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Record W4232521231 · doi:10.1108/15285810310813040

The compliance gap

2003· article· en· W4232521231 on OpenAlex

Why this work is in the frame

A frame that forgets how it found something cannot be audited. These are the routes that admitted this work.

aboutThe title or abstract carries a Canadian signal from the geographic lexicon.
no affNo Canadian affiliation: this work is invisible to an affiliation-only frame.
No Canadian affiliation. An affiliation-only frame, the usual design, would never have seen this work. It is one of the works that make the case for inverting the frame.

Bibliographic record

VenueJournal of Investment Compliance · 2003
Typearticle
Languageen
FieldBusiness, Management and Accounting
TopicRegulation and Compliance Studies
Canadian institutionsnot available
Fundersnot available
KeywordsCompliance (psychology)BusinessQuarter (Canadian coin)AccountingChecklistRisk managementPublic relationsFinancePsychologyPolitical science

Abstract

fetched live from OpenAlex

A recent study has revealed that too many financial institutions continue to fall short of first‐class compliance. They are failing to recognize and close the gap between the historical checklist approach to compliance and whatever is required to assess and mitigate the totality of risks an organization may encounter. These organizations leave themselves extremely vulnerable to reputational damage with their customers, regulators, and other stakeholders. As part of the study entitled Compliance: A gap at the Heart of Risk Management, 160 executives responded to an in‐depth global survey on the subject of compliance. Alarmingly, less than one‐fifth of survey participants considered awareness of compliance‐related risks to be high across all parts of the business and fewer than one‐quarter were very confident in their full compliance with regulatory requirements and internal codes and policies.

Fetched live from OpenAlex and de-inverted. Abstracts are not stored in this database: the inverted indexes are 8.6 GB of the frame’s 9.3 GB of text, and the host has 13 GB free.

Full frame distilled prediction

Teacher imitation

Not calibrated prevalence, not ground truth. Human validation pending. Learned from the 10,348 direct Codex labels and 10,348 direct Gemma labels. Candidate is the union of thresholded teacher heads; consensus is their intersection. These outputs are machine_predicted_unvalidated and are not human labels or direct frontier model labels.

metaresearch head score (Codex)0.001
metaresearch head score (Gemma)0.000
Version: codex-gemma-dda1882f352aValidation status: machine_predicted_unvalidated
Candidate categoriesnone
Consensus categoriesnone
DomainCandidate signal: none · Consensus signal: none
Study designCandidate signal: Not applicable · Consensus signal: none
GenreCandidate signal: Empirical · Consensus signal: none
Teacher disagreement score0.915
Threshold uncertainty score0.465

Codex and Gemma teacher scores by category

CategoryCodexGemma
Metaresearch0.0010.000
Meta-epidemiology (narrow)0.0000.000
Meta-epidemiology (broad)0.0000.000
Bibliometrics0.0000.000
Science and technology studies0.0010.000
Scholarly communication0.0000.001
Open science0.0000.000
Research integrity0.0000.000
Insufficient payload (model declined to judge)0.0000.000

Machine scores (provisional)

The two teacher heads of the student model, read on this work. A score orders the frame for review; it never asserts a category, and the validation status ships verbatim with every row.

Baseline scores from an immature model (maturity gate not passed, 7 training rounds). Scores rank; they never assert a category.

Opus teacher head0.109
GPT teacher head0.289
Teacher spread0.179 · how far apart the two teachers sit on this one work
Validation statusscore_only:v0-immature-baseline · verbatim from the scoring run: score_only means the number may rank works, and no category label ships from it