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    Industry Self-regulation Under Government Intervention

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    Author
    Mendoza, JP; Dekker, HC; Wielhouwer, JL
    Date
    2020-03-01
    Source Title
    Journal of Quantitative Criminology
    Publisher
    Springer Verlag
    University of Melbourne Author/s
    Dekker, Henri
    Affiliation
    Accounting
    Metadata
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    Document Type
    Journal Article
    Citations
    Mendoza, J. P., Dekker, H. C. & Wielhouwer, J. L. (2020). Industry Self-regulation Under Government Intervention. Journal of Quantitative Criminology, 36 (1), pp.183-205. https://doi.org/10.1007/s10940-019-09424-x.
    Access Status
    Open Access
    URI
    http://hdl.handle.net/11343/251948
    DOI
    10.1007/s10940-019-09424-x
    Abstract
    Objective: Industry actors (organizations, associations) can influence the way in which firms comply with regulations. This study examines how this influence process is affected by government intervention. Methods: Using official, anonymized data from the entire industry of financial intermediation in the Netherlands (N = 8655 firms), we examine how firms’ affiliations with industry actors relate to (1) voluntary actions aligned with improving regulatory compliance (e.g., requesting audits, attending workshops), and (2) law violations. Industry actors are distinguished between trade associations and the industry’s self-regulatory organization (SRO), which is subject to more government intervention. The analysis employs Poisson regressions to explain count variables, and bootstrapping to assess indirect associations. A series of robustness tests focus on relevant sub-samples, employ exact matching to address possible self-selection, and incorporate lagged dependent variables. Results: The association between affiliations with industry actors and law violations is negative and significant. This association is more indirect for trade associations than for the SRO (i.e., it is more strongly mediated by the voluntary actions firms take and which help to improve compliance). Conclusions: These findings go in line with the theory that government intervention makes industry-self regulation more mandated and less voluntary. Under less government intervention, industry actors may promote more voluntary efforts to comply.

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