Building A World Class Compliance Program Book in PDF, ePub and Kindle version is available to download in english. Read online anytime anywhere directly from your device. Click on the download button below to get a free pdf file of Building A World Class Compliance Program book. This book definitely worth reading, it is an incredibly well-written.
Building a World-Class Compliance Program by Martin T. Biegelman Pdf
Written by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program.
Author : Martin T. Biegelman,Daniel R. Biegelman Publisher : John Wiley & Sons Page : 384 pages File Size : 53,9 Mb Release : 2010-04-07 Category : Business & Economics ISBN : 9780470622445
Foreign Corrupt Practices Act Compliance Guidebook by Martin T. Biegelman,Daniel R. Biegelman Pdf
Foreign Corrupt Practices Act Compliance Guidebook shows readers how the Foreign Corrupt Practices Act (FCPA) has grown to critical importance to any U.S. company that does business in a global environment, as well as foreign companies that supply or have agency agreements with U.S. companies. It provides an overview of the business risks and guidance on spotting potential red flags regarding FCPA violation. Business professionals are provided with practical guidance on managing FCPA requirements as part of an overall compliance program.
Compliance Management by Nitish Singh Ph.D.,Thomas J. Bussen Pdf
This practical guide shows how to build an effective compliance and ethics program that will lower a business's risks and improve productivity. Research increasingly supports the notion that ethical, compliant businesses see increased productivity across a range of measurements. This practical guide tells business professionals, business and law students, and other interested parties exactly how that goal can be achieved. The book covers an extensive range of ethics-compliant laws and regulations impacting businesses today and identifies critical factors for successful compliance programs. Going well beyond works that speak in general terms about compliance-based actions, this unique volume delves into details about specific regulatory issues and the steps that can be taken to mitigate risk. The first half of the book shares general guidelines for creating or improving internal compliance and ethics programs. The second half identifies specific, high-risk regulatory areas; provides an overview of relevant laws; and sets forth best practices specific to the regulations discussed. By providing a simplified understanding of compliance with laws related to issues such as antitrust, international business, wages and labor, Health Insurance Portability and Accountability Act (HIPAA) and health care, the environment and more, the guide offers readers the tools necessary to improve an existing compliance program or create a new program where none has existed before.
Enhancing Board Effectiveness by Franklin N. Ngwu,Onyeka Osuji,Chris Ogbechie,David Williamson Pdf
Enhancing Board Effectiveness seeks to examine the conceptualization and role of the board in a variety of contexts and articulate solutions for improving the effectiveness of the board, especially in developing and emerging markets. Enhancing Board Effectiveness with therefore address the following central questions: To what extent is the concept and role of the board evolving? What rights, powers, responsibilities and other contemporary and historical experiences can enhance the effectiveness of the board, especially in the particular contexts of developing and emerging markets? What socio-economic, political, regulatory and institutional factors/actors influence the effectiveness of the board and how can the policies and practices of such actors exert such influences? In what ways can a reconstructed concept of the board serve as a tool for theoretical, analytical, regulatory and pragmatic assessment of its effectiveness? In examining this issues, Enhancing Board Effectiveness will investigate theoretical, socio-economic, historical, empirical, regulatory, comparative and inter-disciplinary approaches. Academics in the relevant fields of accounting, behavioural psychology/economics, development studies, financial regulation, law and management/organizational studies, political economy and, public administration will find this book of high interest.
Author : Martin T. Biegelman,Joel T. Bartow Publisher : John Wiley & Sons Page : 448 pages File Size : 51,7 Mb Release : 2012-04-10 Category : Business & Economics ISBN : 9781118004586
Executive Roadmap to Fraud Prevention and Internal Control by Martin T. Biegelman,Joel T. Bartow Pdf
How-to, authoritative guidance for creating a best-in-class fraud prevention and compliance program in any organization Now in a Second Edition, this practical book helps corporate executives and managers understand the full ramifications of good corporate governance and compliance. It covers best practices for establishing a unit to protect the financial integrity of a business; theories and models on how and why fraud occurs in an organization; importance of strong internal controls; major compliance and corporate governance initiatives and milestones since 1985; and more. Complete coverage includes implementation guidance for a robust fraud prevention and compliance program, including sample policies, best practice examples, and a 14-point management antifraud program. Covers fraud risk assessment and prevention guidance Looks at global risk issues, including the Foreign Corrupt Practices Act (FCPA) and UK Bribery Act Examines amendments to the Federal Sentencing Guidelines for Organizational Crime Discusses Dodd-Frank Whistleblower Provisions Explores enterprise risk management key program elements Offers coverage of how fraud and compliance failures contributed to the financial crisis Includes enhanced principles for fraud data mining Presents new cases, checklists and real-world examples, expanded international coverage, and the latest technological tools Shows executives and managers what their responsibilities are regarding fraud prevention, internal controls, and compliance Provides an instructor's website, including a test bank Other titles by Biegelman: Building a World-Class Compliance Program and Foreign Corrupt Practices Act Compliance Guidebook Completely revised and updated, Executive Roadmap to Fraud Prevention and Internal Control, Second Edition is every manager's best resource for understanding all the complex issues and responsibilities associated with fraud and compliance. Praise for Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance "Martin Biegelman and Joel Bartow convert their lifelong experiences and unparalleled knowledge into a concise, well-written book. They provide the essential tools to take aspirational goals for fraud prevention and compliance and build them into concrete and effective programs." —From the Foreword by Bradley J. Bondi, Partner, Caldwater, Wickersham & Taft LLP "Executive Roadmap touches all the bases on corporate fraud. The authors – both experienced fraud investigators and federal law enforcement agents – lay out the history and major milestones of corporate fraud, and discuss with precision the key issues facing today’s executives and compliance leaders. The book provides a valuable overview for business leaders looking to develop and implement effective compliance programs and instill a culture of integrity in order to help their organizations defeat the challenges posed by today's sophisticated fraudsters." —Jeffrey Eglash, Senior Counsel, Litigation & Legal Policy, GE "Biegelman and Bartow provide great insight into not just how fraud occurs inside of companies, but why. Preventing fraud requires a solid understanding of both, making this book a must read for any executive who is serious about creating the compliance mechanisms and the corporate culture needed for effective fraud prevention." —Aaron G. Murphy, Partner, Latham & Watkins LLP "Business leaders would be wise to follow the recommendations in this book. Fraud prevention is more than just creating a set of policies. As the subtitle indicates, it is essential to create a culture of compliance. Empty words accomplish nothing. The authors, both experienced fraud examiners, have spent decades investigating fraud, as well as developing strategies to prevent it. This book is an essential tool in creating an anti-fraud environment in any company." —James D. Ratley, CFE, President & CEO, Association of Certified Fraud Examiners "Biegelman and Bartow's Executive Roadmap to Fraud Prevention and Internal Control is an essential guide for all who have an interest in eradicating corporate or institutional fraud. Written by experts in detecting and preventing fraud in its myriad forms, this book is a handy source for those who hope to avoid the predicaments that the authors have seen or in managing the crises that arise when the problems cannot be avoided. The new second edition is an indispensable addition to the libraries of internal compliance and legal officers, and forensic accountants." —Joel M. Cohen, Partner, Gibson Dunn & Crutcher, former New York federal prosecutor and liaison to the French Ministry of Justice and OECD "Biegelman & Bartow's book offers expert guidance to anyone tasked with understanding and tackling fraud in the workplace. Their straightforward approach informs the reader and provides a roadmap and guidance for implementation of an effective fraud mechanism within any organization – small or large. I plan to provide a copy of the book to my Board of Directors and executive members of management." —Lisanne E. S. Cottington, Compliance Officer, Insight Enterprises, Inc. "This next edition is extremely timely. It covers key topics that any management member needs to know in today’s regulatory climate. These authors have used their extensive corporate and government experience to create a practical and easy to understand compliance guide. A superb resource for any executive." —Karen Popp, Partner at Sidley Austin LLP and former federal prosecutor and Associate Counsel to President Clinton "With executives increasingly on the hot seat when corporate compliance issues arise, clear guidance regarding risk areas and best practices is invaluable. Executive Roadmap to Fraud Prevention and Internal Control contains a timely combination of illustrative stories and practice tips regarding hazards in this complex area. It is a good resource for both corporate executives and the many professionals assisting corporations to prevent or detect fraud and build a culture of legal compliance." —Barb Dawson, partner with focus on internal investigations and business litigation, Snell & Wilmer LLP "Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance is a truly phenomenal book. Martin Biegelman and Joel Bartow have accomplished an incredible achievement: they have flawlessly bridged the chasm between the theoretical/academic and practical/tangible. This is a volume that should not be on the bookshelf of every manager interested in compliance and fraud prevention (which should be every manager); it should be dog-eared and open on the desktop of every such manager! Kudos to Messrs. Biegelman and Bartow!" —William J. Kresse, M.S., J.D., CPA, CFF, CFE; Associate Professor, Graham School of Management; Director, Center for the Study of Fraud and Corruption, Saint Xavier University, Chicago "Biegelman and Bartow have again provided an invaluable resource for leaders in the corporate world who have responsibility for fraud, integrity, and compliance. They send a clear message that addressing fraud is a two part process- establishing robust controls and detection measures; and creating a culture of compliance and integrity. This work provides a detailed tour through the world of fraud controls while keeping the importance of culture at the forefront." —Ronald C. Petersen, Executive Director, Global Security, Ally Financial "From the perspective of an ethics and compliance practitioner, Martin Biegelman's and Joel Bartow's new offering is a Thanksgiving feast. Too often, companies and organizations get caught up in the moment, and don't stand back to examine the cultural, organizational and historic reasons that fraud exists. Biegelman and Bartow plow that road, and use their insights to offer invaluable tips in the design of effective anti-fraud programs." —James D. Berg, Vice President, Chief Ethics and Compliance Officer, Apollo Group Inc. "Biegelman and Bartow have indeed produced a functional roadmap for the executive to follow in fraud prevention and internal control. This book is a great asset for those engaged in the seemingly endless struggle to control fraud. A 'must read' for the industry." —Raymond L. Philo, MPA, Executive Director, Economic Crime Institute, Utica College "As if Executive Roadmap to Fraud Prevention and Internal Control wasn't a powerful enough tool for fraud fighters, now Biegelman and Bartow have added fresh insight and advice to the second edition. With compelling updates on costly internal and external fraud and corruption, together with easy-to-read descriptions of latest fraud-fighting technologies, this is a must-read for fraud examiners, auditors, attorneys and others—whether they've read the first edition or not." —Peter Goldmann, President, White-Collar Crime 101 LLC/FraudAware "Fraud borders on the ubiquitous in contemporary corporate culture. This book provides a rich and comprehensive guide to crafting a state of the art fraud deterrence program. While the book is sure to better equip corporate executives and directors in their fight against fraud, I intend to draw heavily upon its content in educating accounting students who represent the CEO's and CFO’s of the future." —Ingrid E. Fisher, PhD, CPA, Associate Professor and Chair of the Department of Accounting and Law, The University at Albany-SUNY "The book's exploration of fraud theories ranging from 'rotten apple' to the 'potato chip' (can't eat just one!), provides useful examination of the psychology of corporate fraud that explains its recurring nature and offers clues to creating a fraud resistant culture." —Zachary W. Carter, Partner and head of the Trial Group, Dorsey & Whitney LLP and former United States Attorney for the Eastern District of New York
Preventing Corporate Corruption by Stefano Manacorda,Francesco Centonze,Gabrio Forti Pdf
This book presents the results of a two-year international research project conducted for the United Nations Office on Drugs and Crime (UNDOC) to investigate and provide solutions for reducing bribery and corruption in corporations and institutions. It starts with an empirical case study on the effectiveness of a set of self-regulation rules adopted by multinational companies in the energy sector. Second, it explores the context and factors leading to corruption internationally (and the relationships between domestic criminal law and self-regulation). Third, it examines guidelines for the adoption of compliance programs developed by international institutions, to serve as models for the future. The principle result of the book is a three-pronged Anti-Bribery Corruption Model (so called ABC Model), endorsed by the United Nations, intended as a corruption prevention tool intended to be adopted by private corporations. This work provides a common, research-based standard for anti-bribery compliance programs, with international applications. This work will be of interest to researchers studying Criminology and Criminal Justice, particularly in the areas of organized crime and corruption, as well as related areas like Business Ethics and Comparative International Law.
Perspectives of Law in Business and Finance by Nicole Grmelová Pdf
These conference proceedings constitute a selection of the best papers submitted to the 14th International Scientific Conference "Law in Business of Selected Member States of the European Union" which was organized by the Department of Business and European Law, Faculty of International Relations, Prague University of Economics and Business, Czech Republic. The conference was held in the University ́s premises on 3 and 4 November 2022 and welcomed speakers and participants from both Europe (Ireland, Germany, Croatia, Poland, Romania, Greece, Slovakia, and the Czech Republic) and overseas (South African Republic, India). The conference was held in a hybrid format, being streamed online for those who could not join the conference venue in person and to reach a wider audience. The participant’s papers were presented in specialized sections which correspond to the subheadings of the present volume: 1. Section: Business and Commercial Law; 2. Section: Insolvency Law; 3. Section: Competition Law; 4. Section: Consumer Protection; 5. Section: European and International Legal Aspects of Doing Business; 6. Section: Banking, Finance, and Insurance Law. The conference has been supported by the Internal Grant Agency Project No. F2/44/2022 “Law in Business of Selected Member States of the European Union (14th annual conference)” of the Prague University of Economics and Business.
Pesticide Law and Compliance Decision Making by Huiqi Yan Pdf
This book investigates pesticide compliance in China in order to provide a more comprehensive understanding of compliance and offers some feasible and adaptable suggestions for enhancing the effectiveness of this compliance. It discusses the weak implementation of Chinese laws and rules and emphasizes the necessity and importance of a compliance perspective in China that focuses on why laws are obeyed or broken. It examines how vegetable farmers’ perceptions of amoral calculation affect their pesticide compliance behavior and analyzes how the legitimacy of law is related to compliance to better explain how all the variables interact to shape compliance. It discusses both qualitative and quantitative methods, and uses a large-N qualitative approach, which allows for systematic analysis and in-depth exploration. This book will help readers to understand compliance in developing China by adopting and developing compliance theories which are broadly developed in the West.
Exploring compliance from an anthropological perspective, this book offers a varied and international selection of chapters covering taxation, corporate governance, medicine, development, carbon offsetting, irregular migration and the building trade. Compliance emerges as more than the opposite of resistance: instead, it appears as a valuable heuristic approach for understanding collective life, as these means by which actors strive to accommodate themselves to others. This perspective transcends conventional distinctions between power and resistance, and offers to open up new avenues of anthropological enquiry.
NL ARMS Netherlands Annual Review of Military Studies 2021 by Robert Beeres,Robert Bertrand,Jeroen Klomp,Job Timmermans,Joop Voetelink Pdf
This is an open access volume of the NL ARMS offers an interdisciplinary view on the domain of Compliance and Integrity in International Military Trade (CIIMT), integrating defence economics, international law, arms export control frameworks and policies, information management, organizational sciences and ethics. Although, in academia, and from an interdisciplinary perspective, CIIMT constitutes a relatively novel research domain, across private and public defence-related sectors, the subject evokes high levels of attention and interest, instigating a need for critical thinking, reflection and creativity to address ensuing multi-faceted issues and problems. The Faculty of Military Sciences at the Netherlands Defence Academy extends an in-house MSc programme on CIIMT, which, by integrating practice-based and scientific-based knowledge, aims to contribute to this need. The MSc programme on CIIMT is concerned with exploring, analysing, understanding, explaining, controlling and improving the military dimension in international military trade. More particularly, CIIMT studies managerial questions regarding strategic trade control of military and dual-use goods and services. CIIMT ties in with the Netherlands Defence Academy's vision on scientific education, embedded in the reflective practitioners' paradigm uniting both management and leadership skills needed to decide and operate in high-tension and high-risk knowledge intensive environments. The Faculty of Military Sciences uses the reflective practitioners' paradigm to refer to critical thinking, reflection and Bildung that characterize its thinking doers, the so-called Thinking Soldiers, either at the academic Bachelor's or Master's level. In view of the complexity of the international trade regarding military and dual-use goods and services, the rapid evolvement of strategic trade control and frameworks, and its importance to procurement processes, defence organizations require innovative thinking doers, who, based on an in-depth understanding, from an interdisciplinary perspective can be expected to find - and take responsibility for - creative solutions to problems. NL ARMS 2021 comprises, amongst others, contributions from students and lecturers partaking in this programme. volume of the NL ARMS offers an interdisciplinary view on the domain of Compliance and Integrity in International Military Trade (CIIMT), integrating defence economics, international law, arms export control frameworks and policies, information management, organizational sciences and ethics. Although, in academia, and from an interdisciplinary perspective, CIIMT constitutes a relatively novel research domain, across private and public defence-related sectors, the subject evokes high levels of attention and interest, instigating a need for critical thinking, reflection and creativity to address ensuing multi-faceted issues and problems. The Faculty of Military Sciences at the Netherlands Defence Academy extends an in-house MSc programme on CIIMT, which, by integrating practice-based and scientific-based knowledge, aims to contribute to this need. The MSc programme on CIIMT is concerned with exploring, analysing, understanding, explaining, controlling and improving the military dimension in international military trade. More particularly, CIIMT studies managerial questions regarding strategic trade control of military and dual-use goods and services. CIIMT ties in with the Netherlands Defence Academy's vision on scientific education, embedded in the reflective practitioners' paradigm uniting both management and leadership skills needed to decide and operate in high-tension and high-risk knowledge intensive environments. The Faculty of Military Sciences uses the reflective practitioners' paradigm to refer to critical thinking, reflection and Bildung that characterize its thinking doers, the so-called Thinking Soldiers, either at the academic Bachelor's or Master's level. In view of the complexity of the international trade regarding military and dual-use goods and services, the rapid evolvement of strategic trade control and frameworks, and its importance to procurement processes, defence organizations require innovative thinking doers, who, based on an in-depth understanding, from an interdisciplinary perspective can be expected to find - and take responsibility for - creative solutions to problems. NL ARMS 2021 comprises, amongst others, contributions from students and lecturers partaking in this programme.
The Changing Function of Compliance by Sharon Ward Pdf
As risks arising within the business environment grow in size and complexity, so too do the regulatory requirements put in place to manage them. The pace of regulatory change is itself a significant business risk, and compliance departments are under increasing pressure to keep up with the change and adapt their organisations accordingly. This new edition of what has become an indispensable guide to regulation compliance brings readers up to date with changing areas of focus and provides guidance for regulated firms and regulators alike. The Changing Function of Compliance considers the relationship between regulation and compliance as well as key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. It explains the purpose and development of regulatory risk management and the existing regulatory environment, and provides a detailed exploration of the compliance function, explaining how the role might be strengthened and how best to approach the role to enable it to be effective. This practical and accessible handbook includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This book is an essential read, whether you are concerned about the growing and changing implications of regulatory risk, the benefit of leveraging additional value from your compliance function or your own compliance role or ways of transforming and sustaining the function to ensure its continued relevance to the business.
The Changing Face of Compliance by Sharon Ward Pdf
In the current business climate the impact of the volume and nature of regulatory change and the regulatory risk arising from this is a significant business risk for regulated firms and regulators alike. As a consequence, management of this risk is increasingly high on the board agenda of regulated firms, with those business functions whose activities support this, such as Compliance, facing increasing levels of challenge in their efforts to be effective. The Changing Face of Compliance addresses core aspects of this challenge, considering the relationship between regulation and compliance and key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. Sharon Ward explains how the role of Compliance might be strengthened and those who work within it further enabled to support the current focus on improving standards in business, offering recommendations for enhancing this role. The text includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This is a thoughtful and timely book, whether you are concerned about the growing and changing implications of regulatory risk; the benefit of leveraging additional value from your Compliance function or your own Compliance role; or ways of transforming and sustaining the function to ensure its continued relevance to the business.
