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Due to recent events in corporate America, including the recent Enron scandal and numerous cases of insider trading, the public's faith in the fairness of the stock markets has been shaken. The current study suggests that public relations efforts that are designed to increase the public's perception of the integrity of United States stock markets and lower public cynicism toward insider trading may be fruitful. The contributions of this study are to identify what leads to insider trading and thereby identify methods to reduce it. Graduate student subjects are used to test the relationship between the intent to trade based on insider information and the deterrents and motivations for insider trading. The results of the study indicate that gain, certainty, cynicism, guilt, social stigma, and agreement with the law have a significant effect on an individual's intent to take part in insider trading. The results do not provide conclusive support that increasing severity of punishment decreases the likelihood of trading based on insider information. The results also show that there are differences in the perceptions of male and female respondents with regard to the deterrence variables. Identifying what situations are more likely to lead to insider trading allows policymakers to design more efficient detection efforts. This study finds that subjects' are more inclined to trade based on insider information to avoid a loss on stock they currently own than to achieve an abnormal gain by purchasing a stock that they do not currently own. This study finds that the intent to take part in insider trading increases as the perception of likelihood of getting caught decreases. The results indicate that subjects are more willing to use insider information when it is from a friend because their likelihood of getting caught is lower. This is important for two reasons. If the incidence of insider trading is higher in situations that involve second hand knowledge, then detection efforts become more complicated. Also, the presence of insider trading may be significantly higher than current detection efforts indicate because these cases are hard to detect. / Ph. D.

1 ABSTRACT PATIENTS' ATTITUDES TO PHARMACOTHERAPY OF OSTEOPOROSIS Author: Hana Theimerová Supervisor: Magda Vytřísalová Charles University in Prague, Faculty of Pharmacy in Hradec Králové, Department of Social and Clinical Pharmacy INTRODUCTION: Patients' attitudes to treatment might be affected by various factors. These may vary in different generations as well as in different populations. The patients' attitudes to the treatment along with the illness may affect decision concerning the beginning, interruption or end of the treatment. That implies that the interaction between these factors and attitudes to the treatment is comprehensive. AIMS: The study aim was to evaluate the patients' attitudes to the treatment of osteoporosis based on the perception of necessity and concerns of treatment with oral bisphosphonates (BIS). METHODS: Data for the analysis were obtained using an anonymous questionnaire in five outpatient centres in the Czech Republic from November 2012 to March 2013. The patients' opinions concerning the BIS treatment were identified (necessity vs. concerns) using the Czech version of the "Beliefs about Medicines Questionnaire Specific" (BMQ-CZ). RESULTS: A total of 363 patients were involved in the analysis (mean age 68.9 years). Patients were treated with once a week dosing forms of BIS -...

Wu Yan Fei. / Thesis (M.Phil.)--Chinese University of Hong Kong, 2003. / Includes bibliographical references (leaves 161-189). / Abstracts in English and Chinese. / Chapter 1. --- BACKGROUND --- p.1 / Chapter 1.1 --- Hong Kong health care system --- p.1 / Chapter 1.2 --- Medication compliance and treatment responses --- p.2 / Chapter 1.3 --- Definition of compliance --- p.5 / Chapter 1.3.1 --- Compliance --- p.5 / Chapter 1.3.2 --- Adherence --- p.6 / Chapter 1.3.3 --- Concordance --- p.7 / Chapter 1.4 --- Definitions of satisfactory compliance --- p.9 / Chapter 1.5 --- Importance of compliance --- p.10 / Chapter 1.6 --- Non-compliance as a behavioral disease --- p.12 / Chapter 1.6.1 --- Disease manifestation (Patterns of non-compliance) --- p.12 / Chapter 1.6.2 --- Prevalence/Epidemiology (Rate of non-compliance) --- p.14 / Chapter 1.6.3 --- Diagnosis (Detecting non-compliance) --- p.15 / Chapter 1.6.3.1 --- Direct methods --- p.16 / Chapter 1.6.3.1.1 --- Use of biological fluids --- p.17 / Chapter 1.6.3.1.2 --- Biological surrogate (Drug) markers --- p.18 / Chapter 1.6.3.1.3 --- Pharmacological indicators --- p.20 / Chapter 1.6.3.2 --- Indirect methods --- p.22 / Chapter 1.6.3.2.1 --- Self-report / Direct questioning --- p.24 / Chapter 1.6.3.2.2 --- Pill counts --- p.25 / Chapter 1.6.3.2.3 --- Diaries --- p.27 / Chapter 1.6.3.2.4 --- Electronic monitoring --- p.27 / Chapter 1.6.3.2.5 --- Physician estimates --- p.31 / Chapter 1.6.3.2.6 --- Outcome measurement and clinical judgment --- p.32 / Chapter 1.6.3.2.7 --- Presence of side effects --- p.33 / Chapter 1.6.3.2.8 --- Keeping of appointments --- p.34 / Chapter 1.6.3.2.9 --- Prescription refill rates --- p.34 / Chapter 1.6.3.3 --- Direct observation --- p.35 / Chapter 1.6.3.4 --- The ideal detection method --- p.36 / Chapter 1.6.4 --- Risk factors (Related factors of non-compliance) --- p.37 / Chapter 1 .6.4.1 --- Patient related factors --- p.37 / Chapter 1.6.4.1.1 --- Understanding and comprehension --- p.37 / Chapter 1.6.4.1.2 --- Health beliefs --- p.39 / Chapter 1.6.4.1.3 --- Socio-demographic factors --- p.44 / Chapter 1.6.4.1.4 --- Forgetfulness --- p.45 / Chapter 1.6.4.2 --- Illness --- p.46 / Chapter 1.6.4.3 --- Therapeutic regimen --- p.46 / Chapter 1 .6.4.4 --- Patient-practitioner relationship --- p.48 / Chapter 1.6.5 --- Treatment (Interventions) --- p.50 / Chapter 1.6.5.1 --- Education --- p.51 / Chapter 1.6.5.2 --- Dosing regimen planning --- p.55 / Chapter 1.6.5.3 --- Clinic scheduling --- p.57 / Chapter 1.6.5.4 --- Communication --- p.57 / Chapter 1.6.6 --- Intelligent non-compliance --- p.60 / Chapter 1.6.7 --- Overview of problems with compliance studies --- p.63 / Chapter 1.6.7.1 --- Complex and not effective --- p.64 / Chapter 1.6.7.2 --- Lack theoretical framework --- p.64 / Chapter 1.6.7.3 --- Fragmented studies --- p.65 / Chapter 1.6.7.4 --- Lack high quality compliance study --- p.66 / Chapter 1.6.7.5 --- Without long term follow up --- p.67 / Chapter 1.6.7.6 --- Correlation between compliance and desired therapeutic outcomes --- p.68 / Chapter 2 --- HYPOTHESIS AND OBJECTIVES --- p.71 / Chapter 3 --- METHODS --- p.75 / Chapter 3.1 --- Study design --- p.76 / Chapter 3.2 --- Outcome measures --- p.80 / Chapter 3.3 --- Statistical analysis --- p.81 / Chapter 3.4 --- Power analysis --- p.82 / Chapter 4. --- RESULTS --- p.85 / Chapter 4.1 --- Patient demographics --- p.85 / Chapter 4.2 --- Clinic attended and drug usage --- p.85 / Chapter 4.3 --- Non-compliant rates and its patterns --- p.86 / Chapter 4.4 --- Reasons for non-compliance --- p.86 / Chapter 4.5 --- Relationship between drug class and medication compliance --- p.86 / Chapter 4.6 --- Relationship between dosage frequency and medication compliance --- p.87 / Chapter 4.7 --- Clinical characteristics of compliant and non-compliant patients --- p.87 / Chapter 4.8 --- Comparison of non-compliant patients identified at baseline during the second reassessment --- p.88 / Chapter 4.9 --- Effects of pharmacist's telephone intervention on tertiary outcomes --- p.88 / Chapter 4.9.1 --- Medication compliance --- p.88 / Chapter 4.9.2 --- Blood pressure --- p.89 / Chapter 4.10 --- Effects of pharmacist's telephone intervention on secondary outcomes --- p.90 / Chapter 4.11 --- Primary end-points of compliant versus non-compliant patients --- p.91 / Chapter 4.12 --- Best predictors of mortality rate for the studied population --- p.92 / Chapter 4.13 --- Effects of pharmacist's telephone intervention on primary outcomes --- p.92 / Chapter 4.14 --- Clinical characteristics of non-compliant patients with / without second follow up --- p.93 / Chapter 4.15 --- Clinical outcomes of defaulted patients at the second visit --- p.93 / Chapter 5. --- DISCUSSION --- p.126 / Chapter 5.1 --- Study design --- p.126 / Chapter 5.2 --- Compliance assessment method --- p.126 / Chapter 5.3 --- Patient demographics and drug prescribing pattern --- p.128 / Chapter 5.4 --- Extent and pattern of non-compliance --- p.128 / Chapter 5.5 --- Reasons for non-compliance --- p.129 / Chapter 5.5.1 --- Lack of knowledge --- p.129 / Chapter 5.5.1.1 --- Dosing instructions --- p.129 / Chapter 5.5.1.2 --- Drug identification --- p.130 / Chapter 5.5.1.3 --- Storage --- p.131 / Chapter 5.5.2 --- Forgetfulness --- p.131 / Chapter 5.5.3 --- Problems with health beliefs --- p.132 / Chapter 5.5.3.1 --- Common myths or misconceptions --- p.132 / Chapter 5.5.4 --- Presence of side effects --- p.133 / Chapter 5.6 --- Predictability of non-compliance --- p.134 / Chapter 5.6.1 --- Socio-demographics --- p.134 / Chapter 5.6.2 --- Polypharmacy --- p.135 / Chapter 5.6.3 --- Dosing frequency --- p.137 / Chapter 5.6.3.1 --- "Little difference between daily, twice daily and thrice daily dosing." --- p.137 / Chapter 5.6.3.2 --- Importance of drug property in determining the impact of usual dosages --- p.138 / Chapter 5.6.3.3 --- The impact of missed dosage on clinical condition --- p.139 / Chapter 5.6.3.4 --- Practical issues regarding dosing frequency --- p.140 / Chapter 5.6.4 --- Drug Profiles --- p.141 / Chapter 5.7 --- Outcomes measure --- p.142 / Chapter 5.8 --- The role of pharmacist in chronic care --- p.147 / Chapter 5.9 --- The role of physician in chronic care --- p.155 / Chapter 5.10 --- Possible sources of bias and limitations --- p.156 / Chapter 5.11 --- Further studies --- p.156 / Chapter 5.12 --- Concluding remarks --- p.159 / Chapter 6. --- REFERENCES --- p.161 / Chapter 7. --- APPENDICES --- p.190

Submitted by Elba Lopes (elba.lopes@fecap.br) on 2017-09-27T14:32:25Z No. of bitstreams: 2 Matheus Sabbag Leonel.pdf: 5550296 bytes, checksum: 6f362aaa2bd2343bdc89e022d3bb838f (MD5) license_rdf: 0 bytes, checksum: d41d8cd98f00b204e9800998ecf8427e (MD5) / Made available in DSpace on 2017-09-27T14:32:25Z (GMT). No. of bitstreams: 2 Matheus Sabbag Leonel.pdf: 5550296 bytes, checksum: 6f362aaa2bd2343bdc89e022d3bb838f (MD5) license_rdf: 0 bytes, checksum: d41d8cd98f00b204e9800998ecf8427e (MD5) Previous issue date: 2017-04-18 / This article presents a evaluation of the compliance programs implemented so far by 249 brazilian publicly traded companies and seeks to assess whether the shareholder identity of these companies can influence the level of adoption of these practices. Initially, it is proposed some questions to evaluate compliance programs based on the Brazilian legislation and corporate governance best practices codes. Therefore, qualitative and quantitative analyzes are applied on the data collected in order to verify the existing relationships between the performance of companies in these questions in which their compliance programs were evaluated and several characteristics of these companies, the central being the profile of the controlling shareholder. The results indicate that there is no influence or statistically significant relation of the shareholder's identity on the level of integrity practices adopted by the evaluated companies. However, other aspects, like the adoption of anticorruption brazilian law and the market segment, show that they have some influence on the adoption of such practices. / Este artigo analisa os programas de compliance implementados por 249 companhias brasileiras de capital aberto em 2016, bem como procura avaliar se os perfis dos acionistas dessas empresas possuem rela????o com o n??vel de ado????o dessas pr??ticas. Inicialmente, avalia-se os programas de compliance a partir de itens presentes na legisla????o brasileira e nos c??digos de boas pr??ticas de governan??a. Na sequ??ncia, s??o aplicadas an??lises qualitativas e quantitativas sobre os dados coletados, no inuito de verificar as rela????es existentes entre o desempenho das empresas nos quesitos em que seus programas de compliance foram avaliados e diversas caracter??sticas corporativas, com destaque para o perfil do acionista controlador. Os resultados indicam n??o haver rela????o estatisticamente significante entre o perfil do acionista controlador e o n??vel de ado????o das pr??ticas de integridade pelas empresas avaliadas. N??o obstante, observa-se que outros aspectos, como a ado????o da lei anticorrup????o brasileira ou o segmento de mercado da empresa, mostram ter influ??ncia sobre a ado????o ou n??o de tais pr??ticas.

Diploma thesis deal with the non-compliance questions by allergic patients. The thesis describe in detail the alergic disease with focusing on the forms, levels, risk factors and impact of non-compliance phenomenon. The practical part use the obtained informations from the quantitative research. These data were processed and used for reach the goals of the thesis. The data analysis evaluates and confirms eventually deny the theoretical supposition.

In the past Compliance Management has often failed, the Volkswagen emissions scandal just being one prominent example. Not everything has to be reinvented, and not everything that companies have done in the past regarding Compliance is wrong. But it is about time to think Compliance in new ways. What does “Compliance Management 2.0” really depend on? The following article aims at laying out the cornerstones for enduring effective Compliance which amongst others comprises sincerity and credibility and a moral foundation. Furthermore, the commitment and role model behavior of top managers and the training of line managers are crucial for the effectiveness of any Compliance Management System (CMS). Ultimately, for Compliance to function efficiently the efforts must be adequate for the respective company and realistic regarding the achievable goals.

As the number of government investigations in the corporate and public sectors increases worldwide, the interest in implementing effective internal rules to avoid non-compliance with the law and its many negative consequences is growing. In this context, one may think primarily of the general concept of Compliance, without considering its various forms in different areas of law. In particular, Compliance with regard to criminal law - also referred to as 'Criminal Compliance' – has received greater attention in recent years. What applies in general to Compliance is particularly true for Criminal Compliance: Only a Compliance Management System tailored to the individual company can effectively prevent criminal offences.

Compliance organization and compliance function must constantly evolve and be adaptable, both through further development within the company and changes in the political and legal situations in which companies operate. In this issue, we kick off with a piece of thought in which Michele DeStefano (Content Curator) engages with experts from compliance practice, including Markus Endres (Advisory Board CEJ) on the question: What role can and should compliance play in digital transformation in the enterprise? From a legal perspective, it is clear that determining the 'role' of compliance is exceedingly relevant, if only because of liability. Furthermore, our authors in this issue deal with the 'Monaco Memo' and its significance for antitrust investigation in the USA and with the continuing relevant topic of sanctions compliance. In addition, our authors from Austria and Liechtenstein describe the implementation of an effective compliance management system in the company and the Compliance Officer’s duty to monitor.

Submitted by JOSIANE SANTOS DE OLIVEIRA (josianeso) on 2018-10-09T16:58:19Z No. of bitstreams: 1 Adriano de Oliveira Martins_.pdf: 580495 bytes, checksum: 56629584efa4a6ad597e26746b67a946 (MD5) / Made available in DSpace on 2018-10-09T16:58:19Z (GMT). No. of bitstreams: 1 Adriano de Oliveira Martins_.pdf: 580495 bytes, checksum: 56629584efa4a6ad597e26746b67a946 (MD5) Previous issue date: 2018-06-28 / Nenhuma / De acordo com uma pesquisa Maturidade do Compliance no Brasil, realizada pela KPMG em 2016, as empresas em geral possuem um baixo nível de maturidade em gestão de riscos de compliance. Apesar da importância do tema, segundo a pesquisa, apenas 58% das empresas afirmam possuir mecanismos para gestão de risco de compliance, enquanto outros 42% informam desconhecê-los. Dentre as estruturas classificadas pela pesquisa, que são dedicadas ao tema de compliance, 36% afirmam não possuir autonomia e independência para exercer suas funções, consideradas uma boa prática de governança. Ainda segundo a pesquisa, 52% não possuem recursos adequados. O Instituto Brasileiro de Governança Corporativa – IBGC, entende risco como possibilidade de ‘algo não dar certo’, mas seu conceito atual envolve a quantificação e qualificação da incerteza, no que diz respeito às ‘perdas’ como aos ‘ganhos’ e o rumo dos acontecimentos planejados. O objetivo deste estudo é identificar os principais entraves que fazem com que o grau de maturidade das empresas brasileiras no tema compliance, seja baixo. Para tanto, foram entrevistados em profundidade, alguns conselheiros de administração e fiscal e, com base na literatura disponível e pelos resultados das recentes pesquisas sobre maturidade de risco de compliance no Brasil, foi possível compreender alguns dos principais aspectos que fazem com que estas empresas, tenham este resultado. Os resultados apontam principalmente para: Crença de que os riscos, em especial de compliance, não irão se materializar; Exigências relacionadas com o tema compliance, não se aplicam em suas empresas; Posicionamento reativo quanto ao cumprimento das normas; Conflito de interesses pessoais; Crescente preocupação quanto à formação dos conselheiros em governança corporativa de forma reativa; Desconhecimento pleno das responsabilidades e impactos de ser um conselheiro; Aumento da exposição à riscos, renúncia do posicionamento em assembleias; Autoproteção, quebra de independência; Uso das estruturas internas de compliance, para a proteção e atendimento das necessidades do controlador e atendimento às conformidades apenas para manter as aparências. / According to a Compliance Maturity research in Brazil, conducted by KPMG in 2016, companies generally have a low level of maturity in compliance risk management. Despite the importance of the topic, only 58% of companies claim to have compliance risk management mechanisms, while another 42% report not knowing them. Among the structures dedicated to the subject, 36% affirm that they do not have autonomy and independence to perform their functions, considered a governance good practice. Still, according to research, 52% do not have adequate resources. The Brazilian Institute of Corporate Governance (IBGC) understands risk as a possibility of 'something going wrong', but the current concept involves the quantification and qualification of uncertainty as 'losses' and 'gains' and the direction of planned events. The objective of this study is to identify the main obstacles that make the degree of maturity of the Brazilian companies in the subject of compliance to be low. For which, were interviewed in depth, some administration and supervisory advisers and, based on the available literature and the results of the recent research on risk maturity of compliance in Brazil, was possible to understand some of the main aspects that cause these companies to have this result. The results point mainly to: Belief that risks, especially compliance, will not materialize; Requirements related to the subject of compliance, do not apply in their companies; Reactive positioning regarding compliance with standards; Conflict of personal interests; Growing concern as well as the formation of directors in corporate governance in a reactive way; Lack of full knowledge of the responsibilities and impacts of being an advisor board; Increasing exposure to risks, resignation of positions in assemblies; Self-protection, breach of independence; Use of internal compliance structures, self-protection to meeting the needs of the main controller and attendance to conformities just to keep up appearances.