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Vol 21 No 9 Sept/Oct 2016

Book of the Month

Cover of Goode on Commercial Law

Goode on Commercial Law

Edited by: Ewan McKendrick
Price: £170.00

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Law and Corporate Behaviour: Integrating Theories of Regulation, Enforcement, Compliance and Ethics

ISBN13: 9781849466530
Published: October 2015
Publisher: Hart Publishing
Country of Publication: UK
Format: Hardback
Price: £80.00

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The purpose of this book is to examine the theories and practice of how to control corporate behaviour through legal techniques.

The principal theories examined are deterrence, (especially economic analysis), the findings of empirical research on responsive regulatory systems, and the findings of behavioural psychology research. Leading examples of the various approaches are given in order to illustrate the models: private enforcement of law through litigation in the USA, public enforcement of competition law by the European Commission, and the recent reform of policies on public enforcement of regulatory law in the United Kingdom.

Noting that behavioural psychology has as yet had only limited application in legal and regulatory theory, the book then analyses various European regulatory structures where behavioural techniques can be seen or could be applied.

The book concludes by proposing an holistic model for maximising compliance within large organisations, combining public regulatory and criminal controls with internal corporate systems and external influences by stakeholders, held together by a unified core of ethical principles.

Company Law
A. Introduction
B. Compliance Systems
C. The Deterrence Tradition/Models
1. Deterrence in criminal law
2. Deterrence in economic theory
3. The example of private enforcement in USA
4. The example of competition enforcement by the European Commission
D. Responsive Regulation Models
1. The empirical research and its theories
2. Some examples: Braithwaite, Hawkins, Haines, Hutter
3. Developments in enforcement of criminal law
4. The example of the reform of UK regulatory policy from 2007
E. Behavioural psychology
1. The findings of the psychology research
2. Examples of where elements can be seen in regulatory systems
i. pharmaceutical safety regulation
ii. airline safety
iii. HSE
iv. financial services
3. integrating public and corporate compliance and sanctioning systems
F. Conclusions
1. Discussion of the various theories, and how they can be combined
2. A holistic model:
i. A quality system
ii. Internal and external
iii. Self-regulation
iv. Stakeholders and transparency
v. External checking, audit
vi. whistleblowing
vii. Add CDR to regulation
viii. Toolbox of powers (Denmark)
ix. safeguards
3. An example of how a holistic system of corporate behaviour would work