Building a world-class compliance program : best practices and strategies for success / / Martin T. Biegelman ; with Daniel R. Biegelman

• Autore: Biegelman Martin T
• Pubblicazione: Hoboken, NJ, : John Wiley & Sons, c2008
• Edizione: 1st edition
• Descrizione fisica: 1 online resource (320 p.)
• Disciplina: 657; 657.45; 657/.45; 658.473
• Soggetto topico: Compliance auditing; Auditing, Internal; Corporations - Corrupt practices - Prevention; Business ethics
• Altri autori: BiegelmanDaniel R
• Note generali: Description based upon print version of record.
• Nota di bibliografia: Includes bibliographical references and index.
• Nota di contenuto: Building 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 ; HOW 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 ; CA'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 ; METCALF 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 ; STEP 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 ; Chapter 11: Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award*
• Sommario/riassunto: 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.
• Titolo autorizzato: Building a world-class compliance program
• ISBN: 1-281-23758-2; 9786611237585; 1-118-26819-9; 0-470-27840-4
• Formato: Materiale a stampa
• Livello bibliografico: Monografia
• Lingua di pubblicazione: Inglese
• Record Nr.: 9910877849903321
• Lo trovi qui: Univ. Federico II