The objectives of this study were to provide a detailed biopsychosocial description of the characteristics of a sample of 100 individuals screened and referred by the National Responsible Gaming Programme helpline for their outpatient treatment programme over an eighteen month period, and, importantly, to measure the success of this specific treatment programme at set intervals, up to a one year follow-up period. While 80% of the sample did not relapse during the six-week treatment programme, the number of treatment seekers without any gambling relapses during each follow-up period declined, and those falling back into gambling increased as time went on. After one year 47% of treatment seekers managed not to revert back to gambling – total abstinence. A further 28% reported having relapsed once or twice or that their gambling was controlled. 25% of treatment seekers reported that they reverted back to gambling fulltime which leaves the success rate of the treatment at 75%. Treatment seekers reported an overall reduction in gambling participation, debt and expenditure and an overall improvement in social and vocational functioning. There is evidence in this study to support the perspective that pathological gambling is a multidimensional disorder and that certain sub-groups of gamblers have distinct gambling behaviour. / Psychology / M.Soc.Sc.

El propòsit d'aquesta tesi és investigar i descriure els necessaris canvis en la gestió de les escoles de negocis per arribar a ser institucions socialment responsables, i proposa com implementar el procés de canvi. Sustenta que l'educació en gestió responsable no és exclusivament una qüestió curricular, sinó que ha d'involucrar la institució en la seva totalitat perquè els estudiants es formin com a líders responsables i ètics, i proposa un model per a la transformació de les escoles de negocis cap a aquest objectiu. Aquesta tesi està constituïda per vuit articles acadèmics sobre aquest tema; el primer il•lustra la profusió de definicions, teories i enfocaments relacionats amb la Responsabilitat Social Corporativa. El segon article va contribuir a la millor comprensió de la importància de la Responsabilitat Social Universitària a través d'una revisió de la literatura sobre els seus orígens i evolució. En un següent article, titulat Escoles de Negocis Socialment Responsables: Les parts interessades demanen accions urgents, es va investigar si les parts interessades retroalimenten als degans amb suficients arguments per al canvi, i si els requisits d'acreditació de l’AACSB són coherents amb la necessària millora en l'educació de l'ètica empresarial i la responsabilitat social. Les conclusions d'aquest article van portar a la creació d'una cercle virtuós en L'avaluació d'un cercle virtuós per a escoles de negocis socialment responsables, en el qual es proposa a PRME com a centre d'unió amb les principals acreditadores i enquesta / rànquing del Beyond Grey Pinstripes (BGP), per impulsar de forma sinèrgica la transformació de les escoles de negocis. El següent article tracta sobre l'avaluació de requisits per a la classificació en el rànquing BGP, i analitza la metodologia de l'enquesta, ja que és l'única que se centra en els plans d'estudi i continguts de recerca en ètica, responsabilitat social i sostenibilitat de les escoles de negocis. Amb la convicció de la necessària transformació d'aquestes escoles, va seguir un article sobre Un canvi estratègic en les escoles de negocis per a l'educació en ètica empresarial, responsabilitat social i sostenibilitat. L'article següent va ser un co-escrit sobre l'educació empresarial responsable: No una qüestió curricular, sinó una raó de ser de les escoles de negocis, que ha posat èmfasi en la importància de desenvolupar una identitat en les escoles de negocis en relació amb l'ètica i la responsabilitat social. Finalment, tots les aportacions d'aquesta tesi culminen en la proposta d'Un model per a la transformació de les escoles de negocis en institucions socialment responsables, que centra a les persones com la raó última de tota activitat escolar, dirigint totes les polítiques i estratègies cap a una gestió socialment responsable en què les dimensions de l'ètica, responsabilitat social i sostenibilitat són incorporades i integrades en tots els aspectes de l'organització. / El propósito de esta tesis es investigar y describir los necesarios cambios en la gestión de las escuelas de negocios para llegar a ser instituciones socialmente responsables, y propone cómo implementar el proceso de cambio. Sustenta que la educación en gestión responsable no es exclusivamente una cuestión curricular, sino que debe involucrarse la institución en su totalidad para que los estudiantes se formen como líderes responsables y éticos, y propone un modelo para la transformación de las escuelas de negocios hacia ese objetivo. La tesis está constituida por ocho artículos; el primero ilustra la abundancia de definiciones, teorías y enfoques relacionados con la Responsabilidad Social Corporativa, a través de una revisión de literatura. El segundo artículo contribuye a la comprensión de la importancia de la Responsabilidad Social Universitaria mediante una revisión de la literatura sobre sus orígenes y evolución. Un siguiente artículo, titulado Escuelas de Negocios Socialmente Responsables: Las partes interesadas demandan acciones urgentes, se refiere a los argumentos con los que las partes interesadas demandan cambios a los decanos, y enfatiza la insuficiencia de los requisitos de acreditación de AACSB para mejorar la formación con principios éticos y de responsabilidad social. Las conclusiones de este artículo llevan a la creación de un círculo virtuoso en La evaluación de un círculo virtuoso para escuelas de negocios socialmente responsables, en el que se propone a PRME como centro de unión con las principales acreditadoras y la encuesta/ranking de Beyond Grey Pinstripes (BGP), para impulsar de forma sinérgica la transformación de las escuelas de negocios. El siguiente artículo trata sobre la Evaluación de requisitos para la clasificación en el ranking BGP y analiza la metodología de la encuesta, ya que es la única que se centra en los planes de estudio y contenidos de investigación en ética, responsabilidad social y sostenibilidad. Un siguiente artículo propone Un cambio estratégico en las escuelas de negocios para la educación en ética empresarial, responsabilidad social y sostenibilidad. El artículo que sigue, escrito en coautoría sobre la Educación empresarial responsable: No es una cuestión curricular, sino una razón de ser de las escuelas de negocios, hace hincapié en la importancia de desarrollar una identidad en relación con la ética y responsabilidad social. Por último, todos los aportes culminan en la propuesta de Un modelo para la transformación de las escuelas de negocios en instituciones socialmente responsables, que centra a las personas como la razón última de toda actividad escolar, con políticas y estrategias dirigidas hacia una gestión socialmente responsable en que las dimensiones de la ética, responsabilidad social y sostenibilidad son integradas en todos los aspectos de la organización. / The purpose of this thesis is to explore and describe what changes are necessary in the management of business schools in order for them to become socially responsible institutions, and how can the needed process of change be implemented. The thesis upholds that education in responsible business does not depend exclusively on curriculum, but should expand its scope to involve the entire institution towards the objective of educating students for becoming responsible and ethical business leaders. Consequently, a model is proposed for the transformation of a business school into a socially responsible institution. The thesis is paper-based, and comprises eight academic contributions; the first one consists in a literature review on Corporate Social Responsibility which reveals the profusion of related definitions, theories, approaches, and their development. The second paper contributes to the significance and better understanding of University Social Responsibility through a literature review of its origins and evolution. A following article, Socially Responsible Business Schools: Collective stakeholders’ voices demand urgent actions, addresses key stakeholders’ arguments that provide deans with plenty of criteria for change, and stresses the insufficiency of AACSB’s accreditation requirements to improve business ethics and social responsibility education. The conclusions of this article prompted a Virtuous circle for socially responsible business schools, which is constructed with PRME, the leading accreditation bodies, and the Beyond Grey Pinstripes (BGP) ranking for synergistically impelling the transformation of business schools. Inasmuch as the BGP survey and its Global 100 ranking form part of the proposed virtuous circle, a following article, Assessing what it takes to earn a Beyond Grey Pinstripes Ranking, addresses its significance and methodology, since it is the only one that focuses on the curricula and research content of ethics, social responsibility, and sustainability in MBA programmes. The need for the transformation of business schools is thus confirmed, and with this conviction in mind, a paper on A strategic change at business schools towards business ethics, social responsibility, and sustainability education ensued. The next article was co-authored on Responsible business education: Not a question of curriculum but a raison d’être, which stresses the importance of developing an identity in business schools in relation to ethics and social responsibility. Finally, the contributions of this thesis culminate in a proposal of A model for the transformation of business schools into socially responsible institutions, which centres people as the ultimate reason of all school activity, directing all policies and strategies towards a responsible management in which the dimensions of ethics, social responsibility, and sustainability are embedded and integrated in all aspects of the organisation.

En prenant l’exemple des entreprises pétrolières multinationales, cette thèse tente de clarifier l’état actuel du concept de responsabilité sociale des entreprises, qui, d’un point de vue juridique, relève du « soft law», et à dessiner la frontière entre le « hard law » et le « soft law», dans le but de mettre en lumière la différence entre les fonctions de ces deux types de droit et de dissiper les attentes irréalistes envers le concept de responsabilité sociale des entreprises. S’alignant avec cette logique, les contextes de la responsabilité sociale des entreprises ont d’abord été explorés, y compris l’évolution et les controverses autour de ce concept, ainsi que les instruments qui le sous-tendent et le mettent sur un pied solide, lesquels représentent certaines caractéristiques communes (diversité, flexibilité, inclusion des valeurs pionnières, etc.) pour être acceptés et engagés par les entreprises. Par ailleurs, a aussi été analysée la tendance au durcissement des règles nationales en cette matière, qui peut être constatée dans les pays développés et dans certains pays en développement. Puis, trois sujets, à savoir l’environnement, les droits de l’Homme et la lutte contre la corruption, ont été choisis et traités, pour, d’une part, exposer comment le « hard law » agit sur eux, ses faiblesses tant dans les pays en développement que dans les pays développés, et ses effets sur les performances réelles des entreprises pétrolières multinationales, et, d’autre part, déployer la contribution de la responsabilité sociale des entreprises sur ces thèmes. Enfin, les dynamiques de la responsabilité sociale des entreprises ont été recherchées. Certaines parties prenantes, comme les gouvernements, les investisseurs socialement responsables, les concurrents ou les ONG, ont un potentiel conséquent pour pousser les entreprises pétrolières multinationales à adopter une approche socialement responsable, tandis que certaines parties prenantes, comme les consommateurs responsables, restent un facteur faible pour la prise de décision de ces entreprises. / Examining the example of multinational oil companies, this article tries to make clear the actual situation of the concept of corporate social responsibility, which from legal perspective belongs to soft law, and to draw a line between hard law and soft law, aiming to highlight the difference in functions of these two laws and to dispel unrealistic expectations of corporate social responsibility. Along these lines, this article firstly explores the context of corporate social responsibility, including its evolution, controversies around it, and the underpinning instruments that put it on a solid footing. These instruments represent a couple of common characteristics (diversity, flexibility, inclusion of pioneer values, etc.) that make them accepted by companies as commitment. Furthermore, both developed countries and some developing countries have seen a trend to strengthen national-level rules in this area. Secondly, three subjects, i.e., environment, human rights and anti-corruption, are selected and analyzed to show how hard law functions, its weaknesses in both developing countries and developed ones, and its effects on the actual performance of multinational oil companies, and also to explore what contribution the corporate social responsibility can make. Finally, the dynamics of corporate social responsibility is discussed. Some stakeholders, such as government, socially responsible investors, competitors and NGOs, have great potential to push multinational oil companies to adopt a socially responsible approach, while some other stakeholders, such as responsible consumers, remain a weak factor in the decision-making of these companies.

The objectives of this study were to provide a detailed biopsychosocial description of the characteristics of a sample of 100 individuals screened and referred by the National Responsible Gaming Programme helpline for their outpatient treatment programme over an eighteen month period, and, importantly, to measure the success of this specific treatment programme at set intervals, up to a one year follow-up period. While 80% of the sample did not relapse during the six-week treatment programme, the number of treatment seekers without any gambling relapses during each follow-up period declined, and those falling back into gambling increased as time went on. After one year 47% of treatment seekers managed not to revert back to gambling – total abstinence. A further 28% reported having relapsed once or twice or that their gambling was controlled. 25% of treatment seekers reported that they reverted back to gambling fulltime which leaves the success rate of the treatment at 75%. Treatment seekers reported an overall reduction in gambling participation, debt and expenditure and an overall improvement in social and vocational functioning. There is evidence in this study to support the perspective that pathological gambling is a multidimensional disorder and that certain sub-groups of gamblers have distinct gambling behaviour. / Psychology / M.Soc.Sc.

Venture Capitals and early stage companies are of fundamental importance for how the market operates and develops. In the last decade more focus has been put on the ESG strategies and governance of organizations. However, ESG is a relatively new and complex research area in which ignorance and measurement problems have led to inconsistency in applications of ESG concepts and strategies. Based on empirical data consisting of qualitative document analysis and interviews with Swedish Venture Capitals this thesis aims, from theoretical perspectives within decision-making and ESG strategies, to investigate which ESG strategies are used among Swedish Venture Capitals investing in tech, and how these are applied in, are weighted and impact the decision-making process. The result shows that the decision making process can be assumed to be based on bounded rationality tinged by fragmented application of ESG concepts and strategies in which diversity and CO2 impact are prioritized focus areas. The common perception was also that investing in tech created a natural aligning to ESG. Active Ownership, Positive- and Negative screening are the central strategies that were applied with the aim to develop and manage the lack of information and the risks that follows with early stage investing. / Venture Capitals och early stage bolag är av fundamental betydelse för hur marknaden fungerar och utvecklas och under det senaste årtiondet har större fokus riktats mot organisationers ESG strategier och styrning. ESG är dock ett relativt nytt och komplext forskningsområde där okunskap och mätningsproblematik har lett till att begrepp och strategier tillämpas inkonsekvent. Utifrån empiri baserad på kvalitativ dokumentanalys och intervjuer från svenska Venture Capitals avser denna studie, utifrån teoretiska perspektiv inom beslutsfattande och ESG strategi, att undersöka vilka ESG strategier som används bland svenska Venture Capitals och hur de tillämpas, viktas och påverkar beslutsfattandet vid investeringar i tech. Resultatet visade att beslutsprocessen kan antas baseras på begränsad rationalitet präglad av fragmenterad tillämpning av ESG begrepp och strategier där jämställdhet och CO2 påverkan var prioriterade fokusområden. Den gemensamma bilden var även att investering i tech skapade en naturlig förankring till ESG. Active ownership, Positive- och Negative screening var de centrala strategierna som tillämpades i syfte att utveckla och hantera den informationsbrist och de risker som medföljde early stage investering.

A rise in the number of high-profile cases of management failure and leadership misconduct increased the awareness of one of the core challenges of management, namely to lead responsibly and with integrity. The environment which senior managers create and within which middle managers need to function seems to have a direct bearing on the moral behaviour and integrity of the middle manager. The aim of this research was therefore to gain a better understanding of how middle managers view the impact of senior managers on their experience of integrity. There is an increasing need in organisations for responsible leadership, leadership with integrity and leadership towards developing the integrity of the follower. This study was conducted within the interpretive research paradigm. Sampling was directed by criterion-based guidelines, focusing on current middle managers from different industries in the private sector. In-depth interviews were conducted and the data was analysed using a grounded theory method. The main findings indicated that senior managers should engage in two debates with middle managers in the organisation. Firstly, integrity is not something that is demonstrated but rather means that leaders can be differentiated from other leaders when they lead with integrity. Secondly, defining integrity and linking it to personal standards and values, as well as aligning these standards and values to the organisational strategy, vision and mission, are important. The findings of this study can assist senior managers with decreasing unethical behaviour and increasing integrity in the organisation. The research provided a basic framework that can assist in creating a positive context for the viii relationship between senior managers and middle managers within which to function, in order to decrease unethical employee activity and increase integrity. / Industrial and Organisational Psychology / M.A. (Industrial and Organisational Psychology)

Socially responsible investing has presented itself as a growing, multifaceted, advanced and sophisticated investment philosophy. Socially responsible investment (SRI) involves incorporating social, ethical and responsible investment objectives with financial investment objectives during the investment decision-making process. Social, ethical and responsible investment objectives are set in line with environmental, social and corporate governance (ESG) criteria which are established within the SRI strategy followed. SRI strategies include screening (negative, positive and best-of-sector), shareholder activism and cause-based investing. Although international SRI markets such as that of the United States of America and the United Kingdom are sophisticated and established markets, the South African SRI market is still relatively new and is yet to reach its full potential. Thus, as a growing market, little research regarding the long term risk-adjusted performance of SRI funds in South Africa has been conducted. The long term risk-adjusted performance of the sample of SRI funds was measured through the use of five risk-adjusted performance measures, namely the Treynor ratio, Sharpe ratio, Jensen’s alpha, Sortino ratio and Omega ratio, and through the use of three performance measurement models which included the capital asset pricing model (CAPM), Fama-French three-factor model and Carhart four-factor model. The risk-adjusted performance of the sample of SRI funds was measured with the intent to establish if these funds out- or underperformed against three benchmark categories, namely the Financial Times Stock Exchange/Johannesburg Stock Exchange (FTSE/JSE) SRI Index, a matched sample of conventional investment (non-SRI) funds and the FTSE/JSE All Share Index. The probable effect of the 2007/08 global financial crisis was also measured to analyse whether such a hazardous market event affected the performance of the SRI funds. According to the results and findings, the risk-adjusted performance of the SRI funds has improved over the research period. However, the SRI funds neither outperformed nor underperformed against the three benchmark categories over the research period. The performance measurement models’ analysis indicated that the SRI funds were less sensitive to market fluctuations, more exposed to small capitalisation portfolios, more growth-oriented, and exhibited significant momentum after the period of the 2007/08 global financial crisis. Furthermore, the analysis indicated that the SRI funds significantly underperformed against the non-SRI funds during the Performance of socially responsible investment funds in South Africa research period. Mixed results were obtained with regards to the probable effect of the 2007/08 global financial crisis on the performance of the SRI funds.

Socially responsible investing has presented itself as a growing, multifaceted, advanced and sophisticated investment philosophy. Socially responsible investment (SRI) involves incorporating social, ethical and responsible investment objectives with financial investment objectives during the investment decision-making process. Social, ethical and responsible investment objectives are set in line with environmental, social and corporate governance (ESG) criteria which are established within the SRI strategy followed. SRI strategies include screening (negative, positive and best-of-sector), shareholder activism and cause-based investing. Although international SRI markets such as that of the United States of America and the United Kingdom are sophisticated and established markets, the South African SRI market is still relatively new and is yet to reach its full potential. Thus, as a growing market, little research regarding the long term risk-adjusted performance of SRI funds in South Africa has been conducted. The long term risk-adjusted performance of the sample of SRI funds was measured through the use of five risk-adjusted performance measures, namely the Treynor ratio, Sharpe ratio, Jensen’s alpha, Sortino ratio and Omega ratio, and through the use of three performance measurement models which included the capital asset pricing model (CAPM), Fama-French three-factor model and Carhart four-factor model. The risk-adjusted performance of the sample of SRI funds was measured with the intent to establish if these funds out- or underperformed against three benchmark categories, namely the Financial Times Stock Exchange/Johannesburg Stock Exchange (FTSE/JSE) SRI Index, a matched sample of conventional investment (non-SRI) funds and the FTSE/JSE All Share Index. The probable effect of the 2007/08 global financial crisis was also measured to analyse whether such a hazardous market event affected the performance of the SRI funds. According to the results and findings, the risk-adjusted performance of the SRI funds has improved over the research period. However, the SRI funds neither outperformed nor underperformed against the three benchmark categories over the research period. The performance measurement models’ analysis indicated that the SRI funds were less sensitive to market fluctuations, more exposed to small capitalisation portfolios, more growth-oriented, and exhibited significant momentum after the period of the 2007/08 global financial crisis. Furthermore, the analysis indicated that the SRI funds significantly underperformed against the non-SRI funds during the Performance of socially responsible investment funds in South Africa research period. Mixed results were obtained with regards to the probable effect of the 2007/08 global financial crisis on the performance of the SRI funds.

Corporate Social Responsibility (CSR) is one important response to the increasing amounts of criticism levelled at corporations. A number of studies have focused on CSR in a range of industries; however, some contentious industries, e.g. the gambling industry, remain unexplored. Mobilizing CSR in a novel setting not only enhances the knowledge of CSR and gambling, but also provides an overview of this industry itself. This thesis attempts to investigate three questions: to what extent does the gambling industry disclose CSR-related data, how is CSR understood in this industry and why does the gambling industry engage in CSR? This thesis provides a general overview of the international gambling industry and an in-depth investigation of Macao's gambling industry. The research design of the thesis employs mixed methods: content analysis and semi-structured interviews. The principal research is based on 49 interviews. This thesis advances three main arguments. First, it will be argued that there are relatively low volumes of Corporate Social Disclosure (CSD) and Responsible Gambling (RG) disclosure in the international gambling industry, which can be viewed as a legitimising strategy. Second, in Macao's gambling industry, it is argued that organisations in this industry tend to place a greater emphasis on positive social impacts, while obscuring such negative impacts as gambling addiction and health-related issues. Third, this thesis holds that organisations in Macao's gambling industry engage symbolically, rather than substantively, with CSR and RG in order to manage stakeholders' perceptions in an attempt to gain different sources of legitimacy and in turn to enhance its economic interests. In conclusion, the gambling industry does not entirely conform to the institutional environment, which poses a challenge to the organisational legitimacy literature. This thesis introduces a necessary caution into the discussions about the extent of CSD, CSR, and RG in this industry more generally.

金融機構健全經營、信用分配決策之公平性，經營階層能否以誠實、正當的方式，信守並履行對客戶之承諾，對人民財產保障、金融秩序穩定、國家經濟發展之影響甚鉅。職是之故，各國金融監理主管機關乃對金融機構的各項營業活動與以監理並採行必要之行政處分或導正措施，甚且於相關法規中，課予其善良管理人之法定義務，以確保民眾之財產權。然而，一家金融機構能否有效健全經營，主要關鍵仍在於經營者之良窳，即其負責人是否具備充足的專業知識與良好的道德品性，因此主管機關對金融機構負責人所訂的「適格性」條件，必然較一般企業的負責人更為嚴格。 本文從金融監理機關之行政處分與爭訟出發，先了解主管機關的組織架構、運作機制及行政權限，進而探討其行政處分範圍。考量行政機關之行政行為必須符合一般法律原則與行政程序法之規定，因此進一步檢視金融處分應如何適用一般法律原則，及如何確保能踐正當法律程序；本文亦從日、德、英、美等四個金融市場發展歷程較久、且法制較為完備的國家，窺探其相關法令中，對於金融機構負責人資格審查之規範重點與實務操作，並與我國相關法規中之規定與監理實務進行比較，冀從中獲得啟發。 為了解相關行政處分之司法實務觀點，進而將透過臺北高等行政法院與最高行政法院，就金融監督管理委員會對金控公司、銀行、保險公司、證券公司之負責人，所作成不適格的若干行政處分案件之司法判決，加以整理。冀能從司法實務中釐清相關爭點。最後擬從主管機關對金融機構負責人適格性審查之前、中、後三個階段，透過相關制度的設計即審查前能建立相關審查原則，且對於若干不確定法律概念之法規要件，力求客觀與明確；於審查時，能就個案事實與法規要件加以調和，作成妥適的行政決定；而對於通過適格性審查後之負責人，其後如有不符合適格性條件，應如何為適當之處置，冀就此一類型之行政事件，建立最佳行政處理程序。