LEADER 05463nam 2200721Ia 450 001 9910841103903321 005 20170809151335.0 010 $a1-281-23758-2 010 $a9786611237585 010 $a1-118-26819-9 010 $a0-470-27840-4 035 $a(CKB)1000000000412838 035 $a(EBL)333733 035 $a(SSID)ssj0000073879 035 $a(PQKBManifestationID)11125446 035 $a(PQKBTitleCode)TC0000073879 035 $a(PQKBWorkID)10118048 035 $a(PQKB)11658597 035 $a(MiAaPQ)EBC333733 035 $a(OCoLC)773301860 035 $a(CaSebORM)9780470114780 035 $a(EXLCZ)991000000000412838 100 $a20070927d2008 uy 0 101 0 $aeng 135 $aur|n|---||||| 181 $ctxt 182 $cc 183 $acr 200 10$aBuilding a world-class compliance program$b[electronic resource] $ebest practices and strategies for success /$fMartin T. Biegelman ; with Daniel R. Biegelman 205 $a1st edition 210 $aHoboken, NJ $cJohn Wiley & Sons$dc2008 215 $a1 online resource (320 p.) 300 $aDescription based upon print version of record. 311 $a0-470-11478-9 320 $aIncludes bibliographical references and index. 327 $aBuilding a World-Class Compliance Program; Contents; Foreword; AN EVOLVING FUNCTION; A FALSE SENSE OF SECURITY; HIGH STAKES; SUPPORT FOR THIS ENDEAVOR; Preface; Acknowledgments; About the Author; Chapter 1: Why Ethics and Compliance Will Always Matter; ETHICS IS JOB ONE; THE NYPD AND AN ETHICAL CULTURE; WHAT IS COMPLIANCE?; BUILDING THE BUSINESS CASE FOR ETHICS; COMPLIANCE OBSTACLES; KEN LAY ON ETHICAL CONDUCT; THE WARNING SIGNS OF COMPLIANCE FAILURES; NOTES; Chapter 2: Tone at the Top and Throughout; INTEGRITY AT THE TOP; IT'S BETTER TO BE LUCKY THAN GOOD; COMMUNICATING VALUES 327 $aHOW THE CEO CAN MAKE THE DIFFERENCENOTES; Chapter 3: The Growth and Evolution of Compliance; A BRIEF HISTORY OF COMPLIANCE; CRACKING DOWN ON FRAUD; THE MCNULTY MEMORANDUM; EVALUATING THE SEABOARD CRITERIA IN MITIGATING ENFORCEMENT ACTIONS; NOTES; Chapter 4: Caremarkand Sarbanes-Oxley: Enhancing Compliance; THE CAREMARK CASE; CAREMARK: A CRITICAL LOOK BACK; SOX RECONSIDERED; ADDITIONAL COMPLIANCE LAWS AND STANDARDS; NOTES; Chapter 5: CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal; THE "35-DAY MONTH" ACCOUNTING FRAUD; THE DEFFERED PROSECUTION AGREEMENT 327 $aCA'S FIRST CHIEF COMPLIANCE OFFICERUNFETTERED ACCESS; BUILDING THE COMPLIANCE PROGRAM; CA'S REVISED CODE OF CONDUCT; JOINING THE DEFENSE INDUSTRY INITIATIVE; CA'S TONE AT THE TOP; RESPONSE TO VIOLATIONS OF BUSINESS PRACTICES; ENSURING FUTURE COMPLIANCE; BUSINESS PRACTICE OFFICERS; COMPLIANCE AND ETHICS LEADERSHIP COUNCIL PROGRAM ASSESSMENT; PAT GNAZZO'S FIVE BEST PRACTICES FOR A WORLD-CLASS COMPLIANCE PROGRAM; A NEW ERA OF OPPORTUNITY; NOTES; Chapter 6: The International Landscape of Compliance; THE FOREIGN CORRUPT PRACTICES ACT; SCHNITZER STEEL AND THE FCPA 327 $aMETCALF AND EDDY CIVIL FCPA SETTLEMENTTHE CHALLENGE OF IMPLEMENTING CORPORATE COMPLIANCE IN FOREIGN ISSUERS; NOTES; Chapter 7: Compliance Programs and Anti-Money Laundering Efforts; WHAT IS MONEY LAUNDERING?; BANK SECRECY ACT; USA PATRIOT ACT; NON-FINANCIAL INSTITUTIONS; COMPLIANCE PROGRAMS; THE RISE OF FOREIGN STATUTES; NOTES; About the Chapter Authors; Chapter 8: Interview with an Ethics and Compliance Thought Leader; NOTES; Chapter 9: Building a World-Class Compliance Program: The Seven Steps in Practice (Part I); THE SEVEN STEPS TO AN EFFECTIVE COMPLIANCE PROGRAM; SEVEN STEPS OVERVIEW 327 $aSTEP 1: COMPLIANCE STANDARDS AND PROCEDURESSTEP 2: ORGANIZATIONAL LEADERSHIP AND A CULTURE OF COMPLIANCE; STEP 3: REASONABLE EFFORTS TO EXCLUDE PROHIBITED PERSONS; NOTES; Chapter 10: Building a World-Class Compliance Program: The Seven Steps in Practice (Part II); STEP 4: TRAINING AND COMMUNICATION OF STANDARDS AND PROCEDURES; STEP 5: MONITORING, AUDITING, AND EVALUATING PROGRAM EFFECTIVENESS; STEP 6: PERFORMANCE INCENTIVES AND DISCIPLINARY ACTION; STEP 7: RESPONSE TO CRIMINAL CONDUCT AND REMEDIAL ACTION; AVOIDING ACCIDENTS ON THE ROAD TO COMPLIANCE; NOTES 327 $aChapter 11: Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award* 330 $aWritten 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. 606 $aCompliance auditing 606 $aAuditing, Internal 606 $aCorporations$xCorrupt practices$xPrevention 606 $aBusiness ethics 615 0$aCompliance auditing. 615 0$aAuditing, Internal. 615 0$aCorporations$xCorrupt practices$xPrevention. 615 0$aBusiness ethics. 676 $a657 676 $a657.45 676 $a657/.45 676 $a658.473 700 $aBiegelman$b Martin T$01611966 701 $aBiegelman$b Daniel R$01611967 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910841103903321 996 $aBuilding a world-class compliance program$94140822 997 $aUNINA