Magister Legum - LLM / Corruption is among the world's devastating social, economic and political problems. It is enormous to the extent that ''not one single country, anywhere in the world, is corruptionfree''. Its effects on the quality of life of billions of people around the world are widely acknowledged. Kofi Annan, former UN Secretary General, in his statement on the adoption of the United Nations Convention against Corruption (UNCAC), proclaimed that: Corruption is an insidious plague that has a wide range of corrosive effects on societies. It undermines democracy and the rule of law, leads to violations of human rights, distorts markets, erodes the quality of life, and allows organised crime, terrorism and other threats to human security to flourish. Corruption takes different forms depending on the time and the social, political and economic circumstances that create avenues for its occurrence. Consequently, scholars construe corruption from different viewpoints. On the one hand, post-colonialists and Marxists perceive corruption as a product of capitalist pursuit of profit and capital accumulation. On the other hand, liberal-rationalists and free-market economists define corruption by looking at its negative effects on development and economic sustainability. The argument is that corruption discourages foreign investment and allows public officials to siphon off resources for their private advantage, thereby defeating the public good. Despite the definitional and ideological differences found in literature, there is an agreement that corruption is a bad thing and should be fought vigorously.

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2018-11-23T12:15:32Z No. of bitstreams: 1 Luciana Dutra de Oliveira Silveira.pdf: 3309566 bytes, checksum: 1bca7d14fb346807aff935bfc2266525 (MD5) / Made available in DSpace on 2018-11-23T12:15:32Z (GMT). No. of bitstreams: 1 Luciana Dutra de Oliveira Silveira.pdf: 3309566 bytes, checksum: 1bca7d14fb346807aff935bfc2266525 (MD5) Previous issue date: 2018-10-08 / There is now an apparent worldwide trend to fight corruption through the adoption of the new generation of anticorruption laws, that is, domestic laws with extraterritorial reach that provide for legal responsibility to corporations for corrupt practices. In 2013, Brazil joined this movement with the adoption of the Clean Company Act. The entry into force of this legislation provoked criticism and concern, especially with regard to the tension between the underlying interests of the measure and its impacts. Considering that the new generation of anti-corruption laws focuses on corporate conduct abroad, it is clear the ability to impact international trade activities. This thesis addresses the possible impacts of the Clean Company Act to Brazilian international trade from the point of view of growth or fall in imports and exports flows, as well as the formulation of public policies and changes in the behavior of the private sector. Because it is a fairly recent regulation and due to the lack of convictions due to the practice of corruption abroad, the verification of the aforementioned impacts was done based on the study of the United States’ experience with the Foreign Corrupt Practices Act (FCPA). In light of the results regarding the adoption of the law and the imposition of FCPA enforcement actions, this thesis discusses the possible impacts of the Clean Company Act to Brazilian international trade. In summary, the thesis presents considerations regarding the future of Brazilian import and export flows in view of the new generation of anti-corruption laws, the challenges and the alternatives for the Brazilian government to achieve the objectives pursued with the aforementioned legislation, as well as the changes that will be promoted in the private sector conducts due to the new culture of compliance in international trade / Observa-se na atualidade uma aparente tendência mundial de combate à corrupção por meio da adoção da nova geração de leis anticorrupção, isto é, leis domésticas com alcance extraterritorial que atribuem responsabilidade às pessoas jurídicas pela prática da corrupção. Em 2013, o Brasil aderiu a esse movimento com a implementação da Lei da Empresa Limpa. A entrada em vigor dessa normativa atraiu críticas e preocupações, sobretudo no que diz respeito à tensão entre os interesses subjacentes à medida e os seus impactos. Tendo em vista que a nova geração de leis anticorrupção tem como escopo a atuação corporativa no exterior, é evidente o seu poder de impactar as atividades de comércio internacional. A presente tese aborda os possíveis impactos da Lei da Empresa Limpa para o comércio internacional brasileiro, tanto do ponto de vista de crescimento ou queda nas importações e exportações, quanto de formulação de políticas públicas e mudanças no comportamento do setor privado. Por se tratar de uma normativa bastante recente e devido à inexistência de condenações pela prática da corrupção no exterior, a verificação dos mencionados impactos foi feita a partir do estudo da experiência dos Estados Unidos com o Foreign Corrupt Practices Act. Com base nos resultados obtidos acerca da implementação do marco jurídico e da aplicação de medidas corretivas fundamentadas na referida lei, esta tese discute os possíveis impactos da Lei da Empresa Limpa para o comércio internacional brasileiro. Em suma, a tese traz considerações acerca do futuro dos fluxos de importação e exportação brasileiros em vista da nova geração de leis anticorrupção, dos desafios e das alternativas para o governo brasileiro alcançar os objetivos almejados com a referida normativa, bem como das mudanças que serão promovidas na atuação do setor privado haja vista a nova cultura do compliance no comércio internacional

Submitted by ROSIANE SANT ANNA STUTZ (rosistutz@gmail.com) on 2017-12-27T19:10:18Z No. of bitstreams: 1 Dissertação_Rosi Stutz.pdf: 1924541 bytes, checksum: 466cc41030b03645511276ad7f864ddf (MD5) / Approved for entry into archive by Janete de Oliveira Feitosa (janete.feitosa@fgv.br) on 2018-01-02T13:02:49Z (GMT) No. of bitstreams: 1 Dissertação_Rosi Stutz.pdf: 1924541 bytes, checksum: 466cc41030b03645511276ad7f864ddf (MD5) / Made available in DSpace on 2018-01-09T17:04:22Z (GMT). No. of bitstreams: 1 Dissertação_Rosi Stutz.pdf: 1924541 bytes, checksum: 466cc41030b03645511276ad7f864ddf (MD5) Previous issue date: 2017-12-04 / Esta pesquisa objetivou investigar a manifestação do isomorfismo nos Códigos de Ética das empresas de capital aberto listadas na Bolsa de Valores do Brasil para verificar como a construção deste documento é influenciada por mecanismos institucionais que exercem pressão sobre estas empresas, inseridas no mesmo ambiente.Foi realizada uma pesquisa qualitativa, de caráter descritivo, conduzida por meio de análise do conteúdo dos Códigos de Ética de uma amostra que incluiu todos os setores econômicos utilizados pela Bolsa de Valores do Brasil. Para tratamento dos dados, o estudo utilizou categorias referentes às exigências da Legislação Brasileira, à legitimidade e às melhores práticas de um Programa de Compliance.A partir das categorias evidenciadas no conteúdo dos Códigos de Ética, esta pesquisa observou a ocorrência dos aspectos de isomorfismo coercitivo e de legitimidade em todos os Códigos, independente do setor econômico das empresas da amostra. Este estudo sugere que os Códigos analisados foram criados como uma resposta simbólica para atender as pressões de regulação e do ambiente institucionalizado onde as empresas estão inseridas.A presente pesquisa se limitou a analisar os conteúdos dos Códigos de Ética sob a luz da Teoria Institucional, concentrando-se no aspecto do isomorfismo e dos mecanismos institucionais que exercem pressão sobre as organizações inseridas em determinado campo organizacional, não abordando outros conceitos da Teoria nem realizando qualquer análise sobre a efetividade dos Códigos de Ética nas organizações selecionadas.O resultado deste estudo serve como um insumo relevante tanto para empresas que necessitam construir seu Código de Ética, quanto para as que necessitam aperfeiçoar o conteúdo de Códigos de Ética já existentes.As empresas podem construir seu Código de Ética como um guia efetivo de conduta para restringir comportamentos não éticos da organização e não apenas como um documento escrito para atender as exigências institucionais e regulatórias.Pelo nosso conhecimento, este é o primeiro estudo de conteúdo dos Códigos de Ética das empresas de capital aberto no Brasil, após a Legislação Brasileira Anticorrupção. / The purpose of this study is to investigate the occurrence of isomorphism in the Codes of Ethics of public companies listed on the Brazilian Stock Exchange to verify how the construction of this document is influenced by institutional mechanisms that put pressure on these companies, inserted in the same environment.A qualitative, descriptive research was carried out by analyzing the content of the Codes of Ethics of a sample that included all the economic sectors used by Brazilian Stock Exchange. For data treatment, the study used categories related to the requirements of the Brazilian Legislation, related to legitimacy and to the best practices of a Compliance Program.From the categories evidenced in the content of the Codes of Ethics, this study observed the occurrence of coercive isomorphism and legitimacy aspects in all Codes, regardless of the economic sector of the sample companies. This work suggests that the Codes analyzed were created as a symbolic response to address the pressure of regulation and the pressure of the institutionalized environment where the companies are inserted.This study was limited to analyze the content of the Codes of Ethics using the Institutional Theory, focusing on the aspect of the isomorphism and the institutional mechanisms that put pressure on the organizations inserted in a determined organizational field, not addressing other concepts of the Theory nor performing any analysis on the effectiveness of the Codes of Ethics in the selected organizations.The result of this study serves as a relevant input for both companies that need to build their Code of Ethics and those that need to improve the content of existing Codes of Ethics.Companies can build their Code of Ethics as an effective conduct guide to restrict employees’ unethical behavior and not just as a written document to meet institutional and regulatory requirements.To our knowledge, this is the first study of the Codes of Ethics content of public companies in Brazil, after the creation of the Brazilian Anti-Corruption Law.

ベトナムでは汚職・腐敗問題は依然深刻な問題として位置づけられいるものの近年、新たな展開が見られるようになった。政府政策の変化は市民の汚職行為に対する容認度の低下につなぎ、マスメディアの活躍も一段と目立ってきている。本論文社はベトナム政府の汚職取締と法的・制度的枠組みの歴史と制度改変について考察した後、今日のマスメディアと市民社会組織の活動を検証し、汚職問題を取り巻くベトナム社会の今日的意義を問う。 / Although corruption is continuously regarded as a pressing matter in Vietnam, there have been new developments in this aspect. Specific changes in government policies empowered anti-corruption agencies and nurtured the participation of mass media and civil society organizations, which ushered in a decline in public tolerance for corruption. This dissertation examines the development of the Vietnamese anti-corruption legal framework, provides insights into the institutional frameworks of Vietnamese anti-corruption agencies, and demonstrates changes in the mass media activities and civil society reaction to identify prospects and challenges in the future. / 博士(現代アジア研究) / Doctor of Philosophy in Contemporary Asian Studies / 同志社大学 / Doshisha University