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Ethical and Compliance-Competence Evaluation: a key element of sound corporate governance

Author

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  • Jonathan Edwards

    (Institute of Business and Law, Bournemouth University)

  • Simon Wolfe

    (School of Management, University of Southampton)

Abstract

Motivated by the ongoing post-Enron refocusing on corporate governance and the shift by the Financial Services Authority (FSA) in the UK to promoting compliance-competence within the financial services sector, this paper demonstrates how template analysis can be used as a tool for evaluating compliance-competence. Focusing on the ethical dimension of compliance-competence, we illustrate how this can be subjectively appraised. We propose that this evaluation technique could be utilised as a starting point in informing senior management of corporate governance issues and be used to monitor and demonstrate key compliance and ethical aspects of an institution to external stakeholders and regulators. Copyright (c) 2007 The Authors; Journal compilation (c) 2007 Blackwell Publishing Ltd.

Suggested Citation

  • Jonathan Edwards & Simon Wolfe, 2007. "Ethical and Compliance-Competence Evaluation: a key element of sound corporate governance," Corporate Governance: An International Review, Wiley Blackwell, vol. 15(2), pages 359-369, March.
  • Handle: RePEc:bla:corgov:v:15:y:2007:i:2:p:359-369
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    References listed on IDEAS

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    1. Chris Mallin & Andy Mullineux & Clas Wihlborg, 2005. "The Financial Sector and Corporate Governance: the UK case," Corporate Governance: An International Review, Wiley Blackwell, vol. 13(4), pages 532-541, July.
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