2012-05-24T14:31:43Z Copyright (c) 2012, The RAND Corporation RAND Corporation http://www.rand.org/topics/corporate-governance.html http://www.rand.org/law-business-regulation/centers/corporate-ethics.html Dec 31, 2004 Dec 31, 2004

The RAND Center for Corporate Ethics and Governance, or CCEG, is committed to improving public understanding of corporate ethics, law, and governance, and to identifying specific ways that businesses can operate ethically, legally, and profitably at the same time.

http://www.rand.org/pubs/rgs_dissertations/RGSD284.html Oct 6, 2011 Oct 6, 2011

Examines the economics of financial firms, their governance practices, and governance-performance links.

http://www.rand.org/pubs/conf_proceedings/CF290.html Sep 12, 2011 Sep 12, 2011

The debate over the new U.S. Securities and Exchange Commission whistleblower rules overshadows a deeper question for corporations and regulators—how best to reconcile strong compliance and internal reporting mechanisms with the incentives created by the Wall Street Reform and Consumer Protection Act to report fraud directly to the SEC.

http://www.rand.org/commentary/2011/06/14/BGOV.html Jun 14, 2011 Jun 14, 2011

The kerfuffle over Dodd-Frank conceals broad agreement that corporate fraud and misconduct are bad and that internal compliance mechanisms are intended to protect companies as well the community at large from bad behavior, write Michael Greenberg and Donna Boehme.

http://www.rand.org/pubs/technical_reports/TR933.html Apr 6, 2011 Apr 6, 2011

Cloud computing is a model for enabling on-demand network access to a shared pool of computing resources—such as storage and applications—that can be rapidly provisioned with minimal management effort or service provider interaction. RAND Europe explored the security, privacy, and trust challenges that cloud computing poses.

http://www.rand.org/pubs/external_publications/EP20110051.html Mar 31, 2011 Mar 31, 2011

<p>The RAND Corporation convened a May 12, 2010 Round Table meeting in Washington DC, entitled &quot;Directors as the Guardians of Ethics and Compliance Within the Corporate Citadel: What the Policy Community Needs to Know.&quot; The purpose of the meeting was to generate a broad conversation about the role of directors and boards in C&amp;E oversight, and the challenges and opportunities facing directors in this regard.</p>

http://www.rand.org/pubs/technical_reports/TR781.html Jan 18, 2011 Jan 18, 2011

Evidence suggests that arbitration clauses, though common in consumer contracts, are uncommon in commercial contracts, but research on why this may be so is scant. This report presents the findings of a survey and follow-up interviews of corporate counsel that sought to determine their thinking on domestic business-to-business arbitration and its use as an alternative to litigation.

http://www.rand.org/pubs/external_publications/EP201000175.html Nov 30, 2010 Nov 30, 2010

There is a strong expectation by the U.S. Sentencing Commission (USSC) for boards to be directly involved in compliance and ethics (C&amp;E) oversight, and the reporting relationship between the board and the manager of the compliance and ethics function, the Chief Ethics and Compliance Officer (CECO) is viewed as central to that responsibility.

http://www.rand.org/pubs/conf_proceedings/CF277.html Aug 8, 2010 Aug 8, 2010

The collapse of financial markets in late 2008 has invited renewed questions about the governance, compliance, and ethics practices of firms. RAND convened a symposium to explore the perspective and role of corporate boards of directors in overseeing ethics and compliance matters within their firms.

http://www.rand.org/pubs/external_publications/EP201000126.html Dec 31, 2009 Dec 31, 2009

<p>Directors face newly heightened expectations to recognize and fulfill their responsibilities to oversee the company's management of compliance, ethics, and reputation risks. They must perform compliance and ethics (C&amp;E) oversight, and take on the necessary data-gathering responsibility to understand their firms deeply. Directors should not be operating unassisted when it comes to carrying out their responsibility. Appointing a strong, independent Chief Ethics and Compliance Officer (CECO) to act on their behalf is an essential starting point.</p>

http://www.rand.org/pubs/external_publications/EP201000118.html Dec 31, 2009 Dec 31, 2009

<p>Evaluates managerial perception of the Sarbanes-Oxley Act of 2002, a stringent rules-based system widely considered the most comprehensive economic regulation since the New Deal.</p>

http://www.rand.org/pubs/conf_proceedings/CF258.html Apr 27, 2009 Apr 27, 2009

<p>Improving corporate compliance, ethics, and oversight has been a significant policy goal for the U.S. government for decades, and made more salient by the collapse of financial markets in late 2008. On March 5, 2009, RAND convened a conference in Washington, D.C., on the role and perspectives of corporate chief ethics and compliance officers in the detection and prevention of corporate misdeeds. </p>

http://www.rand.org/pubs/external_publications/EP20090008.html Dec 31, 2008 Dec 31, 2008

<p>Discusses a study conducted for the Local Better Regulation Office (LBRO) that evaluated the contribution of local authority regulatory services.</p>

http://www.rand.org/pubs/technical_reports/TR618.html Dec 3, 2008 Dec 3, 2008

<p>As China has moved toward a stronger role for private enterprise and capitalism it has also sought to adopt more Western-style oversight mechanisms and legal standards for corporate governance - a history of which is found here with an examination of attendant problems and their policy implications.</p>

http://www.rand.org/pubs/research_briefs/RB9405.html Nov 21, 2008 Nov 21, 2008

<p>Discusses the development of corporate governance institutions in China, including obstacles to the future outlook for Chinese corporate governance.</p>

http://www.rand.org/pubs/research_briefs/RB9337.html Mar 24, 2008 Mar 24, 2008

This research brief describes broker-dealers and investment advisers -- their numbers, size, assets, clients, services, and affiliations -- and examines whether individual investors understand the differences between them.

http://www.rand.org/pubs/occasional_papers/OP206.html Jan 23, 2008 Jan 23, 2008

<p>Companies recognized for exemplary diversity may follow a core set of motives and behaviors, but best practices alone do not always contribute to a high level of diversity.</p>

http://www.rand.org/commentary/2008/01/17/WP.html Jan 17, 2008 Jan 17, 2008

<p>Just a few years ago, insider trading was considered "dirty." It was the province of marginal players working on the fringe of the capital markets... But today insider trading has proliferated and gone global, writes Larry Zicklin.</p>

http://www.rand.org/pubs/technical_reports/TR556.html Jan 3, 2008 Jan 3, 2008

<p>The financial services industry is complex and financial service professionals are becoming less distinguishable and more inter-related. However, investors are generally highly satisfied with their own financial service providers.</p>

http://www.rand.org/pubs/monographs/MG663.html Dec 11, 2007 Dec 11, 2007

<p>The regulatory environment affects small business differently from the way it affects large ones, sometimes leading to unintended negative consequences. An improved understanding of this effect will help lawmakers develop policy designed to advance entrepreneurship.</p>