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Understanding Compliance with Laws and Regulations: A Mechanism-Based Approach

In: Financial Compliance

Author

Listed:
  • Anthony Bottoms

    (University of Cambridge
    University of Sheffield)

Abstract

This introductory chapter aims to provide an in-depth theoretical account of the ways in which legal and regulatory compliance can occur. Following the recommendations of analytical sociologists, a mechanism-based approach is adopted, in order to explain how and why compliance occurs in various situations. Four principal mechanisms of legal compliance are identified: they are instrumental (or prudential) compliance; normative compliance; situational compliance; and compliance based on habit or routine. Within the first three of these mechanisms, important sub-types are also identified: for example, within normative compliance are the sub-types of compliance through legitimacy, normative belief, normative attachment and normative cues. Interactive effects between the principal mechanisms are also discussed. A brief comparison is made between this explanatory approach and Nielsen and Parker’s Holistic Compliance Model of regulatory compliance.

Suggested Citation

  • Anthony Bottoms, 2019. "Understanding Compliance with Laws and Regulations: A Mechanism-Based Approach," Springer Books, in: Maria Krambia-Kapardis (ed.), Financial Compliance, chapter 0, pages 1-45, Springer.
    • Handle: RePEc:spr:sprchp:978-3-030-14511-8_1
    DOI: 10.1007/978-3-030-14511-8_1
    as

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