Digital Commons Network^™

Corporate Governance In An Era Of Compliance, Sean J. Griffith

Faculty Scholarship

Compliance is the new corporate governance. The compliance function is the means by which firms adapt behavior to legal, regulatory, and social norms. Formerly, this might have been conceived as a typical governance matter to be handled at the discretion of the board of directors. Compliance, however, does not fit traditional models of corporate governance. It does not come from the board of directors, state corporate law, or federal securities law. Compliance amounts instead to an internal governance structure imposed upon the firm from the outside by enforcement agents. This insight has important implications, both practical and theoretical, for corporate …

The Economic Impact Of Deficient Anti-Money Laundering Program To A Multinational Bank, Emmanuel Hayble-Gomes

Walden Dissertations and Doctoral Studies

Money laundering is a financial crime that threatens the stability of a country's financial sector. The purpose of this qualitative case study was to explore the strategies that compliance officers used to improve the AML program in a multinational bank in the northeastern United States. The target population was purposefully selected using bank compliance officers because they have experience with the strategies to improve the AML program. The normative neo-institutional theory framed the discussion of this study. Data were collected from interviews with 10 AML compliance officers and the achieved data. The Krippendorff method of content analysis was used to …

The Antidote To Zombie Foreclosures: How Bankruptcy Courts Should Address The Zombie Foreclosure Crisis, Amanda Mcquade

Emory Bankruptcy Developments Journal

Bankrupt homeowners across the United States continue to struggle because of the mortgage foreclosure crisis. Although zombie foreclosures present a significant issue for individuals who filed for bankruptcy during the last few years, there is no satisfactory legal remedy. The Bankruptcy Code and bankruptcy courts may offer an overlooked solution to the problem. Due to flexibility within bankruptcy courts, bankruptcy judges have a greater degree of discretion within certain situations to fulfill their equitable powers. Bankruptcy judges can take the realities of the debtor's circumstances into account in ways that state and federal courts cannot. This Comment's recommendations demonstrate the …

The Question Of Homeland Security In Rural America, Manuel Gonzalez

Walden Dissertations and Doctoral Studies

Following the issuance of the National Preparedness Guidelines in 2009 by the Department of Homeland Security, it remains unknown whether homeland security programs have been consistently implemented in the nation's rural areas. Research findings have been inconsistent and inconclusive on the degree of implementation. Two problems may result from inadequate implementation of these programs: weakened national security from the failure to protect critical infrastructure in remote areas and a threat to public safety in rural towns. The purpose of this qualitative case study was to explore and describe the reasons for possible noncompliance through purposeful interviews with 10 law enforcement …

Good Corporation, Bad Corporation: Corporate Social Responsibility In The Global Economy, Guillermo C. Jimenez, Elizabeth Pulos

Milne Open Textbooks

This textbook provides an innovative, internationally oriented approach to the teaching of corporate social responsibility (CSR) and business ethics. Drawing on case studies involving companies and countries around the world, the textbook explores the social, ethical, and business dynamics underlying CSR in such areas as global warming, genetically modified organisms (GMO) in food production, free trade and fair trade, anti-sweatshop and living-wage movements, organic foods and textiles, ethical marketing practices and codes, corporate speech and lobbying, and social enterprise. The book is designed to encourage students and instructors to challenge their own assumptions and prejudices by stimulating a class debate …

Design Of An Intrusion Detection System (Ids) And An Intrusion Prevention System (Ips) For The Eiu Cybersecurity Laboratory, Adekunle Adeyemo

Masters Theses

Cyber Security will always be a subject of discussion for a long time to come. Research has shown that there is massive growth of cyber-crime and the currently available number of Cyber Security experts to counter this is limited. Although there are multiple resources discussing Cyber Security, but access to training in practical applications is limited. As an institution, Eastern Illinois University (EIU) is set to start Masters of Science in Cyber Security in Fall 2017. Then the challenge is how EIU will expose students to the practical reality of Cyber Security where they can learn different detection, prevention and …

Re-Thinking The Intentionality Of Fraud: Constructing And Testing The Theory Of Unintended Amoral Behavior To Explain Fraudulent Financial Reporting, Andrew Dill

Electronic Theses and Dissertations

My three-paper dissertation is aimed at applying the concepts of bounded ethicality and ethical fading to accounting fraud. Typical of relatively new fields such as behavioral ethics, theoretical models are scarce (Tenbrunsel & Smith-Crowe, 2008). As such, the purpose of Study 1 is to unify disparate theories and ideas from psychology and behavioral ethics as a means of constructing a theory, the Theory of Unintended Amoral Behavior (TUAB), which includes the concepts of bounded ethicality and ethical fading. In addition, the pressure for management to meet earnings expectations is discussed through the lens of the TUAB as an example of …

Personal Jurisdiction In Legal Malpractice Litigation, Cassandra Burke Robertson

St. Mary's Journal on Legal Malpractice & Ethics

Lawyers are increasingly engaging in multi-jurisdictional practice—and their representation is increasingly giving rise to cross­-jurisdictional malpractice actions. Over the years, courts have issued divergent and contradictory opinions about whether out-of-state attorneys representing clients only on out-of-state matters can constitutionally be subject to personal jurisdiction in the client’s home state. The Supreme Court’s recent opinions in Daimler v. Bauman and Walden v. Fiore do little to settle this question and, in fact, may raise more questions than they answer. Nevertheless, the Supreme Court’s new personal jurisdiction jurisprudence offers an opportunity for courts to adopt a more cohesive analysis of personal jurisdiction …

Ethics At Eastern Michigan University And The College Of Business: A Study Of Academic Dishonesty And Professionalism, Ashley Shahan

Senior Honors Theses and Projects

No abstract provided.

Bussing V. Cor Clearing, Llc, 20 F. Supp. 3d 719 (D. Neb. 2014): Preserving The Right To Tell Your Employers What They Do Not Want To Hear, Kelsey E. B. Knoer

Nebraska Law Review

I. Introduction

II. Background ... A. The Great Recession ... B. The Failure of Sarbanes-Oxley ... 1. The Best of Intentions ... 2. How Sarbanes-Oxley Failed Whistle-Blowers ... C. Dodd-Frank and Financial Reform ... 1. Improving Sarbanes-Oxley ... 2. The Two Provisions ... a. The Bounty Program ... b. Protecting Whistle-Blowers from Retaliation ... D. The Interpretation of Dodd-Frank’s Whistle-Blower Provisions ... 1. The Asadi Approach ... 2. The Chevron Deference Approach ... 3. How Whistle-Blowers Have Faired ... a. The Statistics of Whistle-Blowing ... b. Missing the Mark: Whistle-Blowers Left Without Protection ... E. Bussing v. COR Clearing LLC …

Perspectives On Regulating Systemic Risk, Steven L. Schwarcz

Faculty Scholarship

This book chapter, which synthesizes several of the author’s articles, attempts to provide useful perspectives on regulating systemic risk. First, it argues that systemic shocks are inevitable. Accordingly, regulation should be designed not only to try to reduce those shocks but also to protect the financial system against their unavoidable impact. This could be done, the chapter explains, by applying chaos theory to help stabilize the financial system. The chapter then focuses on trying to prevent excessive corporate risk-taking, which is one of the leading triggers of systemic shocks and widely regarded to have been a principal cause of the …

Suffolk University Undergraduate Academic Catalog, Sawyer Business School, 2016-2017, Suffolk University

College of Arts and Sciences and Sawyer Business School Academic Catalogs

This catalog contains information for the undergraduate programs in the Sawyer Business School. The catalog is a PDF version of the Suffolk website, so many pages have repeated information and links in the document will not work.

The catalog is keyword searchable by clicking ctrl+f. A-Z course descriptions are also included here as a separate PDF file listing all SBS course offerings. Please contact the Archives if you need assistance navigating this catalog or finding information on degree requirements or course descriptions.

Financial Distress In The Health Care Business, Firas Fathi Musmar

Walden Dissertations and Doctoral Studies

Sixty-four United States hospitals closed for poor organizational performance during 2010 through 2016. Because of hospital closures, community members experienced delays in obtaining needed care, reduced access to specialty care, and increased travel distances. Based on the balanced scorecard model theory, the purpose of this qualitative single case study was to explore strategies that 10 health care leaders used at a healthcare organization in central Texas to prevent financial distress. Semistructured interviews were conducted and archival organizational accounting records were reviewed, including company surveys with employees and patients. Data were thematically analyzed and triangulated to ensure the trustworthiness of interpretations. …

The Metamorphosis Of Corporate Criminal Prosecutions, Brandon L. Garrett

Faculty Scholarship

Corporate criminal enforcement has exploded in this country. Billion dollar fines are now routine across a range of industries, where they were unimaginable a decade ago. We have federal prosecutors and the Department of Justice, together with the white-collar bar, to thank for this. Their innovations have transformed what was, in decades past, a backwater area of criminal practice. Yet deep concerns remain that corporate prosecution settlements offer lenient and non-transparent deals that fail to hold either the corporations or the culpable individuals adequately accountable. Now, the DOJ has begun to rethink the evolving corporate prosecution approach through the adoption …

The Rise Of Bank Prosecutions, Brandon L. Garrett

Faculty Scholarship

Before 2008, prosecutions of banks had been quite rare in the federal courts, and the criminal liability of banks and bankers was not a topic that received much public or scholarly attention. In the wake of the last financial crisis, however, critics have begun to ask whether prosecutors adequately held banks and bankers accountable for their crimes. In this Essay, I describe the remarkable rise in the number of bank prosecutions in recent years, as well as the still steeper rise in criminal penalties imposed on banks. 2015 was the year that bank prosecutions finally came into their own, both …

The Law School Note: Having A Story To Tell (Instead Of Having To Tell A Story), J. Scott Colesanti

Hofstra Law Faculty Scholarship

No abstract provided.

Default Probability Estimation Via Pair Copula Constructions, L Dalla Valle, Giuli Me De, Claudia Tarantola, Claudio Manelli

School of Engineering, Computing and Mathematics

No abstract provided.