Book description
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.
Table of contents
- More Praise for Building a World-Class Compliance Program:
- Copyright
- Foreword
- Preface
- Acknowledgments
- About the Author
- 1. Why Ethics and Compliance Will Always Matter
- 2. Tone at the Top and Throughout
- 3. The Growth and Evolution of Compliance
- 4. Caremark and Sarbanes-Oxley: Enhancing Compliance
-
5. CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal
- 5.1. THE "35-DAY MONTH" ACCOUNTING FRAUD
- 5.2. THE DEFFERED PROSECUTION AGREEMENT
- 5.3. CA'S FIRST CHIEF COMPLIANCE OFFICER
- 5.4. UNFETTERED ACCESS
- 5.5. BUILDING THE COMPLIANCE PROGRAM
- 5.6. CA'S REVISED CODE OF CONDUCT
- 5.7. JOINING THE DEFENSE INDUSTRY INITIATIVE
- 5.8. CA'S TONE AT THE TOP
- 5.9. RESPONSE TO VIOLATIONS OF BUSINESS PRACTICES
- 5.10. ENSURING FUTURE COMPLIANCE
- 5.11. BUSINESS PRACTICE OFFICERS
- 5.12. COMPLIANCE AND ETHICS LEADERSHIP COUNCIL PROGRAM ASSESSMENT
- 5.13. PAT GNAZZO'S FIVE BEST PRACTICES FOR A WORLD-CLASS COMPLIANCE PROGRAM
- 5.14. A NEW ERA OF OPPORTUNITY
- 5.15. NOTES
- 6. The International Landscape of Compliance
- 7. Compliance Programs and Anti-Money Laundering Efforts
- 8. Interview with an Ethics and Compliance Thought Leader
-
9. Building a World-Class Compliance Program: The Seven Steps in Practice (Part I)
- 9.1. THE SEVEN STEPS TO AN EFFECTIVE COMPLIANCE PROGRAM
- 9.2. SEVEN STEPS OVERVIEW
- 9.3. STEP 1: COMPLIANCE STANDARDS AND PROCEDURES
-
9.4. STEP 2: ORGANIZATIONAL LEADERSHIP AND A CULTURE OF COMPLIANCE
- 9.4.1. The Infosys Message
- 9.4.2. The Role of Executive Leadership
- 9.4.3. The Role of the Board of Directors
- 9.4.4. The Corporate First Responders
- 9.4.5. Chief Compliance Officer
- 9.4.6. Compliance and Ethics Staff Sample Job Description
- 9.4.7. Organizational Structures
- 9.4.8. Building an Appropriate Compliance Organizational Model
- 9.5. STEP 3: REASONABLE EFFORTS TO EXCLUDE PROHIBITED PERSONS
- 9.6. NOTES
-
10. Building a World-Class Compliance Program: The Seven Steps in Practice (Part II)
- 10.1. STEP 4: TRAINING AND COMMUNICATION OF STANDARDS AND PROCEDURES
- 10.2. STEP 5: MONITORING, AUDITING, AND EVALUATING PROGRAM EFFECTIVENESS
- 10.3. STEP 6: PERFORMANCE INCENTIVES AND DISCIPLINARY ACTION
- 10.4. STEP 7: RESPONSE TO CRIMINAL CONDUCT AND REMEDIAL ACTION
- 10.5. AVOIDING ACCIDENTS ON THE ROAD TO COMPLIANCE
- 10.6. NOTES
- 11. Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award
- 12. Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan
- 13. The Skunk in the Room
- A. Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps
- B. Sample Compliance Program Charter
- C. Resources for Compliance Professionals
Product information
- Title: Building a World-Class Compliance Program: Best Practices and Strategies for Success
- Author(s):
- Release date: March 2008
- Publisher(s): Wiley
- ISBN: 9780470114780
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