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An Exploratory Study of Investment Compliance Management in the Enron Collapse
  • Valencia Tamir Johnson, Dr., Thomas Jefferson School of Law

This paper is to critique a thesis titled An Exploratory Study of Investment Compliance Management in the Enron Collapse (2013). This thesis can be found on the IBLS database, and on the Thomas Jefferson School of Law record database. This paper mentions the Enron scandal that played a major role in shaking investors’ and stakeholders’ confidence, in part because the corporation’s administrators were able to conceal its losses for nearly five years. This thesis examines the history of Enron and describes the circumstances leading up to its collapse in 2001, paying particular attention to the violation of corporate governance laws on the part of the firm’s high-ranking officers. The national scandal that Enron engendered gave rise to specific regulatory changes on the part of the U. S. government, which are outlined and discussed.

The central part of the thesis focuses on organizational leadership, particularly as it relates to financial institutions such as Enron, and delineates a new leadership paradigm designed for effective communication at all levels of a corporation. The final section of the thesis assesses financial industry trends that bankers and consumers can expect during the next ten years, such as improvements in technology, increased government regulations to protect security and privacy, and greater use of electronic banking.

  • Financial Law,
  • Banking Law,
  • Money Laundering,
  • Compliance,
  • Criminal Justice,
  • International Banking Laws and Compliance
Publication Date
Summer June 25, 2013
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Citation Information
Valencia Tamir Johnson. "An Exploratory Study of Investment Compliance Management in the Enron Collapse" (2013)
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