合规是规则与行为的相互作用

Benjamin van Rooij, D. Sokol
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引用次数: 11

摘要

在我们当代的市场、社会和治理模式中,合规性已经变得非常重要,跨越了非常不同的公共和私人领域,激发了丰富的经验工作和实践专业知识。然而,到目前为止,我们还没有全面了解什么是遵从性,什么机制和干预措施在形成遵从性方面发挥了作用,也没有了解遵从性如何影响各个领域。到目前为止,关于遵守的学术知识仍然局限于不同的学科领域、不同的管理和法律领域以及不同的机制和干预措施。这一章是《剑桥合规手册》的介绍,提供了一个全面的观点,什么是合规。它采用广泛的方法,将遵从性视为规则和行为之间的交互作用。它讨论了在形成这种遵守方面有哪些不同的机制和干预措施在起作用。并对研究顺应性的不同方法及其固有的局限性进行了反思。
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Compliance as the Interaction between Rules and Behavior
Compliance has become important in our contemporary markets, societies, and modes of governance across very different public and private domains, stimulating a rich body of empirical work and practical expertise. Yet, so far, we do not have a comprehensive understanding of what compliance is and what mechanisms and interventions play a role in shaping it nor how compliance shapes various fields. Thus far, the academic knowledge of compliance has remained siloed in different disciplinary domains, and along different regulatory and legal spheres and different mechanisms and interventions. This chapter, which is the introduction to the Cambridge Handbook of Compliance, offers a comprehensive view of what compliance is. It takes a broad approach in seeing compliance as the interaction between rules and behavior. It discusses what different mechanisms and interventions are at play in shaping such compliance. And it reflects on the the different methods to study compliance and their inherent limitations.
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