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Dissertations / Theses on the topic 'Regulatory compliance'

Author: Grafiati

Published: 4 June 2021

Last updated: 26 July 2025

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1

Sapkota, Krishna. "Semantic framework for regulatory compliance support." Thesis, Oxford Brookes University, 2013. https://radar.brookes.ac.uk/radar/items/a26a37b3-f65e-4d1b-aa7f-cdd20ee4727b/1.

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Regulatory Compliance Management (RCM) is a management process, which an organization implements to conform to regulatory guidelines. Some processes that contribute towards automating RCM are: (i) extraction of meaningful entities from the regulatory text and (ii) mapping regulatory guidelines with organisational processes. These processes help in updating the RCM with changes in regulatory guidelines. The update process is still manual since there are comparatively less research in this direction. The Semantic Web technologies are potential candidates in order to make the update process autom

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Harper, Dana C. "Protecting financial services while ensuring regulatory compliance." Thesis, Utica College, 2017. http://pqdtopen.proquest.com/#viewpdf?dispub=10252116.

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<p> In the global economy, troubled with financial crime and well-funded terrorist operations, combating money laundering has become a priority for financial institutions (Brill, 2016). The 9/11 terrorist attacks have also increased the U.S. focus on terrorism and money laundering. The purpose of this research project was to examine the regulatory environment which monitors financial institutions and Nonbank Financial Institutions (NBFIs) to mitigate financial crimes, money laundering, and terrorist financing. Currently, there are statutory, regulatory, and supervisory gaps within the Office o

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3

Adrison, Vid. "Estimating the Effect of Penalties on Regulatory Compliance." Digital Archive @ GSU, 2008. http://digitalarchive.gsu.edu/econ_diss/42.

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This dissertation has two main objectives. First, we investigate the effectiveness of penalties and other enforcement tools on regulatory compliance, and comprehensively address problems that exist in previous regulatory compliance studies. Second, we develop a model that explains why most empirical studies of regulatory compliance yield results that seem to be inconsistent with the theoretical predictions of Harrington’s (1988) seminal article on regulatory compliance. Thus the dissertation comprises two essays. In Essay One, we estimate facility compliance with the Clean Water Act (CWA) by

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4

Jorshari, Fatemeh Zarrabi. "A semantic based framework for software regulatory compliance." Thesis, University of East London, 2016. http://roar.uel.ac.uk/6366/.

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Software development market is currently witnessing an increasing demand for software applications conformance with the international regime of GRC for Governance, Risk and Compliance. In this thesis, we propose a compliance requirement analysis method for early stages of software development based on a semantically-rich model, where a mapping can be established from legal and regulatory requirements relevant to system context to software system goals and contexts. This research is an attempt to address the requirement of General Data Protection Regulation (GDPR, Article 25) (European Commissi

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Başbuğ, Gökçe. "Essays on job search, unemployment, and regulatory compliance." Thesis, Massachusetts Institute of Technology, 2017. http://hdl.handle.net/1721.1/112038.

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Thesis: Ph. D., Massachusetts Institute of Technology, Sloan School of Management, 2017.<br>Cataloged from PDF version of thesis.<br>Includes bibliographical references.<br>This dissertation is composed of four essays, each studying limits to the means that are famously known to be effective. In the first essay, I investigate the effect of using social ties on the quality of opportunities pursued in job search. Using fixed effects models, I show that when the job seeker uses contacts, she pursues jobs that pay less than the jobs she pursues through formal methods. In addition, the analysis sho

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Setyadi, Agus. "The accounting regulatory compliance of Indonesian firms' annual reports." Thesis, Curtin University, 2009. http://hdl.handle.net/20.500.11937/624.

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This study examines accounting compliance using an agency theory framework through an analysis of 220 non-financial Indonesian listed companies’ 2006 annual reports. The level of regulatory compliance is measured using a 29 item index derived from the specific requirements of the Indonesian accounting standards (PSAK) on inventory, fixed assets, and depreciation. The key dependent variable is the aggregate compliance (IARCagg) with further sub-analysis conducted on measurement and disclosure rules and each individual standard.The findings reveal that only 60.61% of accounting regulation rules

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Nahra, Kirk J., and Bethany A. Corbin. "Digital health regulatory gaps in the United States." Universität Leipzig, 2018. https://ul.qucosa.de/id/qucosa%3A32046.

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Digital health in the United States is rapidly and continuously evolving to enhance patient care and revolutionize health care delivery. This technology offers substantial promise to both patients and providers, but lacks a comprehensive regulatory structure to ensure adequate safety and privacy. While the Department of Health and Human Services, the Food and Drug Administration, and the Federal Trade Commission regulate portions of the digital health industry, their oversight is incomplete, with numerous digital health companies falling between the cracks and assuming an unregulated status. T

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Robson, Harvey. "Improving data quality and regulatory compliance in global information technology." Thesis, Leeds Beckett University, 2010. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.533355.

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Mynhardt, Ronald Henry. "Regulatory compliance : a framework for South African banks / R.H. Mynhardt." Thesis, North-West University, 2008. http://hdl.handle.net/10394/4117.

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In April 2005, after lengthy discussions and much debate with banks around the world, the Basel Committee issued its paper entitled "Compliance and the compliance function in banks". This paper provides detailed compliance principles to which banks should adhere. Regulation 47(1) of the Regulations relating to the Banks Act, Act 94 of 1990, states that: A bank shall establish an independent compliance function as part of its risk-management framework, in order to ensure that the bank continuously manages its regulatory risk, that is, the risk that the bank does not comply with applicable laws

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Smith, Fraser. "How physicians decide : a regulatory compliance perspective from clinical research." Thesis, Edinburgh Napier University, 2015. http://researchrepository.napier.ac.uk/Output/8852.

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The central aim of this thesis is to investigate how physicians, working for Pharmaceutical Product Development (PPD), a clinical research organisation (CRO), make decisions for a new industry standard for good clinical practice in medical device trials. This topic is introduced via review of decision theory and decision-making (DM) in contextual environments. Physician's career experiences, insights and perceptions of how they make regulatory compliance decisions, and how they think these new requirements should be met, are explored in the main study. The research rationale relates to the aut

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Claxton, Garry George. "Occupational Health and Safety: Generating regulatory perceptions to encourage compliance." Thesis, Curtin University, 2017. http://hdl.handle.net/20.500.11937/57106.

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The research begins by identifying that there is an unacceptably high level of injury and disease in Australian workplaces. A premature death or injury, however well compensated, is not only an economic loss to society; more importantly, it is a major personal tragedy for the deceased’s family, friends and work colleagues. These factors culminate into a powerful moral and economic business case for safer workplaces and work practices. The research offers valuable stakeholder practical and theoretical considerations that have the potential to benefit the process of on-going Occupational Safety

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McLean, William. "Inspector Discretion and Industry Compliance in the Street-Level Implementation of Building Codes." ScholarWorks@UNO, 2003. http://scholarworks.uno.edu/td/63.

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This dissertation examines inspector discretion and industry compliance in the street-level implementation of building codes. In particular, this study examines the effects that agency-level, individual-level, and environmental variables have on the choice of inspectors to exercise discretion. Unique to this study is the examination of policy congruence between building departments and street-level inspectors as a predictor of industry compliance with regulatory policy. In addition, the various effects of building department enforcement philosophies, departmental capacity for enforced

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Karagöz, Elin. "Managing Innovation of Payments : A Study of Regulatory Compliance Within Swedish Banking." Thesis, KTH, Skolan för industriell teknik och management (ITM), 2020. http://urn.kb.se/resolve?urn=urn:nbn:se:kth:diva-279621.

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This study investigates challenges that emerge for Swedish incumbent banks when pursuing compliance with IT security regulations, while simultaneously striving towards innovation in order to maintain market competitiveness in terms of digital payment service offerings. As competition increases within the payment service industry, developing innovative services becomes increasingly important. At the same time, it is essential that these solutions maintain a high level of IT security, both in terms of the preservation of customer trust as well as in terms of compliance with financial regulations

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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 semistru

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Shbaita, Maher. "Relationship Between Regulatory Compliance Cost, Operation Cost, and Profitability of Credit Unions." ScholarWorks, 2019. https://scholarworks.waldenu.edu/dissertations/7840.

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The decline in the profitability of credit unions with less than $10 million in assets harms the number of small credit unions available to serve local communities. Grounded in the financial intermediation theory, the purpose of this quantitative correlational study was to examine the relationship between regulatory compliance costs, operation costs, and profitability. The population of this study consisted of federally insured credit unions with less than $10 million in assets and located in the state of Texas. Archival data from the National Credit Union Administration database were collecte

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Hashmi, Mustafa. "Evaluating business process compliance management frameworks." Thesis, Queensland University of Technology, 2015. https://eprints.qut.edu.au/91220/1/Mustafa_Hashmi_Thesis.pdf.

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This research contributes a formal framework to evaluate whether existing CMFs can model and reason about various types of normative requirements. The framework can be used to determine the level of coverage of concepts provided by CMFs, establish mappings between CMF languages and the semantics for the normative concepts and evaluate the suitability of a CMF for issuing a certification of compliance. The developed framework is independent of any specific formalism and it has been formally defined and validated through the examples of such mappings of CMFs.

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Kopp, Thomas, and Valentin Pfisterer. "Between a rock and a hard place - legal pitfalls of voluntary cooperation of German companies with German and foreign regulatory and law enforcement authorities." Universitätsbibliothek Leipzig, 2016. http://nbn-resolving.de/urn:nbn:de:bsz:15-qucosa-208934.

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German companies or German-based subsidiaries of international businesses may become subject of, or otherwise involved in, investigations by German or foreign regulatory or law enforcement authorities. In the context of such investigations, it is not unusual for the concerned company to face informal requests from German or foreign regulatory and law enforcement authorities for voluntary cooperation. Oftentimes, such requests focus on the transfer of electronic data for investigatory purposes, and such data typically relate, in whole or in part, to individuals (e.g. employees, suppliers and cu

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Terblanché, Janet René. "Legal risk and compliance risk in the banking industry in South Africa / J.R. Terblanché." Thesis, North-West University, 2013. http://hdl.handle.net/10394/9705.

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The Basel Committee on Banking Supervision has defined operational risk, legal risk and compliance risk. However, the definitions might not be adequate for countries with a hybrid legal system, such as South Africa. This study aims to provide a practical solution to the problems faced by countries with a hybrid legal system wishing to comply with the Basel Committee’s standards. It is argued that compliance, compliance risk and regulatory risk should all be viewed as constituent components of legal risk, and in turn necessarily also of operational risk in a hybrid legal system. Legal risk is a

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McLemore, Dustin D. "Compliance and Regulatory Efficacy and Sustainability in Specialty Academic Medicine| A Longitudinal Evaluation Study." Thesis, University of Southern California, 2018. http://pqdtopen.proquest.com/#viewpdf?dispub=10747596.

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<p> The purpose of this study was to develop and test a Conceptual Framework for an evaluation model for compliance and regulatory programs in specialty academic medicine. The Framework was built on three research questions to determine the following items within a specialty academic medical institution: (i) the Program Elements for effective and sustainable compliance and regulatory programs, (ii) the required knowledge and skills for stakeholder groups, and (iii) the motivation and organizational influences which improve stakeholder efficacy and program sustainability. There was a total of 2

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Rattu, Muhammad Umer. "Exploring legal, regulatory and shari‘ah compliance issues in Islamic financial instruments : derivatives and sukuk." Thesis, Durham University, 2013. http://etheses.dur.ac.uk/7349/.

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In general derivatives, futures, options and swaps are considered against the principles of shari‘ah for various reasons, such as the absence of asset-backed deals, dealing in prohibited transaction of debt, presence of element of gharar (uncertainty), gambling, absence or non-existence of subject matter, Short-Selling, sale of subject-matter without prior acquiring of possession or constructive possession, ghabn (market price manipulation), ‘ina (sale and buy-back), tawarruq (multiple buy-back sales involving no actual asset transfer), amongst others. In the recent past there have been attemp

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Lindahl, Linnéa, and Julia Liu. "Managing Radical Technological Changes in the Swedish Insurance Industry: the Challenge of Regulatory Compliance." Thesis, KTH, Skolan för industriell teknik och management (ITM), 2020. http://urn.kb.se/resolve?urn=urn:nbn:se:kth:diva-279568.

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This study concerns investigating an industry, i.e. system, which is subject to radical technological changes, and how actors within the system can enhance their innovation processes and manage technological shifts efficiently. The specific context in which these processes are investigated is the compliance departments within the Swedish insurance industry. The Swedish insurance industry constitutes a central pillar in the national economy, which is why the stability of the industry must be ensured. As a result, the insurance industry is subject to various regulations and the scope and amount

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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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Gregory, Teresa L. "Impact of Regulatory Burden on Small Community Banks in Pennsylvania." ScholarWorks, 2016. https://scholarworks.waldenu.edu/dissertations/3031.

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Community bank managers are struggling with the implementation of the many new regulations promulgated over the past several years. The purpose of this qualitative multiple case study was to explore strategies community bank managers in Pennsylvania use to implement new financial regulations. The population of interest included all community banks in Pennsylvania. For purposes of this study, a community bank was defined in terms of an asset size less than $500 million. Two community banks in Pennsylvania were selected, and 3 participants at each bank were interviewed. The participants included

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Constantino, Carlos. "The effect of sewage effluent on trace metal speciation : implications for the biotic ligand model approach." Thesis, Brunel University, 2013. http://bura.brunel.ac.uk/handle/2438/7442.

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This research examined the suitability of the biotic ligand model (BLM) approach for assessing environmental risk in surface waters consisting substantially of treated sewage effluent, and the implications of its use within a compliance-based regulatory framework aimed at controlling discharges of metals into the aquatic environment. The results from a series of Daphnia magna acute copper toxicity assays conducted in an undiluted sewage effluent medium demonstrated that BLMs could predict an acute copper toxicity endpoint with suitable accuracy. This finding contributes further support for the

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Tuyikeze, Tite. "A model for information security management and regulatory compliance in the South African health sector." Thesis, Nelson Mandela Metropolitan University, 2005. http://hdl.handle.net/10948/425.

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Information Security is becoming a part of the core business processes in every organization. Companies are faced with contradictory requirements to ensure open systems and accessible information while maintaining high protection standards. In addition, the contemporary management of Information Security requires a variety of approaches in different areas, ranging from technological to organizational issues and legislation. These approaches are often isolated while Security Management requires an integrated approach. Information Technology promises many benefits to healthcare organizations. It

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Hataier, Maria. "How Higher Education Compliance Officers Learn to Manage New Requirements in a Dynamic Regulatory Environment." Thesis, Teachers College, Columbia University, 2018. http://pqdtopen.proquest.com/#viewpdf?dispub=10817413.

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<p> As modern gender movements shift our cultural norms, the literature describing Title IX suggests possibly concerning trends in both hiring and policy. Many university administrations and recent legislation have promoted a defensive, legal-minded and objective approach to handling Title IX cases. Since the April 2011 Dear Colleague Letter, which delivered a mandated timeframe and eased the burden of evidence, the number of cases the Office for Civil Rights have grown significantly. The number of cases continues growing despite huge increases in labor hours and financial resources being dive

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van, der Riet Estelle. "Evaluation of the level of compliance of Veterinary medicine package inserts with Regulatory authority guidelines." University of the Western Cape, 2021. http://hdl.handle.net/11394/8313.

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Magister Scientiae (Medical Bioscience) - MSc(MBS)<br>Background: Veterinary medicines play an imperative role in the diagnosis, prevention and treatment of animal diseases. Many veterinary stock remedies in South Africa are available to the public without the intervention or supervision of a veterinarian or healthcare worker. Therefore, the accompanying package insert with product information and directions for use is central in promoting the safe and effective use of stock remedies. Information such as the dosage, warnings, precautions and storage instructions are essential to assist th

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Chalmers, Claire. "Regulatory compliance in Scotland's tattooing and cosmetic body piercing industry : a concurrent mixed methods study." Thesis, Edinburgh Napier University, 2011. http://researchrepository.napier.ac.uk/Output/4361.

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The objective of any regulation is to realise the goal(s) that justified its intervention. One means of demonstrating this is to determine the extent of regulatory compliance. This study intended to determine the extent of regulatory compliance with the Civic Government (Scotland) Act 1982 (Licensing of skin piercing and tattooing) Order 2006 in Scotland's tattooing and cosmetic body piercing industry. Implemented in Scotland in 2006, its aim was to minimise risk to health from skin piercing and tattooing. Philosophically underpinned by pragmatism, a concurrent mixed methods study was undertak

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Arch, Linda. "London clearing banking, 1946-79 : stability and compliance and its regulatory, competition and institutional underpinnings." Thesis, University of Reading, 2018. http://centaur.reading.ac.uk/78133/.

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The period from 1946 until the early 1970s was a period of stability in banking in the UK and one in which there was a high degree ofcompliance with regulation. It stands in contrast to the period since the 1970s, which has been more prone to banking crises, most notably the global financial crisis of 2007-9. This research seeks better to understand and account for stability and compliance in banking by describing, exploring and explaining the regulatory, competition and institutional frameworks within which clearing banking operated in the period 1946-79. Initially, the thesis explores the re

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Arvieri, Alessandra <1995&gt. "Traceability in the Italian dairy Industry: a regulatory-compliance instrument or also a marketing tool?" Master's Degree Thesis, Università Ca' Foscari Venezia, 2019. http://hdl.handle.net/10579/15780.

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Many scholars and experts on traceability really think that today the value this system brings to a company is changing. It should not be considered anymore just as tool to be used for pure regulatory requirements. Nevertheless, as Sparling et al. report “Most food-industry managers view traceability as a regulatory-compliance issue targeted at improving food safety” (2006, p. 160). In this study I interviewed six managers working in the Italian dairy industry to discover if the Italian dairy firms considered perceive traceability just as a duty to be accomplished because required from the law

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Shaw, Reena L. "Enforcement and compliance in the Northeast groundfish fishery : perceptions of procedural justice in fishery management, the effects of regulatory methods, and prospects for compliance /." View online ; access limited to URI, 2005. http://0-wwwlib.umi.com.helin.uri.edu/dissertations/dlnow/3206256.

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Keil, James E. "An evaluation of Company XYZ's use of electronic on-board recorder system for Federal Motor Carrier Safety Administration (FMCSA) regulatory compliance." Menomonie, WI : University of Wisconsin--Stout, 2006. http://www.uwstout.edu/lib/thesis/2006/2006keilj.pdf.

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Fouda, Ayman Mohamed Metwalli Ali <1984&gt. "Multi-Principal Agency and the Compliance with Professional Guidelines in Health Systems: Economic and Regulatory Perspectives." Doctoral thesis, Alma Mater Studiorum - Università di Bologna, 2022. http://amsdottorato.unibo.it/10508/1/EDLE%20Thesis%20Fouda%20UNIBO.pdf.

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Amid the trend of rising health expenditure in developed economies, changing the healthcare delivery models is an important point of action for service regulators to contain this trend. Such a change is mostly induced by either financial incentives or regulatory tools issued by the regulators and targeting service providers and patients. This creates a tripartite interaction between service regulators, professionals, and patients that manifests a multi-principal agent relationship, in which professionals are agents to two principals: regulators and patients. This thesis is concerned with suc

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Rachor, Hornsby Jacquelyn Lee. "Measuring Regulatory and Noncompliance Prevalence Among Maryland Commercial Blue Crab Fishers." ScholarWorks, 2019. https://scholarworks.waldenu.edu/dissertations/7327.

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Few empirical studies exist that compare regulation (R) and fishing crime (VL). The lack of information about R and VL effects stakeholder decision-making. Crime weakens conservation efforts and creates false baseline data. This furthers R and the cycle repeats. The purpose of this correlational study was to determine the statistical association between the number and type of annual commercial blue crab R and VL of the same. The Pearson's R correlation was used to analyze the data because it demonstrated the strength of each relationship. This quantitative study was grounded in enforcement the

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Mahlanza, Zanele. "The impact of regulatory compliance on small, medium and micro-enterprises in the Buffalo City Metropolitan Municipality." Thesis, Nelson Mandela Metropolitan University, 2011. http://hdl.handle.net/10948/d1011840.

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The small, medium and micro-enterprise sector is recognised as being favourable to socioeconomic growth since SMMEs have capacity to generate jobs. SMMEs are particularly beneficial for previously disadvantaged communities, and it is particularly clear that SMMEs play a critical role in economic development. It is therefore important to encourage growth of this sector by introducing a favourable and a conducive environment for the sustainability of the SMMEs. The purpose of this study was to investigate the impact of regulatory compliance on SMMEs in the Buffalo City municipal area in South Af

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Gooch, Rebecca L. "Television production, regulation and enforcement reasons for broadcasters' non-compliance and a weakened state of regulatory affairs." Thesis, London School of Economics and Political Science (University of London), 2012. http://etheses.lse.ac.uk/353/.

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This thesis examines a group of television-makers that aimed to circumvent the regulations affecting standards of content and to reshape the boundaries of permissible violent content. It also examines the regulators who, in a period of significant regulatory restructuring, were required to police those boundaries and protect viewers from ‘harmful’ or ‘offensive’ content, and programme-contributors from ‘unfair’ treatment. In doing so, the aim is to offer a broader, empirically rich understanding of the individual, organisational and external factors that can lead to non-compliance and the rela

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Tayo-Tiwo, Aderonke Alberta. "Nigerian Banks' Compliance with the Code of Corporate Governance." ScholarWorks, 2018. https://scholarworks.waldenu.edu/dissertations/5788.

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Frequent incidences of bank failures in Nigeria resulting in enormous losses of investments and jobs have raised questions about the level of banks' compliance with the code of corporate governance. This single exploratory case study shifted attention from the banks to the regulators of banks in Nigeria, the Central Bank of Nigeria (CBN), to find out the problems they may be encountering in getting the banks to be fully compliant. Purposeful sampling was used to select 25 senior participants who were directly involved with the monitoring of banks from CBN. The agency theory served as the conce

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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

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Chey, Hyoung-Kyu. "Compliance with international regulatory regimes : the Basel Capital Adequacy Accord in Japan, South Korea, and Taiwan, 1988-2003." Thesis, London School of Economics and Political Science (University of London), 2006. http://etheses.lse.ac.uk/1908/.

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The IPE literature on compliance has presented three theoretically competing mechanisms to induce compliance with international regulatory regimes: externality- based, market, and domestic compliance mechanisms. However, most studies on compliance have limited their analytic focus to formal compliance with explicit provisions of regimes, neglecting the question as to whether formal compliance enhances regime effectiveness, which is the fundamental issue of compliance. Yet, although national authorities implement an international regulatory regime, they frequently manipulate the implementation

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Yapp, Charlotte Louise. "Compliance with food safety regulation in small and medium-sized enterprises and the impact of regulatory enforcement interventions." Thesis, King's College London (University of London), 2005. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.420412.

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Othman, Abdullah. "Exploring the business benefits of regulatory compliance : the case of AML/CFT systems for banking institutions in Malaysia." Thesis, Loughborough University, 2013. https://dspace.lboro.ac.uk/2134/12362.

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It has been widely accepted that the banking industry is highly dependent on information technology (IT). Due to its pervasiveness and intertwining nature in most aspects of banking business, IT has also significantly become one of the critical components that facilitate the ability of banking institutions to meet regulatory requirements in an efficient and a cost-effective way. For instance, in the effort to mitigate the activities of money laundering and terrorism financing (ML/TF), various information on banking customers are timely and accurately gathered and analysed through automation. F

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Fitzsmmons, Brendan D. "A Quantitative Examination of the Relationship between the Cost of Regulatory Compliance and the Profitability and Efficiency of Community Banks." Thesis, Capella University, 2018. http://pqdtopen.proquest.com/#viewpdf?dispub=10744618.

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<p> Several commentators argued that the regulatory requirements imposed on community banks over the past 15 years placed an inordinate impact on these entities when compared to their larger counterparts. Specifically, the literature questioned the effect of regulatory costs on Return on Equity, Return on Assets, and Efficiency Ratios in community banks. The communities and small businesses that these banks serve are negatively impacted if these banks continue to disappear due to failure or the result of increased mergers and acquisition activity. This study sought to determine whether a stati

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Chen, Jinchun S. M. Massachusetts Institute of Technology. "Evaluation of application of ontology and semantic technology for improving data transparency and regulatory compliance in the global financial industry." Thesis, Massachusetts Institute of Technology, 2015. http://hdl.handle.net/1721.1/99020.

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Thesis: S.M. in Management Research, Massachusetts Institute of Technology, Sloan School of Management, 2015.<br>Cataloged from PDF version of thesis.<br>Includes bibliographical references (pages 78-79).<br>In the global financial industry, there are increasing motivations for financial data standardization. The financial crisis in 2008 revealed the risk management issues, including risk data aggregation and risk exposure reporting, at many banks and financial institutions. After the crisis, the Dodd-Frank Act required transaction data of derivatives trades to be reported to Swap Data Reposit

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Benoit, Melissa C. "Environmental Consulting: Turning Regulation Into Reality." Miami University / OhioLINK, 2013. http://rave.ohiolink.edu/etdc/view?acc_num=miami1367271400.

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Mandala, Waththage Gihani. "Auditors' materiality disclosures." Thesis, Queensland University of Technology, 2017. https://eprints.qut.edu.au/109794/1/Gihani_Mandala%20Waththage_Thesis.pdf.

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The purpose of this thesis is to investigate auditors' application of materiality in practice. By conducting a thematic analysis approach to analyse materiality disclosures in auditors' reports of entities listed in UK FTSE350, it identifies a list of key themes related to materiality benchmarks and rationales. Overall the findings reflect that there is a consistency between audit firms in disclosing materiality. The thesis contributes two strands of literature: it provides actual evidence of how auditors apply materiality in practice; and also shows that it is not more information, the better

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Roux, Izak Johannes. "Applying the Analytic Hierarchy Process to Oil Sands Environmental Compliance Risk Management." ScholarWorks, 2015. https://scholarworks.waldenu.edu/dissertations/164.

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Oil companies in Alberta, Canada, invested $32 billion on new oil sands projects in 2013. Despite the size of this investment, there is a demonstrable deficiency in the uniformity and understanding of environmental legislation requirements that manifest into increased project compliance risks. This descriptive study developed 2 prioritized lists of environmental regulatory compliance risks and mitigation strategies and used multi-criteria decision theory for its theoretical framework. Information from compiled lists of environmental compliance risks and mitigation strategies was used to genera

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Amantea, Ilaria Angela <1988&gt. "Methods and tools for analysis and management of risks and regulatory compliance in the healthcare sector: the hospital at home – HaH." Doctoral thesis, Alma Mater Studiorum - Università di Bologna, 2022. http://amsdottorato.unibo.it/10066/1/Tesi_frontespizio_Bologna.pdf.

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Changing or creating an organisation means creating a new process. Each process involves many risks that need to be identified and managed. The main risks considered here are procedural and legal risks. The former are related to the risks of errors that may occur during processes, while the latter are related to the compliance of processes with regulations. Managing the risks implies proposing changes to the processes that allow the desired result: an optimised process. In order to manage a company and optimise it in the best possible way, not only should the organisational aspect, risk manag

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St-Pierre, Renee 1979. "Retailer compliance with youth access statutes and regulatory policies for lottery products and alcohol : evaluating the role of gender and vendor age." Thesis, McGill University, 2008. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=116064.

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Despite the implementation of legal prohibitions and regulatory policies to limit the commercial availability of lottery products to minors, published research continues to document a high prevalence of participation in and ease of access to lottery playing amongst adolescents. This study systematically investigated the influence of individual-level factors in vendor compliance with youth access statutes and policies for lottery and alcohol products. Six underage youths each attempted to purchase a lottery ticket, a beer, or both products together in the same 313 convenience stores, for a tota

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Burdon, Wendy. "Models for compliance in the financial service industry : theory versus practice : is a best practice model feasible in an environment of regulatory flux?" Thesis, Northumbria University, 2016. http://nrl.northumbria.ac.uk/30225/.

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The overall purpose of this thesis is to examine the models for effective compliance, and those currently adopted in practice within the financial service sector. The need for financial service organisations to maintain a robust compliance function has developed due to ever increasing regulatory demands following the most recent global financial crisis, alongside concerns over compliance culture within financial service organisations. An overarching research question exists of why the compliance function is often viewed as business inhibiting within practice. This research engaged with practit

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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 facto

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