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Puma Dissertation Library UC Irvine UC Irvine Electronic Theses and Dissertations Title LOCAL IDEOLOGIES AND PUNISHMENT FOR WHITE-COLLAR CRIME: A COMPARISON BETWEEN THE U.S. AND CHINA Permalink https://escholarship.org/uc/item/6x04x0x7 Author Shen, Paoyang Publication Date 2017 License https://creativecommons.org/licenses/by/4.0/ 4.0 Peer reviewed|Thesis/dissertation eScholarship.org Powered by the California Digital Library University of California UNIVERSITY OF CALIFORNIA IRVINE LOCAL IDEOLOGIES AND PUNISHMENT FOR WHITE-COLLAR CRIME: A COMPARISON BETWEEN THE U.S. AND CHINA DISSERTATION Submitted in partial satisfaction of the requirements for the degree of DOCTOR OF PHILOSOPHY in Criminology, Law and Society by PaoYang Shen Dissertation Committee: Prof. Henry N. Pontell (co-chair) Prof. Elliott Currie (co-chair) Prof. Keramet Reiter Prof. Benjamin van Rooij 2017 © 2017 PaoYang Shen ii DEDICATION To my family in recognition of their worth iii TABLE OF CONTENTS LIST OF FIGURES ..................................................................................................................... ix ACKNOWLEDGMENTS ............................................................................................................. x CURRICULUM VITAE ............................................................................................................... xi ABSTRACT OF THE DISSERTATION ........................................................................................ xvii Chapter 1: IntroDuction .......................................................................................................... 1 2003 Penal Turn in the U.S. .............................................................................................................. 3 2002 Penal Turn in China .................................................................................................................. 6 Law-on-the-books ................................................................................................................................ 6 Law-in-Action ....................................................................................................................................... 8 Rationale for Current StuDy ............................................................................................................ 10 Dissertation Research ........................................................................................................................ 10 Previous Research ............................................................................................................................. 12 Research Question ............................................................................................................................. 14 Chapter 2: Literature Review ................................................................................................. 17 Neoliberalism as an Often-Cited IDeology ....................................................................................... 17 Deregulation ...................................................................................................................................... 17 Street Crimes as Distractions ............................................................................................................. 18 Failure to Explain the Fluctuating Back End ....................................................................................... 20 Neoliberal Impact in China ................................................................................................................ 23 Neo-institutional Analyses ............................................................................................................. 25 The U.S. Situation .............................................................................................................................. 26 The Chinese Situation ........................................................................................................................ 27 Penal FielD: Applying an IDeological Approach to Current Literature .............................................. 29 Neoliberalism is One of Many Ideologies .......................................................................................... 29 Penal Field ......................................................................................................................................... 32 Adding an Ideological Layer ............................................................................................................... 33 Ideologies anD Players ImplieD ....................................................................................................... 34 Ideologies and Players ....................................................................................................................... 34 Local Ideologies in the U.S. ................................................................................................................ 35 Players in the U.S. .............................................................................................................................. 37 Ideologies and Players in China ......................................................................................................... 40 Chapter 3: Research MethoD ................................................................................................. 42 Data Collection ............................................................................................................................... 43 FCPA and Securities Fraud ................................................................................................................. 43 Archival Documents and Sources ...................................................................................................... 43 Cases Selected ................................................................................................................................... 45 Limitations ......................................................................................................................................... 47 Data Analysis ................................................................................................................................. 48 Chapter 4: The American MeDia’s Framing of FCPA ............................................................... 50 iv IntroDuction ................................................................................................................................... 50 First Era: Before Enron ................................................................................................................... 51 Overview ............................................................................................................................................ 51 Crime Description .............................................................................................................................. 51 Criticism of Self-regulation ................................................................................................................ 53 Punishment ........................................................................................................................................ 54 Solution: Enhanced Supervision and Reference of Fighting Crime .................................................... 56 Ideologies: Neoliberalism and Wilsonians ......................................................................................... 58 SeconD Era: After Enron ................................................................................................................. 59 From Bribe to Fraud ........................................................................................................................... 59 Crime Description: Minimization of Corporate Liability .................................................................... 61 It is Their Fault. ............................................................................................................................................. 63 From Punishment to Investigation .................................................................................................... 64 Ideologies: Offshore Justice and Privatization of Justice ................................................................... 65 Offshore Justice Highlighting the Wrong Offender. ..................................................................................... 65 Privatization of Justice. ................................................................................................................................. 68 Global Business Ethics and Rule of Law: How the Law is Marginalized ............................................. 72 Conclusion: Enhanced Neoliberalism ................................................................................................ 74 Chapter 5: The American MeDia’s Framing of FrauD ............................................................... 77 IntroDuction ................................................................................................................................... 77 First Era: Before Enron ................................................................................................................... 78 Background and Case Selection ......................................................................................................... 78 Two Extremes: Criminalization of Consumer Fraud and Decriminalization of Corporate Fraud ......
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