Relevant bibliographies by topics / Compliance regulatory strategies

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  1. Journal articles
  2. Dissertations / Theses
  3. Books
  4. Book chapters
  5. Conference papers

Academic literature on the topic 'Compliance regulatory strategies'

Author: Grafiati
Published: 4 June 2021
Last updated: 12 February 2022

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Journal articles on the topic "Compliance regulatory strategies"

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Liu, Ning, Carlos Wing-Hung Lo, and Xueyong Zhan. "Regulatory Ties and Corporate Compliance Strategies." Public Performance & Management Review 42, no. 3 (October 10, 2018): 580–605. http://dx.doi.org/10.1080/15309576.2018.1486214.

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Haines, Fiona. "Regulatory Failures and Regulatory Solutions: A Characteristic Analysis of the Aftermath of Disaster." Law & Social Inquiry 34, no. 01 (2009): 31–60. http://dx.doi.org/10.1111/j.1747-4469.2009.01138.x.

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This article analyzes the regulatory reform and implementation process in Australia following three event clusters: an industrial explosion, recent terrorist attacks, and a corporate collapse. The research employed a characteristic analysis where the compliance challenge on the ground is understood as affected not only by the enforcement efforts of the regulator, but also the reform process and the structure of the industry concerned. In each of the cases studied, preferred reforms could be understood as “metaregulatory” and framed around outcomes, principles, and processes rather than a preoccupation with adherence to prescriptive rules. Metaregulation was seen as the most appropriate regulatory framework to maintain the integrity between regulatory goal, regulatory regime, and compliance behavior. Yet, reform pressures that shaped the causal narrative associated with the particular risk, the emotional work involved in compliance, and success strategies of sites all affected what risks were actually reduced and hence the likelihood of a repeat disaster.
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Kwon, Juhee, and M. Eric Johnson. "Health-Care Security Strategies for Data Protection and Regulatory Compliance." Journal of Management Information Systems 30, no. 2 (October 2013): 41–66. http://dx.doi.org/10.2753/mis0742-1222300202.

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Karassin, Orr, and Aviad Bar-Haim. "How Regulation Effects Corporate Social Responsibility: Corporate Environmental Performance under Different Regulatory Scenarios." World Political Science 15, no. 1 (May 27, 2019): 25–53. http://dx.doi.org/10.1515/wps-2019-0005.

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AbstractIn a multilevel corporate social performance model we examine the effects of three different regulatory scenarios on corporate environmental performance (CEP) (relating to compliance and beyond compliance behaviors) as a measure of CSR. The empirical state defined as a “cooperative regulator” is assessed against three simulated scenarios: a “coercive regulator” (more punitive), a “demanding regulator” (strengthened standards) and a “lax regulator” (less punitive and less demanding). The relative effect of different regulatory scenarios is examined within a multilevel multivariate model. The model allows for the estimation of the role of regulatory strategies in relation to other CEP antecedents. The model includes the principal driving factors effecting CEP and incorporates three levels of analysis: institutional, organizational, and individual. The multilevel nature of the design allows for the assessment of the relative importance of the levels and their components in the achievement of CEP. Included in the institutional level are stakeholder expectations, regulatory demands and regulatory power. Included in the organizational level are corporate organizational culture, CSR orientation of managers and organizational leadership. Included in the individual level are personal workplace behaviors and norms, namely: job satisfaction, organizational commitment and organizational citizenship behavior. The simulation of regulatory scenarios shows that the empirical “cooperative regulator” has the strongest positive effect on CEP. Contrarily, coercive regulatory practices reduce the internal motivation for compliance and beyond compliance action, although they may increase the external incentives. Laxer regulatory practices reduce the credibility of the normative effect of the regulatory regime and weaken the internal motivation for CEP. While findings show that regulation does play a key role in CEP performance, the organizational level has the strongest and most positive significant relationships with CEP. Organizational culture and manager’s attitudes and behaviors are significant driving forces. Generally, the individual level, depicting workers’ attitudes toward their workplace, is found as insignificant in promoting CEP.
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Prorokowski, Lukasz, and Hubert Prorokowski. "Organisation of compliance across financial institutions." Journal of Investment Compliance 15, no. 1 (February 27, 2014): 65–76. http://dx.doi.org/10.1108/joic-12-2013-0041.

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Purpose – Compliance is defined as conforming to a rule, such as a policy framework, standard or law. Regulatory compliance encompasses all processes that require an entity to be aware of and conform to relevant regulations. As a result, organisation of compliance function remains complex due to the overwhelming set of compliance requirements that exert pressure on various business segments. This report aims to investigate how banks and financial services firms are responding to the regulatory-driven changes to the current compliance landscape, with particular attention paid to nascent challenges and structural changes affecting the organisation of compliance. Design/methodology/approach – The current research project is based on in-depth, semi-structured interviews with five universal banks and three financial services firms to pursue the best practices of adapting to the accelerating change in the regulatory-driven compliance landscape. Findings – In the aftermath of the global financial crisis, banks and financial institutions across the globe have been required to adapt to numerous regulatory reforms that are exerting increased pressure on compliance functions. Amid recent events of multi-million fines to banks that displayed flawed surveillance systems and control failings, the changing regulatory landscape has shown that the relationship with the regulators and compliance with the new regulatory frameworks is a difficult process even for the tier-1 global banks. Originality/value – Embarking on a peer review of the structures, roles, strategies and responsibilities of different compliance functions across banks and financial services institutions, this paper provides advice to financial institutions on ways of dealing with the complex emerging issues to ensure that the regulatory and compliance arrangements do not turn detrimental. At this point, the paper recognizes that the precise design of a compliance function will vary across individual banks and financial services firms. Nonetheless, this paper addresses the root issues and characteristics that are commonly shared despite the differences in organisations of compliance.
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Ciarlo, Gregorio, Daniele Angelosante, Marco Guerriero, Giorgio Saldarini, and Nunzio Bonavita. "Enhanced PEMS Performance and Regulatory Compliance through Machine Learning." Sustainability in Environment 3, no. 4 (November 2, 2018): 329. http://dx.doi.org/10.22158/se.v3n4p329.

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<p><em>Modeling technologies</em><em> can pro</em><em>vide strong support to existing emission management systems, by means of what is known as a Predictive Emission Monitoring System (PEMS). These systems do not measure emissions through any hardware device, but use computer models to predict emission concentrations on the ground of process data (e.g., fuel flow, load) and ambient parameters (e.g., air temperature, relative humidity). They actually represent a relevant application arena for the so-called Inferential Sensor technology which has quickly proved to be invaluable in modern process automation and optimization strategies (Qin et al., 1997; Kadlec et al., 2009). While lots of applications demonstrate that software systems provide accuracy comparable to that of hardware-based Continuous Emission Monitoring Systems (CEMS), virtual analyzers are able to offer additional features and capabilities which are often not properly considered by end-users. Depending on local regulations and constraints, PEMS can be exploited either as primary source of emission monitoring or as a back-up of hardware-based CEMS able to validate analyzers’ readings and extend their service factor. PEMS consistency (and therefore its acceptance from environmental authorities) is directly linked to the accuracy and reliability of each parameter used as input of the models. While environmental authorities are steadily opening to PEMS, it is easy to foresee that major recognition and acceptance will be driven by extending PEMS robustness in front of possible sensor failures. Providing reliable instrument fail-over procedures is the main objective of Sensor Validation (SV) strategies. In this work, the capabilities of a class of machine learning algorithms will be presented, showing the results based on tests performed actual field data gathered at a fluid catalytic cracking unit.</em></p>
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McKay, Stephen, and Geraint Ellis. "Reparation or Retribution: An Investigation into Regulatory Compliance in Planning." Environment and Planning A: Economy and Space 37, no. 7 (July 2005): 1249–62. http://dx.doi.org/10.1068/a36288.

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It is an axiom of good planning practice that procedure is informed by up-to-date research. Consequently, it is surprising to discover that there remains a dearth of specialised planning-enforcement literature relating to theory and implementation. In this paper an evaluation is given of the effectiveness of planning enforcement in Britain by reviewing existing legislative mechanisms and strategies employed by officials. Theoretical perspectives are drawn upon to suggest how the system might be improved through attention to the structural factors underpinning it.
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Chinander, Karen R., Paul R. Kleindorfer, and Howard C. Kunreuther. "Compliance Strategies and Regulatory Effectiveness of Performance-Based Regulation of Chemical Accident Risks." Risk Analysis 18, no. 2 (April 1998): 135–43. http://dx.doi.org/10.1111/j.1539-6924.1998.tb00925.x.

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Njuguna, Dr James Rurigi, Prof Roselyn Gakure, Dr Anthony Gichuhi Waititu, and Dr Paul Katuse. "REGULATORY RISK MANAGEMENT STRATEGIES AND THE GROWTH OF MICROFINANCE SECTOR IN KENYA." International Journal of Finance 2, no. 4 (February 28, 2017): 76. http://dx.doi.org/10.47941/ijf.117.

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Purpose: The purpose of this study was to determine how the regulatory risk management strategies contribute to growth of MFI sector in KenyaMethodology: The study adopted a correlation survey research design. The population of this study was fifty seven (57) MFIs. The sampling frame was the list of MFIs provided in the AMFI website www.amfikenya.com. A sample of thirteen (17) MFIs was selected using the random sampling approach. A questionnaire and an interview schedule were the main data collection tools. Qualitative data was analyzed using content analysis whereas the quantitative data was analysed using Statistical Package for Social Sciences (SPSS) where descriptive and regression analysis were conducted to determine the relationship between enterprise risk management strategies and growth of MFIs.Findings: The study findings indicated that the MFI were compliant with all relevant regulations and that the regulatory environment provided an appropriate framework for the MFIs current and potential operations and legal status. The findings further indicated that the supervisory agency (CBK) provided adequate supervision of the MFI and the MFI has not in the past incurred heavy fines for violating regulations. Furthermore, the study findings indicated that the MFI has no cases pending in court over breach of contract. The regression results indicated that there was a positive effect on MFI growthUnique contribution to theory, practice and policy: it is recommended that the MFIs should continue practicing effective regulatory risk management practices such as development of appropriate regulatory framework for current and potential operations and legal status. This would significantly improve the growth of the MFI. The study also recommends that embracing supervision by the supervisory agency- CBK and honoring of contracts to avoid court cases and fines were good practices. It is recommended that compliance with all relevant regulations is crucial as it enhances the growth of MFIs. Study findings recommended that putting measures to prevent collection of illegal deposits and establishing a good working relationship with the regulatory authorities, will improve the growth of MFIs. The study recommends that encouraging open communication with regulators and provision of an opportunity to defuse any potential problems may be a crucial regulatory strategy as it improves the growth of MFIs
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Jin, Luosong, Chang He, Xiangyang Wang, Wei Wang, and Panting Zhao. "Study on the Compliance Management of the Electricity Market in China Based on the Evolutionary Game Theory." Complexity 2021 (March 12, 2021): 1–22. http://dx.doi.org/10.1155/2021/5532763.

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China’s new round of power system reform has further released market vitality, making the power market more open and diversified. Meanwhile, China’s power market faces various risks and challenges incurred by this new reform, which further highlights the importance of the compliance management. However, the study on effective compliance management of China’s power market is missing, and the way to achieving effective compliance management is still unanswered. This paper tries to fill the research gap using the evolutionary game theory. We constructed a tripartite game model to analyze the strategic choices and influencing factors of power generators, compliance departments of the trading centre, and government regulatory agencies. Furthermore, simulation analysis was conducted based on evolutionary stable strategies. The results show that effective compliance management can be achieved without government supervision if the market mechanism is properly designed. In addition, the costs and profits of market participants and regulators are important factors influencing the effectiveness of compliance management. Our findings may arouse inspiration for the policy makers to construct an effective compliance management system.
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Dissertations / Theses on the topic "Compliance regulatory strategies"

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Gely, Luis R. "Microbrewing in Madison County Alabama: Exploring Business Formation Strategies and Regulatory Compliance." ScholarWorks, 2015. https://scholarworks.waldenu.edu/dissertations/888.

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Business leaders venturing in the microbrewing business sector experience long delays due to federal, state, and city requirements unique to this industry. The purpose of this multiple case study was to explore strategies used by microbrewers in cases bounded by the fulfillment of the same licensing requirements to launch a microbrewery in Madison County, Alabama. The dynamic capabilities framework served as the conceptual framework for this study. A purposive sampling of 4 microbrewers who possessed tacit knowledge about the microbrewery licensure process participated in face-to-face semistructured interviews providing in-depth information about their strategic approaches. The overarching research question addressed the strategic approaches microbrewers used to complete the microbrewery licensure process. Data analysis included the verbatim transcription of interviews coded for common patterns and themes. The following themes emerged from the data analysis: learning from other brewers, flexible strategic approach, establishing a brewery first, attaining licensing second, business planning strategies, and regulatory echelons for microbrewing licensing. The 4 participants reported that learning from other brewers and applying a flexible strategic approach were the preferred strategies to navigate the licensure process in becoming a commercial microbrewer. The implications for social change include reduction in gap between understanding and effective strategies to fulfill microbrewing licensing that could benefit communities by promoting business creation, employment, and added taxation revenue from craft beers produced, sold, and consumed locally.
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Ebbers, Gabriele K. "A comparative analysis of regulatory strategies in accounting and their impact on corporate compliance." Thesis, Bangor University, 1998. https://research.bangor.ac.uk/portal/en/theses/a-comparative-analysis-of-regulatory-strategies-in-accounting-and-their-impact-on-corporate-compliance(c9fce03d-7a85-4018-8fed-b1f93db4dccc).html.

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This thesis analyses whether compliance behaviour in financial reporting may be influenced by differences in regulatory sources and in the design of the regulations themselves. A logistic binomial model is -used to describe the relative odds of full compliance rather than regulatory avoidance by way of partial or creative compliance. The analysis is based on the accounting policies adopted by internationally listed companies registered in Europe where, despite the harmonising impact of the European company law directives, regulatory strategies in accounting continue to be diverse.
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Urmanbetova, Asel. "Three essays on evolving regulatory climates and market adjustment strategies." Diss., Georgia Institute of Technology, 2015. http://hdl.handle.net/1853/53949.

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This dissertation consists of three empirical analyses examining the interactive and evolving nature of government regulations and how the regulated industries respond to the changes in the regulatory climate. Using the U.S. pulp and paper mills as an example, the three essays bring together a number of strands of literature in environmental economics and policy studies discussing how changes in the U.S. environmental policy are shaped by industry concerns and which strategies firms choose in order to adjust to the changes in policy. Essay 1 examines if, in addition to the standard input factors, indirect costs associated with tax and environmental policies affect papermakers’ ‘stay put’ investment decisions. The findings suggest that state environmental stringency has a negative impact on investments, but it is statistically insignificant and higher taxes do not deter investments. The Essay 2 studies whether voluntary abatement and prevention efforts at pulp and paper mills affects regulatory stringency they face. The analysis tests the hypotheses of ‘responsive regulation’ and whether regulators are driven by numerical pollution targets or budgetary constraints. The findings suggest that voluntary pollution abatement and prevention have greater impact on regulatory stringency than government budgets. Finally, Essay 3 analyzes the relationship between pollution prevention (P2) policy instruments and adoption of P2 modifications. The study tests the hypotheses of whether P2 policy instruments have positive impact on P2 adoptions. The results suggest that the policy instruments have different effects on different types of P2 modifications and that regulatory and political threat is a strong predictor of P2 adoptions.
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Couto, Jonas Antunes. "Estratégias regulatórias para o compliance de obrigações de acesso a redes de telecomunicações no Brasil: um estudo de caso sobre a exploração industrial de linhas dedicadas (EILD)." Universidade de São Paulo, 2015. http://www.teses.usp.br/teses/disponiveis/2/2133/tde-24082015-161113/.

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O presente trabalho tem como pano de fundo a regulação de acesso a redes de telecomunicações e os problemas relacionados ao cumprimento das respectivas regras. A partir da descrição e conjugação de literaturas especializadas, a PRIMEIRA PARTE do texto delimita um conceito de estratégia regulatória, apontando seus elementos-chave as ferramentas e abordagens passíveis de escolha e combinações pelo regulador em suas tomadas de decisões , bem como as vantagens e desvantagens associadas a cada um deles. A SEGUNDA PARTE explora as características gerais do setor e da regulação das telecomunicações com vistas a facilitar a estruturação de um conceito de estratégia regulatória de compliance em regimes de acesso a redes. Na TERCEIRA PARTE o conceito proposto é aplicado ao caso brasileiro da regulamentação da EILD (Exploração Industrial de Linhas Dedicadas), uma modalidade de contratação de redes de operadores dominantes, como forma de identificar e avaliar criticamente as estratégias de compliance dos diferentes regimes de EILD já vigentes no país. Nesse processo são apontadas limitações das estratégias de compliance instituídas pelas normativas de EILD analisadas. Ainda nessa etapa o conceito proposto é aplicado a regimes internacionais de acesso a redes de telecomunicações, o que permite comparar a estratégia de compliance do atual regime brasileiro com as estratégias de compliance de regimes de acesso a redes de telecomunicações em países que também enfrentaram dificuldades para assegurar o cumprimento das regras de acesso. Conclui-se destacando a funcionalidade do uso do conceito para delimitação e análise das estratégias de compliance de regimes de acesso a redes de telecomunicações, o que auxilia o regulador em suas tomadas de decisão relacionadas à questão.
The thesis focuses on the regulation of telecom network access and the problems of compliance arising thereof. By describing and comparing some literature on the theme, PART ONE of the research defines a concept for regulatory strategy pointing out its main elements tools and approaches that might be selected and matched by the regulator , as well as the advantages and disadvantages related to it. PART TWO explores telecom´s sector and regulation basic features in order to facilitate the construction of a concept for compliance regulatory strategies applied to network access regimes. PART THREE presents a case study by means of which the proposed concept is applied to the regulation of leased lines (EILD) in Brazil a type of contracting network from dominant operators as a way to identify and discuss the compliance strategies of the different EILD regimes within the country. At this stage of the research some failures regarding the compliance strategies are underlined. Moreover the proposed concept is applied to international telecommunications network access regimes in a way to compare the compliance strategy within the current Brazilian access regime with the compliance strategies put in force by overseas regulators who faced many difficulties to deal with non-compliance problems. The conclusion underlines that the adoption of the proposed concept is helpful to identify and evaluate compliance strategies within the telecommunications network access regimes and therefore may facilitate the regulator task when deciding on the issue at hand.
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Muller, Grant Envar. "Optimal asset allocation and capital adequacy management strategies for Basel III compliant banks." University of the Western Cape, 2015. http://hdl.handle.net/11394/4755.

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Philosophiae Doctor - PhD
In this thesis we study a range of related commercial banking problems in discrete and continuous time settings. The first problem is about a capital allocation strategy that optimizes the expected future value of a commercial bank’s total non-risk-weighted assets (TNRWAs) in terms of terminal time utility maximization. This entails finding optimal amounts of Total capital for investment in different bank assets. Based on the optimal capital allocation strategy derived for the first problem, we derive stochastic models for respectively the bank’s capital adequacy and liquidity ratios in the second and third problems. The Basel Committee on Banking Supervision (BCBS) introduced these ratios in an attempt to improve the regulation of the international banking industry in terms of capital adequacy and liquidity management. As a fourth problem we derive a multi-period deposit insurance pricing model which incorporates the optimal capital allocation strategy, the BCBS’ latest capital standard, capital forbearance and moral hazard. In the fifth and final problem we show how the values of LIBOR-in-arrears and vanilla interest rate swaps, typically used by commercial banks and other financial institutions to reduce risk, can be derived under a specialized version of the affine interest rate model originally considered by the bank in question. More specifically, in the first problem we assume that the bank invests its Total capital in a stochastic interest rate financial market consisting of three assets, viz., a treasury security, a marketable security and a loan. We assume that the interest rate in the market is described by an affine model, and that the value of the loan follows a jump-diffusion process. We wish to find the optimal capital allocation strategy that maximizes an expected logarithmic utility of the bank’s TNRWAs at a future date. Generally, analytical solutions to stochastic optimal control problems in the jump setting are very difficult to obtain. We propose an approximation method that exploits a similarity between the forms of the control problems of the jump-diffusion model and the diffusion model obtained by removing the jump. With the jump assumed sufficiently small, the analytical solution of the diffusion model then serves as a proxy to the solution of the control problem with the jump. In the second problem we construct models for the bank’s capital adequacy ratios in terms of the proxy. We present numerical simulations to characterize the behaviour of the capital adequacy ratios. Furthermore, in this chapter, we consider the approximate optimal capital allocation strategy subject to a constant Leverage Ratio, which is a specific non-risk-based capital adequacy ratio, at the minimum prescribed level. We derive a formula for the bank’s TNRWAs at constant (minimum) Leverage Ratio value and present numerical simulations based on the modified TNRWAs formula. In the third problem we model the bank’s liquidity ratios and we monitor the levels of the liquidity ratios under the proxy numerically. In the fourth problem we derive a multi-period deposit insurance pricing model, the latest capital standard a la Basel III, capital forbearance and moral hazard behaviour. The deposit insurance pricing method utilizes an asset value reset rule comparable to the typical practice of insolvency resolution by insuring agencies. We perform numerical computations with our model to study its implications. In the final problem, we specialize the affine interest rate model considered previously to the Cox-Ingersoll-Ross (CIR) interest rate dynamic. We consider fixed-for-floating interest rate swaps under the CIR model. We show how analytical expressions for the values of both a LIBOR-in-arrears swap and a vanilla swap can be derived using a Green’s function approach. We employ Monte Carlo simulation methods to compute the values of the swaps for different scenarios. We wish to make explicit the contributions of this project to the literature. A research article titled “An Optimal Portfolio and Capital Management Strategy for Basel III Compliant Commercial Banks” by Grant E. Muller and Peter J. Witbooi [1] has been published in an accredited scientific journal. In the aforementioned paper we solve an optimal capital allocation problem for diffusion banking models. We propose using the solution of the Brownian motions control problem of [1] as the proxy in problems two to four of this thesis. Furthermore, we wish to note that the methodology employed on the final problem of this study is actually from the paper [2] of Mallier and Alobaidi. In the paper [2] the authors did not present simulation studies to characterize their pricing models. We contribute a simulation study in which the values of the swaps are computed via Monte Carlo simulation methods.
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Books on the topic "Compliance regulatory strategies"

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Hutchison, Doug. Safety, health, and environmental quality systems management: Strategies for cost-effective regulatory compliance. Sunnyvale, CA: Lanchester Press, 1997.

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Rose, Kenneth. Regulatory treatment of Electric Utility Clean Air Act compliance strategies, costs, and emission allowances. Columbus: National Regulatory Research Institute, the Ohio State University, 1993.

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A comparative analysis of regulatory strategies in accounting and their impact on corporate compliance. Frankfurt am Main: P. Lang, 2001.

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Maintenance Management & Regulatory Compliance Strategies. Industrial Press, Inc., 2003.

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Wireman, Terry. Maintenance Management and Regulatory Compliance Strategies. Industrial Press, Inc., 2005.

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Maintenance Management and Regulatory Compliance Strategies. Industrial Press, Inc., 2005.

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Environmental law update '95: Compliance and litigation strategies for a changing regulatory environment. Boston, MA (10 Winter Pl., Boston 02108-4751): MCLE, 1995.

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Environmental law update '93: Litigation and compliance strategies for a changing regulatory environment. Boston, MA: MCLE, 1993.

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Ebbers, Gabriele K. Comparative Analysis of Regulatory Strategies in Accounting and Their Impact on Corporate Compliance. Lang GmbH, Internationaler Verlag der Wissenschaften, Peter, 2002.

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Environmental law update '94: Compliance and litigation strategies for a changing regulatory environment. Boston, MA: MCLE, 1994.

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Book chapters on the topic "Compliance regulatory strategies"

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Brener, Alan. "Lessons for compliance officers from regulatory enforcement actions and guidance." In Strategies for Compliance, 208–23. Abingdon, Oxon; New York, NY: Routledge, 2021.: Routledge, 2020. http://dx.doi.org/10.4324/9780429321825-10.

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Brener, Alan. "Lessons for compliance officers from regulatory enforcement: the UK experience." In Strategies for Compliance, 192–207. Abingdon, Oxon; New York, NY: Routledge, 2021.: Routledge, 2020. http://dx.doi.org/10.4324/9780429321825-9.

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Montgomery, Eda Ross. "Strategies for Ensuring Regulatory and cGMP Compliance of Outsourced Stability Programs." In Pharmaceutical Stability Testing to Support Global Markets, 239–45. New York, NY: Springer New York, 2009. http://dx.doi.org/10.1007/978-1-4419-0889-6_29.

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Brener, Alan. "Compliance and the regulators." In Strategies for Compliance, 67–81. Abingdon, Oxon; New York, NY: Routledge, 2021.: Routledge, 2020. http://dx.doi.org/10.4324/9780429321825-4.

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Bröring, Stefanie, and Sukhada Khedkar. "Regulatory Compliance and Company Strategies: The Case of the Nutrition and Health Claims Regulation (EC) No. 1924/2006." In Regulating and Managing Food Safety in the EU, 105–28. Cham: Springer International Publishing, 2018. http://dx.doi.org/10.1007/978-3-319-77045-1_6.

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Howse, Robert. "Distinguished Essay: Non-tariff Barriers and Climate Policy: Border-Adjusted Taxes and Regulatory Measures as WTO-Compliant Climate Mitigation Strategies." In European Yearbook of International Economic Law 2015, 3–18. Berlin, Heidelberg: Springer Berlin Heidelberg, 2015. http://dx.doi.org/10.1007/978-3-662-46748-0_1.

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"The UK Regulatory Environment." In Essential Strategies for Financial Services Compliance, 1–13. Hoboken, NJ, USA: John Wiley & Sons, Inc., 2015. http://dx.doi.org/10.1002/9780470699386.ch1.

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Gloverberg, Romeo. "Legal, Regulatory, and Compliance Issues in Platform Management." In Africa's Platforms and the Evolving Sharing Economy, 182–206. IGI Global, 2021. http://dx.doi.org/10.4018/978-1-7998-3234-8.ch009.

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The egalitarian community of Africa is deeply immersed, and it can confront the negative emissions of evading super-platform activities on the development of indigenous platforms. The fantasy of the over half a billion mobile users by 2020 and the 521,614,944 internet users is too good a reality to plunge into dismay, and worse, to fertile economic misalignment and deny the growth of nearly 50% increase in the teeming youth of Africa by 2050. No government is in a position to create economic chaos; neither will any government throw away the digital age of opportunities and technological innovations. It is therefore plausible to uncover the missing pieces/puzzle in our legal, regulatory, and compliance management of platforms. In furtherance, this chapter provides a revolutionary discovery to foster a systemic transformation of innovative strategies compatible with the African environment towards solving the puzzle.
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Herrod, Chrisan. "Global IT Risk Management Strategies." In Global Information Technologies, 285–98. IGI Global, 2008. http://dx.doi.org/10.4018/978-1-59904-939-7.ch024.

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This chapter describes why it is important for organizations to develop and implement an IT risk management function and use best practice risk assessment methodologies that provide a standard to measure and assess risk within organizations. Information technology risk management is a significant new function that can help companies achieve world class IT service. IT risk management includes regulatory compliance, information security, disaster recovery, and project risks. IT risk management should be part of a company’s risk management strategy on an equal footing with financial risk management and reputational risk management. As the complexity of IT infrastructures increases and as businesses continue to rely upon the Internet as the communication backbone for e-business, the associated risks increase. For these reasons, deciding upon and implementing a risk management process and a standard methodology will greatly reduce the risks associated with the introduction of new technologies that support the mission of the business.
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Asprey, Len. "Project Management for IT Projects." In Encyclopedia of Information Science and Technology, First Edition, 2341–47. IGI Global, 2005. http://dx.doi.org/10.4018/978-1-59140-553-5.ch413.

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The provision of information systems, technology, and communications is a fundamental requisite to support competitive strategies and improve service levels in enterprises. Increasingly, with e-commerce developments using the Internet and World Wide Web (WWW), combined with increased compliance and regulatory requirements, medium to large businesses and governments are relying on IT to support operations and administration. Small to medium businesses also make use of Web, e-mail, and office productivity packages to gain commercial advantage.
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Conference papers on the topic "Compliance regulatory strategies"

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Eckert, Ted. "Strategies for tracking regulatory requirement changes." In 2012 IEEE Symposium on Product Compliance Engineering (ISPCE). IEEE, 2012. http://dx.doi.org/10.1109/ispce.2012.6398286.

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Kwon, Juhee, and M. Eric Johnson. "Healthcare Security Strategies for Regulatory Compliance and Data Security." In 2013 46th Hawaii International Conference on System Sciences (HICSS). IEEE, 2013. http://dx.doi.org/10.1109/hicss.2013.246.

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Staudt, James E. "Optimizing Compliance Cost for Coal-Fired Electric Generating Facilities in a Multipollutant Control Environment." In ASME 2004 Power Conference. ASMEDC, 2004. http://dx.doi.org/10.1115/power2004-52090.

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Higher natural gas prices have increased the importance of coal-fired generation at a time when environmental uncertainty is raising the risks of operating coal-fired units. The likely need for increased investment in environmental control technologies comes at a time when many electricity generators are under great financial stress. This combination of forces makes a structured and comprehensive approach to assessing compliance strategies essential to managing generating assets. The approach needs to incorporate the high degree of uncertainty that can be otherwise buried in key assumptions, such as regulatory requirements, market pricing of allowances, plant capacity factor, wholesale electric prices, etc. The approach should also facilitate testing of assumptions under a range of scenarios to allow for flexibility in possible compliance strategies. In this paper an approach for evaluating compliance risks and quantifying the potential costs under various scenarios will be described. The approach integrates market-based compliance mechanisms with capital improvements in control technology while providing methods to address the uncertainty of key assumptions. The approach facilitates optimizing the balance between market-based and technology-based compliance approaches so that the environmental compliance risk profile can be tailored to the specific situation. A unique feature of this approach is that it incorporates the effects of the market risk associated with emissions markets along with market derivative instruments designed to manage risk, while also incorporating comprehensive technology analysis so that costs and risks can be well quantified under any regulatory scenario. The approach lends itself to active scenario review to facilitate flexibility in decision making while avoiding premature commitments.
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Cheng, Frank, Yagil Engel, and Michael P. Wellman. "Cap-and-Trade Emissions Regulation: A Strategic Analysis." In Twenty-Eighth International Joint Conference on Artificial Intelligence {IJCAI-19}. California: International Joint Conferences on Artificial Intelligence Organization, 2019. http://dx.doi.org/10.24963/ijcai.2019/27.

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Cap-and-trade schemes are designed to achieve target levels of regulated emissions in a socially efficient manner. These schemes work by issuing regulatory credits and allowing firms to buy and sell them according to their relative compliance costs. Analyzing the efficacy of such schemes in concentrated industries is complicated by the strategic interactions among firms producing heterogeneous products. We tackle this complexity via an agent-based microeconomic model of the US market for personal vehicles. We calculate Nash equilibria among credits-trading strategies in a variety of scenarios and regulatory models. We find that while cap-and-trade results improves efficiency overall, consumers bear a disproportionate share of regulation cost, as firms use credit trading to segment the vehicle market. Credits trading volume decreases when firms behave more strategically, which weakens the segmentation effect.
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Bergman, Christopher A., Steven Law, Crista Haag, John Hein, and Donald Brice. "Some Strategies for Effective Cultural Resources Management in Pipeline Permitting." In 2008 7th International Pipeline Conference. ASMEDC, 2008. http://dx.doi.org/10.1115/ipc2008-64102.

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The inventory, evaluation and treatment of cultural resources represent a significant challenge for siting and permitting natural gas pipelines. Project sponsors assist the Federal Energy Regulatory Commission’s Office of Energy Projects with meeting its obligations under Section 106 of the National Historic Preservation Act. The increasing sophistication of compliance with Section 106 is reflected in the Office of Energy Project’s 2002 Guidelines for Reporting on Cultural Resources Investigations for Pipeline Projects. Recent pipeline projects in the United States have involved environmental study corridors that are both wide and extensive, a combination that results in the identification of large numbers of cultural properties. The process of cultural resources management begins in the project planning stage with the development of site location modeling, analysis of previous investigations within or near Areas of Potential Effect, and consideration of the likelihood for encountering potentially eligible National Register of Historic Places properties. Using this information, site detection survey strategies can be developed that intensively target only sensitive portions of the Area of Potential Effect. During the survey, identification of archaeological sites, historic structures, or cultural landscapes requires prompt evaluation of National Register eligibility status for the purposes of avoidance or development of treatment plans. This presentation considers the Section 106 compliance process and how project sponsors can effectively manage cultural resources to ensure cost effectiveness and maintenance of restricted project schedules, while meeting the objectives of the National Historic Preservation Act.
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Wallace, Peter, Mark Cohen, Guy Lembach, Matthew Murch, and Reena Sahney. "Strategies for Managing Risk on Pipeline Projects." In 2006 International Pipeline Conference. ASMEDC, 2006. http://dx.doi.org/10.1115/ipc2006-10284.

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The risk factors pressuring pipeline projects are very similar to those that influence any capital construction project, except that the scale and complexity are magnified as are the consequences of even minor disruptions to the progress of the work. Essential to the successful planning, design, and construction of large capital projects is risk management. Project issues such as regulatory compliance, resource constraints, aggressive competition, and the access to and requirements of capital markets require aggressive and thorough risk management and control. Moreover, the ability to influence and mitigate cost and schedule risk decreases as the project progresses through the construction life cycle. This paper will discuss the major components of proper risk management including scoping, identification, analysis and evaluation, timely response, mitigation, control, and risk allocation using proven techniques. The significant risk areas in each phase of the project life cycle including, feasibility, planning and design, construction, and start up & turnover will also be discussed. This paper will also focus on tools and strategies in dealing with the common and costly areas of risk, particularly the use of CPM scheduling in the identification, control and quantification of risk management issues using statistical models, such as Monte Carlo simulations, and the use of CPM scheduling in the avoidance of claims will be highlighted.
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Fernandez, Victor M. "Regulation of a Natural Gas Distribution Network in a Developing Country: From Conception to Implementation." In 2006 International Pipeline Conference. ASMEDC, 2006. http://dx.doi.org/10.1115/ipc2006-10182.

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The paper will discuss the challenges and key success factors needed to development and operate a natural gas distribution network. This discussion will include the development of the regulatory model — performance-based vs. prescriptive. It will examine the development of the actual regulations, compliance and oversight strategies. In addition the paper will discuss the various existing regulatory and standards models throughout the world and how the best fit components were incorporated into the model. The paper will examine the incorporation of a Quality Management System integrated by an Integrity Management Program and a Quality Services Program. In addition it will highlight the social economic and environmental challenges encounter implementing a “culture of gas” in a developing country.
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Carr, Peter. "PM and Mercury Continuous Measurement Systems: Responding to an Emerging Challenge." In ASME Turbo Expo 2007: Power for Land, Sea, and Air. ASMEDC, 2007. http://dx.doi.org/10.1115/gt2007-27207.

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USEPA’s recent promulgation of the Clean Air Interstate Rule (CAIR) and Clean Air Mercury Rule (CAMR), and the designation of domestic fine particulate non-attainment areas, has spurred interest in adding particulate matter (PM) and mercury continuous emission monitoring systems (CEMS) to US power plants. While much of this interest has centered at least initially on pulverized coal-fired boiler units, the burgeoning integrated gasification combined cycle (IGCC) power market will likely also face the challenge of applying these new air emission measurement technologies. This paper will address the regulatory drivers which will encourage application of the PM and mercury CEMS on IGCC facilities, and it will discuss and evaluate the various measurement technologies/equipment available to comply with the new continuous emission measurement requirements. It will also summarize how various monitoring equipment suppliers have responded to this regulatory initiative. Finally, it will offer strategies to reduce the attendant risks and uncertainties associated with applying what are essentially emerging measurement technologies — technologies that will be tasked with demonstrating compliance with well-defined, strict air emission limitations.
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Young, Bruce A., Sang-Min Lee, and Paul M. Scott. "Sensitivity Analyses for a PWR SCC Case Using the Probabilistic Loss-of-Coolant-Accident (Pro-LOCA) Software." In ASME 2016 Pressure Vessels and Piping Conference. American Society of Mechanical Engineers, 2016. http://dx.doi.org/10.1115/pvp2016-63085.

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As a means of demonstrating compliance with the United States Code of Federal Regulations 10CFR50 Appendix A, General Design Criterion 4 (GDC-4) requirement that primary piping systems for nuclear power plants exhibit an extremely low probability of rupture, probabilistic fracture mechanics (PFM) software has become increasingly popular. One of these PFM codes for nuclear piping is Pro-LOCA which has been under development over the last decade. Currently, Pro-LOCA is being enhanced under an international cooperative program entitled PARTRIDGE-II (Probabilistic Analysis as a Regulatory Tool for Risk-Informed Decision GuidancE - Phase II). This paper focuses on the use of a pre-defined set of base-case inputs along with prescribed variation in some of those inputs to determine a comparative set of sensitivity analyses results. The benchmarking case was a circumferential Primary Water Stress Corrosion Crack (PWSCC) in a typical PWR primary piping system. The effects of normal operating loads, temperature, leak detection, inspection frequency and quality, and mitigation strategies on the rupture probability were studied. The results of this study will be compared to the results of other PFM codes using the same base-case and variations in inputs. This study was conducted using Pro-LOCA version 4.1.9.
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Seabrook, Kathy A. "Workplace Safety and Health Is a Leadership Issue." In ASME 2003 9th International Conference on Radioactive Waste Management and Environmental Remediation. ASMEDC, 2003. http://dx.doi.org/10.1115/icem2003-4986.

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Organizations where executive leadership identifies and manages worker safety and health as a business risk, rather than strictly as a compliance issue, are better positioned to reap both financial and reputational benefits from stakeholders such as customers, shareholders, employees and regulators. The advantages, both short and long term, of leadership engagement in the strategic management of safety and health can lead to enhanced brand reputation, greater sales and less contentious employee and regulatory relationships.
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