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Drift and adjustment in organizational rule compliance: Explaining the 'regulatory pendulum' in financial markets

机译：组织规则合规性的漂移和调整：解释金融市场中的“监管钟摆”

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摘要

Any organizations would have structured rules and procedures governing production. However, organizations resist constraining rules when facing high volume and time pressures. The tension between production pressures and rule compliance affects the quality of service, safety and criminal and regulatory violations. The present research work has tried to explain this tension using the dynamics of rule by extending previous research works using causal-loop modeling from system dynamics. The model developed integrates earlier researches by March (Ref. 1), March, et al. (Ref.2 ) and Parker and Nielsen (Ref. 3) on rule development, compliance, and organizational change with analysis of financial markets as a case area. The model focuses on the tension between production goals on short-term, and non salient risks. Based on the model, the relationships among producers, control systems within firms, and external regulators have been analyzed. The model describes how incentives and social processes produce dysfunctional cycles of accumulating rule violations and compensating regulation, including development of new rules which is referred to as regulatory pendulum. The model also discusses the conditions, incentives, and behaviors actually leading to the outcome, and has tried to operationalize the feedback loops that interact to create the cycles of eroding compliance followed by strong compensatory regulatory responses. (159 refs.)
机译：任何组织都会有结构化的生产规则和程序。但是，组织在面对高容量和时间压力时会拒绝约束规则。生产压力和法规遵从性之间的紧张关系会影响服务质量，安全性以及违法和违反法规的行为。本研究工作试图通过利用规则动力学来解释这种张力，方法是通过使用因果环模型从系统动力学中扩展先前的研究工作。所开发的模型整合了March（参考资料1），March等人的早期研究。 （参考文献2）以及Parker和Nielsen（参考文献3），其中涉及规则制定，合规性和组织变革，并以金融市场分析为案例领域。该模型着眼于短期和非突出风险的生产目标之间的紧张关系。基于该模型，分析了生产者，企业内部控制系统和外部监管者之间的关系。该模型描述了激励机制和社会过程如何产生积聚规则违规和补偿法规的功能失调的循环，包括制定新规则（称为监管钟摆）。该模型还讨论了实际导致结果的条件，激励措施和行为，并试图使反馈回路相互作用，从而形成破坏合规性的循环，进而产生强有力的补偿性监管响应。 （159篇）

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  • 来源
    《Operations Research》 |2015年第3期|195-197|共3页
  • 作者

    Ignacio J. Martinez-Moyano; David P. McCaffrey; Rogelio Oliva;

  • 作者单位

    Decision and Information Sciences Division, Argonne National Laboratory, Argonne, IL 60439, and Computation Institute, University of Chicago, Chicago, IL 60637;

    University at Albany, State University of New York, Albany, NY 12222;

    Mays Business School, Texas A&M University, College Station, TX 77843;

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