Corporate governance: principles, policies, and practices
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Oxford
Oxford University Press
2015
|
| Ausgabe: | Third edition |
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | xix, 520 Seiten Diagramme 25 cm |
| ISBN: | 9780198702757 |
Internformat
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Datensatz im Suchindex
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|---|---|
| adam_text | Contents
List of Case Studies XV
Introduction xvii
What the book is about xvii
Who the book is for xvii
The basis of the book xviii
How the book came to be written: a personal note from the author xviii
PART ONE Principles 1
1 Corporate Governance: A subject whose time has come 3
All corporate entities need governing 3
Corporate governance is old, only the phrase is new 4
The early days: merchants and monopolists 5
The invention of the limited-liability company 6
The separation of ownership from operations 7
Developments in the 1970s: audit committees, two-tier
boards, and corporate responsibility 9
Developments in the 1980s: corporate collapses 10
Developments in the 1990s: corporate governance codes arrive 12
Developments early in the 21st century: reactions to
more corporate collapses 15
Corporate governance implications of the global financial crisis 17
New frontiers for corporate governance 20
2 Governance and Management 30
Definitions of corporate governance 30
The scope of corporate governance 32
The significance of constitutions for corporate entities 38
The difference between governance and management 43
The performance and conformance aspects of governance 45
Alternative board structures 47
Board diversity 53
X
CONTENTS
3 Theories and Philosophies of Corporate Governance 59
The agency dilemma 59
Agency theory 61
Transaction cost economics 64
Stewardship theory 65
Resource dependency theory 68
Managerial and class hegemony 68
Psychological and organizational perspectives 69
The societal perspective: stakeholder philosophies 70
Enlightened shareholder theory 71
Differing boundaries and levels: systems theory 72
A subject in search of its paradigm 74
4 The Governance Partnership: Investors, companies, and directors 84
Shareholder rights 84
Shareholder stewardship and activism 86
Shareholder information 90
Different types of director 92
Directors legal duties and rights 96
The board leadership role of the chairman 98
The corporate officers 99
5 The Regulatory Framework 107
Legislation, regulation, and corporate governance codes 107
Corporate regulation in the United States 108
Corporate regulation in the United Kingdom 115
Corporate regulation in other countries 123
Codes from international agencies 128
Codes from institutional investors 131
Company codes 134
Codes for the public and voluntary sectors 136
The importance of compliance: corporate governance reports 138
Principles or prescription: the governance debate 139
6 Models of Corporate Governance 147
How context and culture affect corporate governance 147
The US rules-based model 149
The UK/Commonwealth pnnciples-based model 150
The continental European two-tier model 151
The Japanese business network model 152
CONTENTS XI
The Asian family-based model 154
Corporate governance: convergence or differentiation? 155
Institutions necessary for successful corporate governance 158
PART TWO Policies 165
7 Functions of the Board 167
What the board does 167
Balancing the board s performance and conformance roles 178
Board committees: functions and authority 179
Delegating board functions to management 182
Corporate transparency 187
8 The Governance of Corporate Risk 194
The US COSO integrated framework for enterprise risk management (ERM) 195
The global financial crisis: a new emphasis on corporate risk 196
Levels of risk: the concept of enterprise risk management 197
Responsibility for risk profiling, risk strategy, risk policy, and risk supervision 198
Identifying types of risk 200
Risk analysis 204
Risk recognition and assessment 206
Risk evaluation 208
Risk management information systems 210
Risk transfer 210
9 Corporate Social Responsibility and Sustainability 219
The concept of corporate social responsibility (CSR) 219
Changing expectations in the governance of organizations 222
Enlightened shareholder value (ESV) 224
CSR strategies and policies 225
The CSR competency framework 225
Balancing corporate responsibilities 228
Sustainability and the triple bottom line 231
Communication with stakeholders: integrated reporting 232
The United Nations Global Reporting Initiative 234
10 The Governance of Listed Companies 242
Ownership of listed companies 242
Shareholder rights 244
XII
CONTENTS
Shareholder activism and the role of institutional investors 246
Shareholder relations 248
Disclosure of substantial shareholdings and directors interests 249
The governance of complex corporate structures 250
Block-holders and universal ownership 256
Dual-listed companies 257
Dual-class shares 258
Listings on alternative stock markets 259
11 The Governance of Private Companies and
Other Corporate Entities 267
The governance of private companies 268
The governance of family-owned companies 268
The governance of subsidiary and associated companies 271
The governance of employee-owned companies 273
The governance of joint ventures 275
The governance of mutuals, social enterprises, and non-profit entities 275
The governance of partnerships and limited-liability
partnerships 279
The governance of hedge funds, private equity,
and sovereign funds 281
The state as shareholder 287
12 Corporate Governance around the World 297
Corporate governance in China 297
Corporate governance in India 303
Corporate governance in Russia 305
Corporate governance in Brazil 307
Corporate governance in Hong Kong and Singapore 308
Corporate governance in South Korea: the chaebol 309
Corporate governance in Japan 309
Corporate governance in the Middle East and North Africa 310
PART THREE Practices 315
13 Board Membership: Directors appointment, roles,
and remuneration 317
The appointment of directors 317
Desirable attributes in a director 319
CONTENTS Xlii
Core competencies of a director 322
Roles that directors play 323
Directors duties, rights, and powers 326
Directors disclosures, service contracts, and agreements 328
Directors remuneration 331
14 Board Leadership: The reality of
the boardroom 345
How people, power, and politics affect practice 345
The chairman s leadership role 346
Sources of governance power 351
Games that directors play 353
Board styles and the culture of the board 360
Business ethics begin in the boardroom 364
Corporate codes of ethics and their enforcement 366
Implementing corporate governance below board level 370
15 Board Activities: Corporate governance
in practice 379
Committees of the board 379
The influence of the audit committee 381
The role of internal audit in corporate governance 394
The importance of the external auditor 397
The significance of the company secretary 401
16 Board Effectiveness: Building better boards 409
Making a board effective 409
Director orientation and director induction 411
Director development, training, and updating 413
Directors liabilities and indemnity 415
Board information 417
Managing meetings, agenda, and minutes 422
Communications with shareholders and other stakeholders 424
Appendix to Chapter 16: Director s induction checklist 430
17 Board Evaluation: Reviewing directors and boards 436
Assessing boards and board committees 436
Assessing individual directors performance 447
Corporate governance rating systems for companies 450
Corporate governance assessment systems for countries 453
XIV
CONTENTS
Appendix to Chapter 17: The Fannie Mae corporate
governance guidelines 461
18 Corporate Governance: The next thirty years 469
Today s frontiers of corporate governance 470
Beyond today s frontiers of corporate governance 477
Drivers of change 484
Appendix 1 Corporate Governance Codes around the World 495
Appendix 2 Answers to End-of-Chapter Self-Test Questions 503
Index 513
|
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