- Melbourne Law School - Research Publications
Melbourne Law School - Research Publications
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ItemCorporate Compliance Systems Could They Make Any Difference?Parker, C ; Nielsen, VL (SAGE PUBLICATIONS INC, 2009-03)This article critically appraises the potential of corporate compliance systems to influence corporate behavior. The authors differentiate between the adoption of formal compliance management systems and the way compliance is managed in practice in business organizations by reference to scholarly literature and analysis of survey responses from 999 large Australian businesses about their implementation of competition and consumer protection law compliance systems. Their analysis shows that at least some elements of compliance systems can translate into good management of compliance in practice. But management commitment to compliance values, managerial oversight and planning, and organizational resources are just as important.
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ItemRegulating Law Firm Ethics Management: An Empirical Assessment of an Innovation in Regulation of the Legal Profession in New South WalesParker, C ; Gordon, T ; Mark, S (Wiley, 2010)The Australian state of New South Wales (NSW) was the first jurisdiction to fully deregulate law firm structure and allow alternative business structures in the legal profession. At the same time it also introduced an innovation in regulation of the legal profession, requiring that incorporated legal practices implement ‘appropriate management systems’ for ensuring the provision of legal services in compliance with professional ethical obligations. This paper presents a preliminary empirical evaluation of the impact of this attempt at ‘management‐based regulation’. We find that the NSW requirement that firms self‐assess their ethics management leads to a large and statistically significant drop in complaints. The (self‐assessed) level of implementation of ethics management infrastructure, however, does not make any difference. The relevance of these findings to debates about deprofessionalization, managerialism, and commercialism in the legal profession is discussed, and the NSW approach is distinguished from the more heavy‐handed English legal aid approach to regulating law firm quality management.
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ItemThe Two Faces of Lawyers: Professional Ethics and Business Compliance with RegulationParker, C ; Rosen, R ; Lehmann Nielsen, V (Georgetown University Law Center, 2009)
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ItemThe Pluralization of RegulationParker, C (De Gruyter, 2008)
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ItemTo what extent do third parties influence business compliance?LEHMANN NIELSEN, V. ; PARKER, C. ( 2008)