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Relationship Among Ethical Mechanism, Ethical Climate and Ethical Behavior - Wealth Management Specialists in Financial Business

by Tsai, Hui-chen

Abstract (Summary)
Abstract Ethical mechanism is generated by taking ethical perception into business organization policy; ethical climate is developed by the application of ethical mechanism in business organization operation; and ethical behavior is created by ethical climate within an organization. Therefore, ethical mechanism, ethical climate and ethical behavior are closely related, and profoundly affect the operation and development of a business organization. This thesis is to study the relationship among ethical mechanism, ethical climate and ethical behavior within organization levels and cross-levels. The wealth management specialists working at 32 banks and 4 stock trading companies are the main object of this study, and the analysis demonstrated in this thesis is based on 36 questionnaires collected from managers and 298 questionnaires from practitioners. On organizational level, the study focuses on how ethics mechanism influences the formation of ethical climate. On cross-level, the effect of ethical climate on staff¡¦s ethical behavior is thoroughly studied. 1. In general, financial business adopts seven ethical mechanisms, which are code of ethics, rewards and punishments, promotion, ethics committee, audit system, employee selection and ethics training. 2. There are four types of ethical climate existent in financial business, which are compliance of regulations, employee caring, independent thinking, and personal interest. 3. There are three structures of ethical behavior, which are honesty, integrity, and obedience. 4. The Effect of Ethical Climate on Ethical Mechanism l The implementation of ethical mechanism such as code of ethics, ethics committee and audit are greatly beneficial to the formation of ethical climate of employee¡¦s compliance of regulations. l The implementation of audit for ethical mechanism is helpful for the formation of ethical climate of compliance of regulations and independent thinking. l Employee selection and ethics training rarely affect the formation of ethical climate of compliance of regulations, employee caring and independent thinking. l The ethical climate of personal interest is suppressed by the implementation of open and fair promotion. l Of all ethical mechanisms, promotion is the only one that affects the ethical climate of personal interest. 5. The Effect of Employee¡¦s Ethical Behavior on Ethical Climate l The ethical climate of compliance of regulations can upgrade employee¡¦s ethical behavior of honesty, integrity, and obedience. l The ethical climate of employee caring is helpful for employee¡¦s ethical behavior of integrity, and obedience. l The ethical climate of independent thinking directly affects the ethical behavior of obedience. l The ethical climate of personal interest is irrelevant to the employee¡¦s ethical behavior. l In all, the more emphasis laid on ethical climate, the more ethical behavior of obedience. Key word: ethical mechanism, ethical climate, ethical behavior
Bibliographical Information:

Advisor:Liang-Chih Huang; Jin Feng Uen; Shyh-jer Chen

School:National Sun Yat-Sen University

School Location:China - Taiwan

Source Type:Master's Thesis

Keywords:ethical mechanism climate behavior

ISBN:

Date of Publication:09/04/2006

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