Development of the Best Practice for an Effective Enforcement a Compliance Program by a Corporation
| Project/Area Number |
16530068
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| Research Category |
Grant-in-Aid for Scientific Research (C)
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| Allocation Type | Single-year Grants |
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| Section | 一般 |
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| Research Field |
Civil law
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| Research Institution | Kansai University |
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Principal Investigator |
KITAGAWA Toshimitsu Kansai University, Law School, Professor, 法務研究科, 教授 (60253382)
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| Co-Investigator(Kenkyū-buntansha) |
KASHIWAGI Noboru Chuo University, Law School, Professor, 大学院・法務研究科, 教授 (20251431)
MORI Junjiro Fukuoka University, Law School, Professor, 大学院・法曹実務研究科, 教授 (60079001)
ABE Michiaki Kyushu University, Law School, Professor, 大学院・法学研究院, 教授 (40336037)
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| Project Period (FY) |
2004 – 2005
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| Project Status |
Completed (Fiscal Year 2005)
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| Budget Amount *help |
¥3,700,000 (Direct Cost: ¥3,700,000)
Fiscal Year 2005: ¥900,000 (Direct Cost: ¥900,000)
Fiscal Year 2004: ¥2,800,000 (Direct Cost: ¥2,800,000)
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| Keywords | Corporate Scandal / Compliance / Compliance Program / Corporate Governance / Compliance of Law / Corporate Legal Services / Business Ethics / Japanese Corporate Culture / 企業文化 / 会社(企業)不祥事 / 不祥事隠蔽・改竄 / 企業法務部門の役割 / 日本式経営・企業文化 |
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| Research Abstract |
While corporate scandals are reported almost every day in the newspapers, the manner cause, and countermeasures taken by the companies, in regards to the scandals are not common. In this research, we first turn our attention to such difference among the companies, and try to classify the corporate scandals. In certain type of scandals which we focus upon most, corporate organizations including top management knowingly overlook the illegal activities which are done by individuals or certain departments inside the company in the course of performing business activities. This "scandal tolerated by the organization" is a Japanese type corporate scandal that is frequently found in Japan and typical examples include giving special benefits to special shareholders (sokaiya), and illegal collusion (bid cartels). Distinctive features of this type of scandal are that the performer does not gain personal profit, and that such behavior has been occurring for a long time and also often occurs in ot
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her companies. Generally speaking, in order to prevent corporate scandals, it is important that the top management takes a strict position against illegal activities and in addition, it is important to construct and perform adequate compliance activities. However, because this type of scandal is done by the whole company, it will not be prevented by usual compliance activities, and only internal whistle-blowing is effective. In fact, many of the recent scandals were revealed through internal whistle-blowing. Of course, corporate scandals have not been confined to this type of scandal. Compliance activities are effective for scandals involving work quota achievement, personal profit, damage expansion and carelessness. Therefore, in this research, we analyze the compliance activities from various aspects and explore the ideal compliance activities. However, because compliance activities of the traditional type are not effective for the corporate scandals that are most common in Japan, other methods are necessary for the construction of best practice. The answer is using a neutral lawyer as a recipient of the report, who has executed a special contract with the company, in regards to the improvement of the current internal whistle-blowing system. A neutral lawyer working as a communication point between an information provider and an audit/supervising section, will construct a system enabling the internal whistle-blowing to occur in a safe manner and thereby activate the self-purification power of the company. Adequate compliance activities coupled with internal whistle-blowing systems backed by a neutral lawyer system will cope with Japanese type corporate scandals. Less
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Report
(3 results)
Research Products
(2 results)
