Download or read book Strategies for Compliance written by Alan Brener and published by Routledge. This book was released on 2020-12-20 with total page 299 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.
Download or read book Sarbanes Oxley IT Compliance Using Open Source Tools written by Christian B Lahti and published by Elsevier. This book was released on 2007-12-19 with total page 466 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Sarbanes-Oxley Act (officially titled the Public Company Accounting Reform and Investor Protection Act of 2002), signed into law on 30 July 2002 by President Bush, is considered the most significant change to federal securities laws in the United States since the New Deal. It came in the wake of a series of corporate financial scandals, including those affecting Enron, Arthur Andersen, and WorldCom. The law is named after Senator Paul Sarbanes and Representative Michael G. Oxley. It was approved by the House by a vote of 423-3 and by the Senate 99-0. This book illustrates the many Open Source cost-saving opportunities that public companies can explore in their IT enterprise to meet mandatory compliance requirements of the Sarbanes-Oxley act. This book will also demonstrate by example and technical reference both the infrastructure components for Open Source that can be made compliant, and the Open Source tools that can aid in the journey of compliance. Although many books and reference material have been authored on the financial and business side of Sox compliance, very little material is available that directly address the information technology considerations, even less so on how Open Source fits into that discussion. The format of the book will begin each chapter with the IT business and executive considerations of Open Source and SOX compliance. The remaining chapter verbiage will include specific examinations of Open Source applications and tools which relate to the given subject matter. * Only book that shows companies how to use Open Source tools to achieve SOX compliance, which dramatically lowers the cost of using proprietary, commercial applications. * Only SOX compliance book specifically detailing steps to achieve SOX compliance for IT Professionals.
Download or read book Compliance Tools written by Marie–Anne Frison–Roche and published by Bruylant. This book was released on 2021-06-14 with total page 327 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance Law is defined by the Monumental Goals it pursues. Willingly or by force, companies must structure themselves and act to reach them. In a major and global transformation, they are thereby becoming transparent, making Compliance Tools visible. Emphasizing the unity of these Tools promotes a unified legal regime, while adapting them country by country, sector by sector, company by company. Understanding these Compliance Tools to anticipate the assessment made by Regulators, Supervisors and Courts, and the provisions of future texts, while companies are invited to invent new ones, is hopefully more appropriate. General perspectives through which risk maps, compliance programs, deals and judicial agreements, ad hoc training, algorithms, audits, sanctions, controls, whistleblowing, collective actions, etc. are scrutinized. Co-published with the Journal of Regulation & Compliance.
Download or read book Environmental Compliance Tools for Small Business written by United States. Congress. Senate. Committee on Small Business and published by . This book was released on 1998 with total page 234 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Tools of Effective Compliance written by Thomas Schneider and published by Springer Nature. This book was released on 2023-01-09 with total page 242 pages. Available in PDF, EPUB and Kindle. Book excerpt: Unlike many standard works on compliance, this book focuses not on the goals, but on the means that enable effective compliance. From the internal perspective of the compliance officer, everyday problems are addressed and solved with the help of concrete, tried-and-tested measures. Based on the tension between profit generation and compliance, ethical principles as well as the appearance of compliance, its handling of contacts and its procedure in the event of violations are also discussed. Psychological and sociological insights broaden the perspective, put people at the center and offer new starting points for the design of successful compliance.
Download or read book National Patient Safety Goals Calculator 2006 Tools to Assess Compliance The written by Glenn D. Krasker and published by HC Pro, Inc.. This book was released on with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book GFI Network Security and PCI Compliance Power Tools written by Brien Posey and published by Elsevier. This book was released on 2011-04-18 with total page 485 pages. Available in PDF, EPUB and Kindle. Book excerpt: Today all companies, U.S. federal agencies, and non-profit organizations have valuable data on their servers that needs to be secured. One of the challenges for IT experts is learning how to use new products in a time-efficient manner, so that new implementations can go quickly and smoothly. Learning how to set up sophisticated products is time-consuming, and can be confusing. GFI's LANguard Network Security Scanner reports vulnerabilities so that they can be mitigated before unauthorized intruders can wreck havoc on your network. To take advantage of the best things that GFI's LANguard Network Security Scanner has to offer, you'll want to configure it on your network so that it captures key events and alerts you to potential vulnerabilities before they are exploited. In this book Brien Posey has pinpointed the most important concepts with examples and screenshots so that systems administrators and security engineers can understand how to get the GFI security tools working quickly and effectively. His straightforward, no nonsense writing style is devoid of difficult to understand technical jargon. His descriptive examples explain how GFI's security tools enhance the security controls that are already built into your server's operating system. * Secure Your Network Master the various components that make up the management console and prepare to use it for most tasks. * Analyze Scan Results View detected vulnerabilities, save and print results, query open ports, and filter your results. * Install and Use the ReportPack Learn how to build custom reports and schedule reports. See how filters allow you to control the information that is processed when a reports is run. * Perform a Hardware Inventory and Compile a Software Inventory Use GFI to do your inventories and perform audits. See how to blacklist and whitelist applications to make your reports more meaningful. * Manage Patches Effectively See how to deploy a specific patch, perform a scan comparison, uninstall a patch, and deploy custom software. * Use GFI EndPointSecurity to Lock Down Hardware Be prepared for users trying to install unauthorized software, copy sensitive data onto removable media, or perform other actions to try and circumvent your network's security. * Create Protection Policies Control the level of device access allowed on a system and create separate protection policies; one for servers, one for workstations, and one for laptops. Learn how to deploy agents. * Regulate Specific Devices Master some of the advanced features of GFI: locking device categories, blacklisting and whitelisting devices, and using file type restrictions. * Monitor Device Usage Keep tabs on your network by setting logging options, setting alerting options, and generating end point security reports. Use GFI EndPointSecurity to Lock Down Hardware Create Protection Policies to Control the Level of Device Access Master Advanced Features of GFI: Locking Device Categories, Blacklisting and Whitelisting Devices, Using File Type Restrictions and More
Download or read book Sarbanes Oxley Compliance Using COBIT and Open Source Tools written by Christian B Lahti and published by Elsevier. This book was released on 2005-10-07 with total page 360 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book illustrates the many Open Source cost savings opportunities available to companies seeking Sarbanes-Oxley compliance. It also provides examples of the Open Source infrastructure components that can and should be made compliant. In addition, the book clearly documents which Open Source tools you should consider using in the journey towards compliance. Although many books and reference material have been authored on the financial and business side of Sox compliance, very little material is available that directly address the information technology considerations, even less so on how Open Source fits into that discussion. Each chapter begins with an analysis of the business and technical ramifications of Sarbanes-Oxley as regards to topics covered before moving into the detailed instructions on the use of the various Open Source applications and tools relating to the compliance objectives. Shows companies how to use Open Source tools to achieve SOX compliance, which dramatically lowers the cost of using proprietary, commercial applications Only SOX compliance book specifically detailing steps to achieve SOX compliance for IT Professionals
Download or read book Ready Set Comply written by Brian W. Kozik and published by HC Pro, Inc.. This book was released on 2005 with total page 204 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Complete Healthcare Compliance Manual 2021 written by and published by . This book was released on 2021-04 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Interior Environment and Related Agencies Appropriations for 2012 Justification of the budget estimates Bureau of Ocean Energy Management Regulation and Enforcement Office of Surface Mining Reclamation and Enforcement BIA DOI Office of Insular Affairs written by United States. Congress. House. Committee on Appropriations. Subcommittee on Interior, Environment, and Related Agencies and published by . This book was released on 2011 with total page 1748 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Plant Sanitation for Food Processing and Food Service written by Y. H. Hui and published by CRC Press. This book was released on 2014-12-16 with total page 1386 pages. Available in PDF, EPUB and Kindle. Book excerpt: Comprehensive and accessible, this book presents fundamental principles and applications that are essential for food production and food service safety. It provides basic, practical information on the daily operations in a food processing plant and reviews some of the industry's most recent developments. Formerly titled Food Plant Sanitation, this
Download or read book Investment Adviser s Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Download or read book Regulatory Compliance Fundamentals written by M.L. Humphrey and published by M.L. Humphrey. This book was released on 2020-01-02 with total page 68 pages. Available in PDF, EPUB and Kindle. Book excerpt: We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role. In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to understand manner. If your role is in regulatory compliance, no matter how long you've been at this, this book is for you. keywords: regulatory compliance, financial services regulation, AML, OFAC, broker-dealer, how to comply with regulatory requirements, compliance program, reputational risk, business ethics
Download or read book Departments of Veterans Affairs and Housing and Urban Development and Independent Agencies Appropriations for 2000 Environmental Protection Agency written by United States. Congress. House. Committee on Appropriations. Subcommittee on VA, HUD, and Independent Agencies and published by . This book was released on 1999 with total page 1172 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Pharmaceutical Compliance and Enforcement Answer Book written by Howard L. Dorfman and published by . This book was released on 2021 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Enterprise Compliance Risk Management written by Saloni Ramakrishna and published by John Wiley & Sons. This book was released on 2015-09-04 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: The tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management. Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management.
