Download or read book The Quick Guide to I T Regulatory Compliance Book Two written by CRISC, M W, M Sisk, CISA, CRISC and published by . This book was released on 2012-12-17 with total page 90 pages. Available in PDF, EPUB and Kindle. Book excerpt: About this book:This book attempts to provide simplified guidance on how to organize to meet both audit and business requirements, and walks the reader through the processes, requirements, IT frameworks and standards and regulators; and how to prepare for success for when the auditors come in.This book addresses that need in a condensed, no-nonsense format, which can be digested quickly by a manager IT professional or auditor, and referred to as needed. For the many that have to respond to audit but simply do not have or make the time to learn all the nuances of IT audit and how to prepare for it; this book is for them.
Download or read book The Quick Guide to I T Regulatory Compliance written by Cisa Crisc Sisk, M. and published by CreateSpace. This book was released on 2013-12 with total page 72 pages. Available in PDF, EPUB and Kindle. Book excerpt: About this book: This book attempts to demystify the cloud of information overload that abounds in relation to IT audit, and walks the reader through the regulators, the IT frameworks and standards, and how to prepare for success for when the auditors come in. This book addresses that need in a condensed, no-nonsense format, which can be digested quickly by a manager or IT professional, and referred to as needed. For the many that have to respond to audit but simply do not have or make the time to learn all the nuances of IT audit and how to prepare for it; this book is for them.
Download or read book The Quick Guide to I T Regulatory Compliance written by M. Sisk CISA,CRISC and published by Createspace Independent Publishing Platform. This book was released on 2017-12-29 with total page 62 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides simplified guidance on how to write and organize policies and procedures to meet regulatory, audit, or business requirements, and walks the reader through the process of developing those documents, and insuring they will meet well defined maturity metrics. This second edition adds clarity, and now covers publication ans the use of Wiki Based tools such as Confluence(R) covering how to organize for its best use. This book addresses that need in a condensed, no-nonsense format, which can be digested quickly by a manager IT professional or auditor, and referred to as needed. For the many that have to respond to audit but simply do not have or make the time to learn all the nuances of IT audit and how to prepare for it; this book is for them.
Download or read book Policies and Procedures written by M. W. Sisk and published by Createspace Independent Publishing Platform. This book was released on 2014-12-24 with total page 50 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides simplified guidance on how to write and organize policies and procedures to meet regulatory, audit, and business requirements, and walks the reader through the process of developing those documents, and insuring they will meet well defined maturity metrics. This book addresses that need in a condensed, no-nonsense format, which can be digested quickly by a manager IT professional or auditor, and referred to as needed. For the many that have to respond to audit but simply do not have or make the time to learn all the nuances of IT audit and how to prepare for it; this book is for them.
Download or read book The Quick Guide to I T Regulatory Compliance written by M. W. Sisk and published by . This book was released on 2009-12-30 with total page 66 pages. Available in PDF, EPUB and Kindle. Book excerpt: About this book:This book attempts to demystify the cloud of information overload that abounds in relation to IT audit, and walks the reader through the regulators, the IT frameworks and standards, and how to prepare for success for when the auditors come in.This book addresses that need in a condensed, no-nonsense format, which can be digested quickly by a manager or IT professional, and referred to as needed. For the many that have to respond to audit but simply do not have or make the time to learn all the nuances of IT audit and how to prepare for it; this book is for them.
Download or read book IT Regulatory Compliance in North America written by Alan Calder and published by . This book was released on 2007 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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 Us Banking Compliance Handbook written by Dominic Suszek and published by Createspace Independent Publishing Platform. This book was released on 2016-07-24 with total page 108 pages. Available in PDF, EPUB and Kindle. Book excerpt: Financial institutions are under mounting pressure to remain compliant with increasingly strict anti-money laundering and counter terrorism financing regulations. Legislation like the Bank Secrecy Act in the U.S., along with many other statutes worldwide, compel organizations to perform more rigorous due diligence when on-boarding new clients and have a thorough understanding of every customer relationship. This Handbook covers all the necessities of banking compliance while keeping the information concise and straightforward. Topics covered include:* The hurdles organizations are facing due to weak client data, leading to significant regulatory penalties and requirements to increase staff.* Importance of comprehensive client profiles and having effective systems in place to capture new client information. * Necessity of ensuring transaction activity is consistent with client suitability profiles and having processes in place to detect when it is not.* The penalties and costs of failure to implement an effective compliance program.The author, Dominic Suszek, is the founder and CEO of Global RADAR(r). With more than 25 years of hands-on experience in the evolving global regulatory landscape in the financial services sector, Mr. Suszek has gained invaluable knowledge of a complex and ever-changing industry that has merged technology, compliance and operations. As a senior executive involved in all aspects of operations, technology and regulatory compliance, with particular emphasis on cost reduction, and enhanced compliance through better data management and simplified processes, he has acquired extensive knowledge of business requirements and regulatory expectations from supervisory agencies worldwide.
Download or read book The Regulatory Compliance Matrix Regulation of Financial Services Information and Communication Technology and Generally Related Matters written by Guido Reinke and published by Gold Rush Publishing. This book was released on 2015-07-31 with total page 298 pages. Available in PDF, EPUB and Kindle. Book excerpt: This exceptional guidebook is ideal for industry professionals, regulators and scholars in the domain of regulatory governance. The Regulatory Compliance Matrix with more than 2500 entries brings clarity to a domain which is widely considered to be complex, unstructured, and in constant flux. It is a compendious guide to the laws, regulations, standards, and recommendations applicable to compliance programmes. What practitioners find in this book will empower them to save money, man-hours, and consultancy interventions. Inside, the reader will find the following key resources: Regulatory Compliance Matrix: a synopsis of the principal domains of applicable regulation, setting forth legal norms, ancillary standards and guidelines. This Matrix covers the laws and regulations specific to financial services (Part I) and information and communications technology (Part II) at the global and European as well at the UK national and sub-national level. Part III of the Matrix covers generally applicable regulatory domains like corporate governance, consumer protection and employment law, information security, data protection and electronic commerce. Regulatory authorities: a comprehensive listing with descriptions of authorities who define the regulatory agenda. Weblinks are provided for each authority, which enables the reader to access the latest regulatory developments and updates. Overview of the conduct of effective compliance programmes: a pragmatic approach to the entire process, from scoping and prioritisation, conducting risk assessments, defining control activities and reporting requirements; to undertaking effectiveness reviews, documenting findings and making recommendations; to assessing compliance maturity and creating action plans. Non-compliance costs checklist: a detailed list of financial, operational, personal, and regulatory risks. This will assist readers with risk assessment and prioritisation of compliance domains."
Download or read book Referernce Guide to Regulatory Compliance written by American Bankers Association and published by . This book was released on 2010-07 with total page 872 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Download or read book Regulatory Compliance Complete Self Assessment Guide written by Gerardus Blokdyk and published by Createspace Independent Publishing Platform. This book was released on 2017-05-14 with total page 114 pages. Available in PDF, EPUB and Kindle. Book excerpt: How do we Identify specific Regulatory Compliance investment and emerging trends? Is a fully trained team formed, supported, and committed to work on the Regulatory Compliance improvements? How will you measure your Regulatory Compliance effectiveness? How do mission and objectives affect the Regulatory Compliance processes of our organization? Do we all define Regulatory Compliance in the same way? Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role... In EVERY company, organization and department. Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?' For more than twenty years, The Art of Service's Self-Assessments empower people who can do just that - whether their title is marketer, entrepreneur, manager, salesperson, consultant, business process manager, executive assistant, IT Manager, CxO etc... - they are the people who rule the future. They are people who watch the process as it happens, and ask the right questions to make the process work better. This book is for managers, advisors, consultants, specialists, professionals and anyone interested in Regulatory Compliance assessment. Featuring 607 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Regulatory Compliance improvements can be made. In using the questions you will be better able to: - diagnose Regulatory Compliance projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices - implement evidence-based best practice strategies aligned with overall goals - integrate recent advances in Regulatory Compliance and process design strategies into practice according to best practice guidelines Using a Self-Assessment tool known as the Regulatory Compliance Scorecard, you will develop a clear picture of which Regulatory Compliance areas need attention. Included with your purchase of the book is the Regulatory Compliance Self-Assessment downloadable resource, containing all 607 questions and Self-Assessment areas of this book. This enables ease of (re-)use and enables you to import the questions in your preferred Management or Survey Tool. Access instructions can be found in the book. You are free to use the Self-Assessment contents in your presentations and materials for customers without asking us - we are here to help. This Self-Assessment has been approved by The Art of Service as part of a lifelong learning and Self-Assessment program and as a component of maintenance of certification. Optional other Self-Assessments are available. For more information, visit http://theartofservice.com
Download or read book Data Management written by Robert E. Braun and published by Thomson Financial. This book was released on 1998 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Manager s Guide to Compliance written by Anthony Tarantino and published by John Wiley & Sons. This book was released on 2006-04-21 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance requirements are here to stay. Prepare your company for the growing challenge. A Wall Street Journal/Harris poll revealed that two thirds of investors express doubts in the ability of corporate boards of directors to provide effective oversight. In the shadow of recent global scandals involving businesses such as Parmalat and WorldCom, Manager's Guide to Compliance: Best Practices and Case Studies is essential reading for you, whether your organization is a major corporation or a small business. This timely handbook places U.S. and global regulatory information, as well as critical compliance guidance, in an easy-to-access format and helps you make sense of all the complex issues connected with fraud and compliance. "Wide perspectives and best practices combined deliver a punch that will knock your 'SOX' off! The author has blended together a critical mix necessary for effectively handling the requirements of SOX." —Rob Nance, Publisher, AccountingWEB, Inc. "Robust compliance and corporate governance is an absolute necessity in today's business environment. This new book by Anthony Tarantino is an authoritative guide to understanding and implementing compliance and regulatory requirements in the United States and around the world. From SOX to COSO to ERM, this book covers them all." —Martin T. Biegelman, Certified Fraud Examiner, Fellow and Regent Emeritus of the Association of Certified Fraud Examiners, and coauthor of Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance "If compliance wasn't difficult enough, now companies are faced with a barrage of technology vendors claiming to automate compliance as if it were a project. In his new book, Dr. Tarantino paints the reality of the situation: companies need to embrace the broader tenets of governance and use technology to embed governance policies and controls into their daily business processes. Only then can they gain business value from their compliance investments." —Chris Capdevila, CEO and cofounder, LogicalApps
Download or read book Cooperative Compliance written by Jeffrey Owens and published by Kluwer Law International B.V.. This book was released on 2021-08-18 with total page 152 pages. Available in PDF, EPUB and Kindle. Book excerpt: National taxation authorities around the world are rapidly improving international cooperation, given the unprecedented triple impact of persistent revelations of large-scale corporate tax avoidance, the ever-increasing intricacies of digital cross-border transactions, and the unprecedented revenue deficits engendered by the COVID-19 pandemic. There is also a growing recognition that improving tax compliance needs to be reconciled with a legitimate desire on the part of businesses to have some certainty about their taxes. Cooperative compliance is one way to achieve that. This first analysis of the details of cooperative compliance programmes currently in operation describes tax control frameworks, suggests practical examples to assist practitioners in tax administrations and the private sector, and provides multiple perspectives on the design and legitimacy of such programmes. Drawing on detailed information contributed by tax practitioners and academics from a wide range of jurisdictions worldwide, the book identifies and explains certain crucial elements of successful programmes: the criteria for access to cooperative compliance (e.g., is the programme voluntary or mandatory? Is there a financial threshold? Will the criteria be publicly available?); model legislation that can facilitate the operation of such programmes (statutory provisions, administrative rules and procedures, etc.); the foundations for an international agreement on an audit assurance standard for tax control frameworks (including the role of the Organisation for Economic Co-operation and Development (OECD), the European Union (EU), and other international organizations); how to develop a methodology to measure the cost and benefits of cooperative compliance programmes; detailed case studies of existing compliance programmes in Australia, Austria, China, Germany, Italy, Poland, and Russia; and how to communicate a cooperative compliance programme to obtain trust from society. The analysis draws on two years of work led by WU Global Tax Policy Center (GTPC) at Vienna University of Economics and Business in cooperation with the International Chamber of Commerce (ICC) and the Commonwealth Association of Tax Administrators (CATA). The project brought together over two hundred people from 25 countries, including public officials, businesses, and academics. Tax certainty and predictability are key components for providing a tax environment that is conducive to cross-border trade and investment, and, in the long term, it is in the interest of both governments and businesses to minimize tax uncertainty as much as possible. This truly helpful book promises to pave the way to an internationally effective tax framework that will be welcomed by taxation authorities and practitioners worldwide.
Download or read book The Compliance Guide to the JCAHO s Provision of Care Standards written by Rebecca S. Jessie and published by HC Pro, Inc.. This book was released on 2005 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The IT Regulatory and Standards Compliance Handbook written by Craig S. Wright and published by Elsevier. This book was released on 2008-07-25 with total page 750 pages. Available in PDF, EPUB and Kindle. Book excerpt: The IT Regulatory and Standards Compliance Handbook provides comprehensive methodology, enabling the staff charged with an IT security audit to create a sound framework, allowing them to meet the challenges of compliance in a way that aligns with both business and technical needs. This "roadmap" provides a way of interpreting complex, often confusing, compliance requirements within the larger scope of an organization's overall needs. The ulitmate guide to making an effective security policy and controls that enable monitoring and testing against them The most comprehensive IT compliance template available, giving detailed information on testing all your IT security, policy and governance requirements A guide to meeting the minimum standard, whether you are planning to meet ISO 27001, PCI-DSS, HIPPA, FISCAM, COBIT or any other IT compliance requirement Both technical staff responsible for securing and auditing information systems and auditors who desire to demonstrate their technical expertise will gain the knowledge, skills and abilities to apply basic risk analysis techniques and to conduct a technical audit of essential information systems from this book This technically based, practical guide to information systems audit and assessment will show how the process can be used to meet myriad compliance issues
