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  1. Ethics Events and Conditions of Possibility: How Sell-Side Financial Analysts Became Involved in Corporate Governance.Zhiyuan Tan - 2021 - Business Ethics Quarterly 31 (1):106-137.
    ABSTRACTMobilizing Foucault’s genealogy, this article investigates how an “ethics event”—the involvement by some sell-side financial analysts in the United States and United Kingdom across the past two decades in corporate governance—emerged. It is found that the complex relations formed between specific historical precedents, normative discourses, and fields of power rendered certain issues in financial markets morally problematic and constructed analysts’ corporate governance work as a potential solution. Contributing to research in finance ethics, this article develops a novel perspective to conceptualize (...)
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  • Conflicts of Interest in Financial Intermediation.Guido Palazzo & Lena Rethel - 2008 - Journal of Business Ethics 81 (1):193-207.
    The last years have seen a surge of scandals in financial intermediation. This article argues that the agency structure inherent to most forms of financial intermediation gives rise to conflicts of interest. Though this does not excuse scandalous behavior it points out market imperfections. There are four types of conflicts of interest: personal-individual, personal-organizational, impersonal-individual, and finally, impersonal-organizational conflicts. Analyzing recent scandals we find that all four types of conflicts of interest prevail in financial intermediation.
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  • Ethics in Entrepreneurial Finance: Exploring Problems in Venture Partner Entry and Exit.Yves Fassin & Will Drover - 2017 - Journal of Business Ethics 140 (4):649-672.
    This research advances our understanding of the manifestation of tensions and ethical issues in entrepreneurial finance. In doing so, we offer an overview of ethics in entrepreneurship and finance, delineating the curious paucity of research at their intersection. Using twelve vignettes, we put forward the asymmetries between entrepreneurs and investors and discuss a set of ethical problems that arise among key actors centring on the dynamics of venture partner entry and exit, applying the multiple-lens ethical perspective to analyse these issues. (...)
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  • Pledging Integrity: Oaths as Forms of Business Ethics Management.Boudewijn de Bruin - 2016 - Journal of Business Ethics 136 (1):23-42.
    The global financial crisis has led to a surprising interest in professional oaths in business. Examples are the MBA Oath, the Economist’s Oath and the Dutch Banker’s Oath, which senior executives in the financial services industry in the Netherlands have been obliged to swear since 2010. This paper is among the first to consider oaths from the perspective of business ethics. A framework is presented for analysing oaths in terms of their form, their content and the specific contribution they make (...)
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  • Initial Public Offerings as a Web of Conflicts of Interest: An Empirical Assessment.Dan R. Dalton, S. Trevis Certo & Catherine M. Daily - 2003 - Business Ethics Quarterly 13 (3):289-314.
    Abstract:While a ubiquitous phenomenon, initial public offerings (IPOs) have received no attention in the ethics literature. We provide an overview of a series of potential conflicts of interest that pervade the IPO process. We also report the results of an empirical assessment of IPOs and those elements that may inform a substantive moral hazard faced by key players in the period prior to and just after an IPO.
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  • Initial Public Offerings as a Web of Conflicts of Interest: An Empirical Assessment.Catherine M. Daily - 2003 - Business Ethics Quarterly 13 (3):289-314.
    Abstract:While a ubiquitous phenomenon, initial public offerings (IPOs) have received no attention in the ethics literature. We provide an overview of a series of potential conflicts of interest that pervade the IPO process. We also report the results of an empirical assessment of IPOs and those elements that may inform a substantive moral hazard faced by key players in the period prior to and just after an IPO.
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  • Masquerading in the U. S. Capital Markets: The Dark Side of Maintaining an Institution.Sue Newell Cynthia E. Clark - 2013 - Business and Society Review 118 (1):105-134.
    This article examines the work of professional service firms (PSFs) in their relationships with public corporations; work that is designed to ensure that investors and potential investors have information that will enable them to participate in the capital markets. Using an institutional theory lens, we view these efforts by PSFs as institutional maintenance work and specifically analyze their work related to policing (i.e., rating), enabling (i.e., tutoring), and embedding and routinizing (i.e., collaborating) that helps to support the capital market as (...)
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  • Masquerading in the U. S. Capital Markets: The Dark Side of Maintaining an Institution.Cynthia E. Clark & Sue Newell - 2013 - Business and Society Review 118 (1):105-134.
    This article examines the work of professional service firms (PSFs) in their relationships with public corporations; work that is designed to ensure that investors and potential investors have information that will enable them to participate in the capital markets. Using an institutional theory lens, we view these efforts by PSFs as institutional maintenance work and specifically analyze their work related to policing (i.e., rating), enabling (i.e., tutoring), and embedding and routinizing (i.e., collaborating) that helps to support the capital market as (...)
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  • Institutional Work and Complicit Decoupling across the U.S. Capital Markets.Cynthia E. Clark & Sue Newell - 2013 - Business Ethics Quarterly 23 (1):1-30.
    We focus on the core institution of the capital market and the institu­tional work of professional service firms that provide ratings on corporate issuers, initially in a bid to maintain this institution, which suffered when those involved relied solely on information from the issuers themselves. Through our analysis we identify a new type of decoupling—complicit decoupling. Complicit decoupling evolves over time, beginning with the creation of a new practice, here corporate ratings as a form of policing work, which emerges to (...)
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  • Compound Conflicts of Interest in the US Proxy System.Cynthia E. Clark & Harry J. Van Buren - 2013 - Journal of Business Ethics 116 (2):355-371.
    The current proxy voting system in the United States has become the subject of considerable controversy. Because institutional investment managers have the authority to vote their clients’ proxies, they have a fiduciary obligation to those clients. Frequently, in an attempt to fulfill that obligation, these institutional investors employ proxy advisory services to manage the thousands of votes they must cast. However, many proxy advisory services have conflicts of interest that inhibit their utility to those seeking to discharge their fiduciary duties. (...)
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