, Issue 6 (December 1, 2019): 965–84. http://dx.doi.org/10.54648/eulr2019042.

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This paper examines aspects of the role of the compliance department and the compliance officer, in the context of a range of control functions, in firms subject to financial services regulation. The issues and recommendations have global application beyond the UK. The traditional expectation is that the compliance operation advises senior management on the various regulations, and monitors and report adherence to regulatory requirements. However, this paper proposes that the compliance function needs to go further and venture beyond what some may consider its more conventional roles. Additionally, this paper questions the extent boards and regulators can place reliance on the compliance functions and the compliance officer. This will depend on a number of factors including the compliance units’ ‘authority’ within the business, their professionalism, and their ethical attitudes set within the context of the firm’s own cultures. Financial services, compliance, control functions, regulation, ‘three-lines of defence’, Senior Managers Regime, compliant culture, risk management.

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Farrell, Catherine, and Jonathan Morris. "Resigned Compliance." Educational Management Administration & Leadership 32, no. 1 (January 2004): 81–104. http://dx.doi.org/10.1177/1741143204039301.

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47

WEAITT, MATTHEW. "COMPLIANCE BRIEFING." Journal of Financial Regulation and Compliance 1, no. 1 (January 1992): 120–21. http://dx.doi.org/10.1108/eb024760.

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48

JENKINSON, DAN. "COMPLIANCE CULTURE." Journal of Financial Regulation and Compliance 4, no. 1 (January 1996): 41–46. http://dx.doi.org/10.1108/eb024866.

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Shah, Syed Alamdar Ali, Raditya Sukmana, and Bayu Arie Fianto. "Duration model for maturity gap risk management in Islamic banks." Journal of Modelling in Management 15, no. 3 (February 12, 2020): 1167–86. http://dx.doi.org/10.1108/jm2-08-2019-0184.

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Purpose The purpose of this paper is to propose models of duration for maturity gap risk management in Islamic banks. Design/methodology/approach A thorough review of literature on duration modeling, duration measurement in Islamic banks and Shariah compliance has been conducted to set parameters to develop Shariah-compliant maturity gap risk management mechanism. Findings Models based on durations of earning assets and return bearing liabilities using various rates of return earned and paid, benchmark rates and industry standards commonly used by Islamic and conventional banks. Practical implications Increased Shariah compliance has threefold impact. Firstly, it will increase trust of customers. Secondly, it will help improve profitability by reducing non-Shariah compliance penalties from the regulators. And finally, it will enhance market capitalization and returns stability to investors because of enhanced customer base, increased level of trust and increased profitability. Originality/value This research proposes Shariah-compliant maturity gap risk management models based on the concept of duration according to recommendations of Bank for International Settlements. As there is no such maturity gap risk management mechanism that meets the requirements of Shariah using benchmarks that are common between Islamic and conventional banks; therefore, this research presents risk management solutions that can be applied simultaneously in the entire banking sector.

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Kobayshi, Hiroya. "Status in Japan concerning Compliance - Compliance as a part of CSR Management -." Sogang Law Journal 5, no. 2 (August 31, 2016): 15–24. http://dx.doi.org/10.35505/slj.2016.08.5.2.15.

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Journal articles on the topic 'Compliance management'

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