Download or read book Compliance Management written by Nitish Singh Ph.D. and published by Bloomsbury Publishing USA. This book was released on 2015-03-10 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book Complete Guide to Security and Privacy Metrics written by Debra S. Herrmann and published by CRC Press. This book was released on 2007-01-22 with total page 848 pages. Available in PDF, EPUB and Kindle. Book excerpt: This bookdefines more than 900 metrics measuring compliance with current legislation, resiliency of security controls, and return on investment. It explains what needs to be measured, why and how to measure it, and how to tie security and privacy metrics to business goals and objectives. The metrics are scaled by information sensitivity, asset criticality, and risk; aligned to correspond with different lateral and hierarchical functions; designed with flexible measurement boundaries; and can be implemented individually or in combination. The text includes numerous examples and sample reports and stresses a complete assessment by evaluating physical, personnel, IT, and operational security controls.

Download or read book The Law of Governance Risk Management and Compliance written by Geoffrey P. Miller and published by Aspen Publishers. This book was released on 2017 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The second edition of The Law of Governance, Risk Management, and Compliance follows the first edition, as the first casebook focused on the law of governance, risk management, and compliance. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, brings real world experience to the book as a member of the board of directors and audit and risk committees of a significant banking institution. The book addresses issues of fundamental importance for any regulated organization (the $13 billion settlement between JPMorgan Chase and its regulators is only one of many examples). This book can be a cornerstone for courses on compliance, corporate governance, or on the role of attorneys in managing risk in organizational clients.

Download or read book Corporate Compliance Answer Book written by Christopher A. Myers and published by . This book was released on 2018-11 with total page 2384 pages. Available in PDF, EPUB and Kindle. Book excerpt: Representing the combined work of more than forty leading compliance attorneys, Corporate Compliance Answer Book helps you develop, implement, and enforce compliance programs that detect and prevent wrongdoing. You'll learn how to: Use risk assessment to pinpoint and reduce your company's areas of legal exposureApply gap analysis to detect and eliminate flaws in your compliance programConduct internal investigations that prevent legal problems from becoming major crisesDevelop records management programs that prepare you for the e-discovery involved in investigations and litigationSatisfy labor and employment mandates, environmental rules, lobbying and campaign finance laws, export control regulations, and FCPA anti-bribery standardsMake voluntary disclosures and cooperate with government agencies in ways that mitigate the legal, financial and reputational damages caused by violationsFeaturing dozens of real-world case studies, charts, tables, compliance checklists, and best practice tips, Corporate Compliance Answer Book pays for itself over and over again by helping you avoid major legal and financial burdens.

Download or read book Bank Regulation Risk Management and Compliance written by Alexander Dill and published by Taylor & Francis. This book was released on 2019-10-01 with total page 345 pages. Available in PDF, EPUB and Kindle. Book excerpt: Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, macroprudential, financial consumer protection, and AML/CFT regulation – and their associated risk management and compliance systems. The book’s focus is the US, but its prolific use of standards published by the Basel Committee on Banking Supervision and frequent comparisons with UK and EU versions of US regulation offer a broad perspective on global bank regulation and expectations for internal governance. The book establishes a conceptual framework that helps readers to understand bank regulators’ expectations for the risk management and compliance functions. Informed by the author’s experience at a major credit rating agency in helping to design and implement a ratings compliance system, it explains how the banking business model, through credit extension and credit intermediation, creates the principal risks that regulation is designed to mitigate: credit, interest rate, market, and operational risk, and, more broadly, systemic risk. The book covers, in a single volume, the four areas of bank regulation and supervision and the associated regulatory expectations and firms’ governance systems. Readers desiring to study the subject in a unified manner have needed to separately consult specialized treatments of their areas of interest, resulting in a fragmented grasp of the subject matter. Banking regulation has a cohesive unity due in large part to national authorities’ agreement to follow global standards and to the homogenizing effects of the integrated global financial markets. The book is designed for legal, risk, and compliance banking professionals; students in law, business, and other finance-related graduate programs; and finance professionals generally who want a reference book on bank regulation, risk management, and compliance. It can serve both as a primer for entry-level finance professionals and as a reference guide for seasoned risk and compliance officials, senior management, and regulators and other policymakers. Although the book’s focus is bank regulation, its coverage of corporate governance, risk management, compliance, and management of conflicts of interest in financial institutions has broad application in other financial services sectors. Chapter 6 of this book is freely available as a downloadable Open Access PDF at http://www.taylorfrancis.com under a Creative Commons Attribution-Non Commercial-No Derivatives (CC-BY-NC-ND) 4.0 license.

Download or read book Building a World Class Compliance Program written by Martin T. Biegelman and published by John Wiley & Sons. This book was released on 2008-06-20 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book Federal Contract Compliance Manual written by United States. Office of Federal Contract Compliance Programs and published by . This book was released on 1990 with total page 1110 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Complete Guide to Human Resources and the Law 2020 Edition written by Shilling and published by Wolters Kluwer. This book was released on 2019-08-23 with total page 1878 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Complete Guide to Human Resources and the Law will help you navigate complex and potentially costly Human Resources issues. You'll know what to do (and what not to do) to avoid costly mistakes or oversights, confront HR problems - legally and effectively - and understand the rules. The Complete Guide to Human Resources and the Law offers fast, dependable, plain English legal guidance for HR-related situations from ADA accommodation, diversity training, and privacy issues to hiring and termination, employee benefit plans, compensation, and recordkeeping. It brings you the most up-to-date information as well as practical tips and checklists in a well-organized, easy-to-use resource. Previous Edition: Complete Guide to Human Resources and the Law, 2018 Edition ISBN 9781454899945

Download or read book Compliance Management for Public Private or Non Profit Organizations written by Michael G. Silverman and published by McGraw Hill Professional. This book was released on 2008-04-13 with total page 338 pages. Available in PDF, EPUB and Kindle. Book excerpt: In today’s business climate, accountability, transparency, and a high regard for laws, regulations, and ethical conduct is as much a part of how an organization manages its affairs as its primary mission and operations. Compliance Management for Public, Private, or Nonprofit Organizations is a complete, hands-on guide to implementing strategies and techniques for developing, managing, and improving the compliance function of any organization. Author Michael G. Silverman is a corporate expert in strategic planning, program management, compliance, risk assessment, and policy development. In Compliance Management for Public, Private, or Nonprofit Organizations, he presents a comprehensive treatment of the subject by examining the traditional compliance issues associated with laws and regulations, as well as matters surrounding ethical behavior, organizational structure, technology, administration, and risk management. From establishing compliance goals and managing education and training programs to operating a whistle-blowing program and addressing staffing and budgeting requirements, this practical resource covers everything compliance officers and risk and organizational managers need to know, including: Where and how to establish a compliance program within an organization The critical skills and expertise for maintaining an effective compliance program Pros and cons of making a compliance program a part-time function of an organization How to deliver bad news to senior management—and survive Compliance Management for Public, Private, or Nonprofit Organizations includes a wealth of examples that illustrate the real-world applications of critical strategies and techniques for using the board of directors and senior management to promote compliance, reduce employee and management barriers to compliance, conduct in-depth risk assessment and compliance audits, and more.

Download or read book The Complete Compliance Handbook written by Thomas Fox and published by . This book was released on 2018-05-05 with total page 554 pages. Available in PDF, EPUB and Kindle. Book excerpt: Thomas Fox, the Compliance Evangelist, is one of the leading writers, thinkers and commentators on the nuts and bolts of compliance. His always practical advice is now available in one volume, The Complete Compliance Handbook. This book incorporates the most recent pronouncements and guidance from the Department of Justice, including 2017's Evaluation of Corporate Compliance Programs and FCPA Corporate Enforcement Policy, to provide the most up-to-date advice on what constitutes a best practices compliance program. In this single volume compendium, Fox brings together the tops ideas, topics and techniques you can incorporate your compliance program, literally in 31-days to more fully operationalize your compliance regime. If you want one volume to guide you in operationalizing compliance, this is it. The book is designed to provide you with a step-by-step guide to the design, creation, implementation of or enhancement to a compliance program. It begins with 31-days to a more effective compliance program. Each entry presents one thing you can accomplish, at little to no cost, to improve any level of compliance program. There are three key-takeaways for each entry. The final chapter goes through the same process for you to operationalize your compliance program. In between these bookends, The Complete Compliance Handbook features chapters on: -Operationalizing Compliance Through Human Resources -The Role of the Board of Directors and Compliance -360-Degrees of Communication in Compliance -Better Third-Party Risk Management -Reporting and Investigations -Internal Controls -Innovation in Compliance -Written Standards -More Effective Compliance for Business Ventures -Continuous Improvement The author, Thomas Fox, has written 15 books on compliance, leadership and business ethics. He founded the Compliance Podcast Network and has one of the largest social media presences in compliance. He has worked in the compliance arena for over 10 years and draws upon his many years of experience in the profession to create this single volume which will become the standard 'nuts and bolts' text on compliance. Fox's writing style is suited for any skill level of compliance practitioner or maturity of corporate compliance program.

Download or read book Anti corruption Compliance written by Gemma Aiolfi and published by Edward Elgar Publishing. This book was released on 2020 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This indispensible book offers step-by-step guidance to small and mid-sized companies and non-profit organizations in managing corruption risks in overseas markets. It covers how and why to build a culture of integrity, develop a risk-based anti-corruption compliance programme, and engage with other industry players in collective action against shared corruption challenges. The focus on culture, compliance and collective action helps resource-stretched companies to build a strong foundation for a healthy and flourishing organization, as well as contribute towards raising standards of integrity across their industry. Key features include: Guidance for creating and contributing to collective action Quick definitions, tips and practical tools such as checklists A hands-on approach with an emphasis on culture and leadership Case studies and real-life examples of both corruption risks and the importance of a strong compliance culture. Anti-Corruption Compliance will be an invaluable resource for senior managers of small and mid-sized organizations in minimizing exposure to corruption risks in international markets. It will also prove useful to corporate lawyers and others involved with compliance functions in larger companies, as well as to academics and students of corporate law with an interest in anti-corruption and compliance.

Download or read book Executing Data Quality Projects written by Danette McGilvray and published by Academic Press. This book was released on 2021-05-27 with total page 378 pages. Available in PDF, EPUB and Kindle. Book excerpt: Executing Data Quality Projects, Second Edition presents a structured yet flexible approach for creating, improving, sustaining and managing the quality of data and information within any organization. Studies show that data quality problems are costing businesses billions of dollars each year, with poor data linked to waste and inefficiency, damaged credibility among customers and suppliers, and an organizational inability to make sound decisions. Help is here! This book describes a proven Ten Step approach that combines a conceptual framework for understanding information quality with techniques, tools, and instructions for practically putting the approach to work – with the end result of high-quality trusted data and information, so critical to today's data-dependent organizations. The Ten Steps approach applies to all types of data and all types of organizations – for-profit in any industry, non-profit, government, education, healthcare, science, research, and medicine. This book includes numerous templates, detailed examples, and practical advice for executing every step. At the same time, readers are advised on how to select relevant steps and apply them in different ways to best address the many situations they will face. The layout allows for quick reference with an easy-to-use format highlighting key concepts and definitions, important checkpoints, communication activities, best practices, and warnings. The experience of actual clients and users of the Ten Steps provide real examples of outputs for the steps plus highlighted, sidebar case studies called Ten Steps in Action. This book uses projects as the vehicle for data quality work and the word broadly to include: 1) focused data quality improvement projects, such as improving data used in supply chain management, 2) data quality activities in other projects such as building new applications and migrating data from legacy systems, integrating data because of mergers and acquisitions, or untangling data due to organizational breakups, and 3) ad hoc use of data quality steps, techniques, or activities in the course of daily work. The Ten Steps approach can also be used to enrich an organization's standard SDLC (whether sequential or Agile) and it complements general improvement methodologies such as six sigma or lean. No two data quality projects are the same but the flexible nature of the Ten Steps means the methodology can be applied to all. The new Second Edition highlights topics such as artificial intelligence and machine learning, Internet of Things, security and privacy, analytics, legal and regulatory requirements, data science, big data, data lakes, and cloud computing, among others, to show their dependence on data and information and why data quality is more relevant and critical now than ever before. - Includes concrete instructions, numerous templates, and practical advice for executing every step of The Ten Steps approach - Contains real examples from around the world, gleaned from the author's consulting practice and from those who implemented based on her training courses and the earlier edition of the book - Allows for quick reference with an easy-to-use format highlighting key concepts and definitions, important checkpoints, communication activities, and best practices - A companion Web site includes links to numerous data quality resources, including many of the templates featured in the text, quick summaries of key ideas from the Ten Steps methodology, and other tools and information that are available online

Download or read book The Complete Guide to OSHA Compliance written by Joel M. Cohen and published by CRC Press. This book was released on 2020-11-25 with total page 408 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Complete Guide to OSHA Compliance is an easy-to-understand, one-stop resource designed to help safety professionals, industrial hygienists, and human resources personnel ensure compliance with existing and upcoming OSHA regulations. This essential book explains employer and employee rights and responsibilities, and it provides everything you need to know about employer standards and standards for specific operations. The Complete Guide to OSHA Compliance describes the process of injury/illness recordkeeping and the reporting system required by OSHA. It also explains how to conduct a self-audit to determine whether a company is in full compliance. Furthermore, it informs companies of their rights in an inspection and explains how to handle citations and appeals, should they arise.

Download or read book Corporate Compliance written by Petter Gottschalk and published by Springer Nature. This book was released on 2022-10-31 with total page 378 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance has long been identified by scholars of white-collar crime as a key strategic control device in the regulation of corporations and complex organisations. Nevertheless, this essential process has been largely ignored within criminology as a specific subject for close scrutiny – Corporate Compliance: Crime, Convenience and Control seeks to address this anomaly. This initiating book applies the theory of convenience to provide criminological insight into the enduring self-regulatory phenomenon of corporate compliance. Convenience theory suggests that compliance is challenged when the corporation has a strong financial motive for illegitimate profits, ample organisational opportunities to commit and conceal wrongdoing, and executive willingness for deviant behaviour. Focusing on white-collar deviance and crime within corporations, the book argues that lack of compliance is recurrently a matter of deviant behaviour by senior executives within organisations who abuse their privileged positions to commission, commit and conceal financial crime.

Download or read book Data Governance written by Dimitrios Sargiotis and published by Springer Nature. This book was released on with total page 553 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SOX Compliance with SAP Treasury and Risk Management written by Arjun Krishnan and published by SAP PRESS. This book was released on 2009 with total page 438 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides Finance professionals, Treasurers, and CFOs with a roadmap for making their SAP processes compliant with SOX requirements. Combining comprehensive coverage of the major applications (Electronic Banking, Positive Pay, Cash & Liquidity Management, In-House Cash) with discussion of relevant control structures, processes, and compliance matrices for each, this book lends guidance to those tasked with integrating SOX compliance into established or proposed SAP implementations. The authors focus first on processes (e.g., intercompany processing), then expand to specific applications (e.g., In-House Cash), followed by a summary of the associated controls (e.g., domestic vs. foreign processing). Functional-level finance professionals involved in the daily management of a Treasury implementation, particularly, will find many proven processes with which to build or enhance effective compliance strategies.

Download or read book The Complete Guide to Portfolio Performance written by Georges Hubner and published by John Wiley & Sons. This book was released on 2024-06-04 with total page 1095 pages. Available in PDF, EPUB and Kindle. Book excerpt: An intuitive and effective desk reference for performance measurement in asset and wealth management In The Complete Guide to Portfolio Performance: Appraise, Analyse, Act, a team of finance professors with extended practical experience deliver a hands-on desk reference for asset and wealth managers suitable for everyday use. Intuitively organized and full of concrete examples of the real-world implementation of the concepts discussed within, the book provides a comprehensive coverage of all important portfolio performance matters across 18 chapters of actionable and clearly described content. The authors have provided relevant cross-referencing where appropriate, “Key Takeaways and Equations” sections at the end of each chapter, and pointers to additional resources for anyone interested in pursuing further research. You'll also find: Discussions of more than a hundred classical and modern performance measures organized logically and with a focus on their applications Strategies for selecting appropriate performance measures based on your situation as a manager or investor Explanations of analytical techniques (statistical approaches, attribution, fund ratings...) enabling a comprehensive use of performance-related information Applications of portfolio performance criteria in concrete investment decision-making processes Highly actionable and logically organized material that's easy to find at a moment's notice A full set of pedagogical powerpoint slides and excel worksheets with all data and formulas Perfect for investors, portfolio managers, advisors, analysts, and regulators, The Complete Guide to Portfolio Performance is also a must-read reference for students and practitioners of asset and wealth management, as well as those pursuing certification such as CFA, CIPM, CIIA, and CAIA.