David W. Hart – författare
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2 produkter
2 produkter
Wall Street Polices Itself
How Securities Firms Manage the Legal Hazards of Competitive Pressures
Inbunden, Engelska, 1998
1 068 kr
Skickas inom 5-8 vardagar
This book explains how the self regulatory system for U.S. securities firms works with three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises the self-regulatory organizations such as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these self-regulatory organizations oversee the broker-dealers who conduct the daily business of buying and selling securities. The system relies heavily on the firms' internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subject to even more stringent penalties, if their supervisory systems fail. This book is an in-depth examination of how this regulatory system works, the types of regulatory problems with which broker-dealer firms must deal, why some firms have more problems than others, and what the experience with the system suggests about ways of improving self regulatory systems generally.
Research Companion to Ethical Behavior in Organizations
Constructs and Measures
Inbunden, Engelska, 2014
3 194 kr
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Business ethics research and publications have proliferated in recent decades, coinciding with increased public interest in workplace ethical conduct. As studies of behavioral ethics extend across disciplines, scholars unknowingly worked in parallel, creating overlapping constructs and measures. Bringing clarity to the field, the Research Companion to Ethical Behavior in Organizations provides a central reference point for academics, human resource practitioners, and compliance officers interested in measuring the moral dimensions of individuals.With expert contributions, this book catalogs empirical work from management and social science disciplines, offering insights to the varied and nuanced constructs used in behavioral ethics. The authors describe and evaluate over 300 measures, including established surveys and new behavioral research techniques. Doctoral students and veteran management researchers will benefit from summaries of the latest ethics research tools and trends. Offering solutions for research challenges and suggesting new research streams and areas for fruitful study, this Companion enhances the burgeoning field of behavioral ethics.Contributors: B.R. Agle, J.B. Bingham, S.D. Brown, J.D. Carlson, K. Bell DeTienne, C. Frogley Ellertson, L, E. Garrett, R. Dailey Goodwin, D.W. Hart, H.M. Hendricks, D.C. Howe, M-C Ingerson, A.K. Klemme, C. Mealey, A. Miller, J.A. Miller, J. Camden Robinson, Z.J. Rodgers, J.A. Thompson, L.L. Wadsworth, M.C. Walsman, M.A. Widmer, A.L. Wilkins