Compliance Functions A Complete Guide - 2019 Edition

Compliance Functions A Complete Guide - 2019 Edition
Author: Gerardus Blokdyk
Publisher: 5starcooks
Total Pages: 304
Release: 2019-08-07
Genre:
ISBN: 9780655843344

Is compliance functions dependent on the successful delivery of a current project? How did the compliance functions manager receive input to the development of a compliance functions improvement plan and the estimated completion dates/times of each activity? Do several people in different organizational units assist with the compliance functions process? Are accountability and ownership for compliance functions clearly defined? What is the extent or complexity of the compliance functions problem? Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role... In EVERY group, company, organization and department. Unless you are talking a one-time, single-use project, 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?' This Self-Assessment empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Compliance Functions investments work better. This Compliance Functions All-Inclusive Self-Assessment enables You to be that person. All the tools you need to an in-depth Compliance Functions Self-Assessment. Featuring 937 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Compliance Functions improvements can be made. In using the questions you will be better able to: - diagnose Compliance Functions 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 Compliance Functions and process design strategies into practice according to best practice guidelines Using a Self-Assessment tool known as the Compliance Functions Scorecard, you will develop a clear picture of which Compliance Functions areas need attention. Your purchase includes access details to the Compliance Functions self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next. You will receive the following contents with New and Updated specific criteria: - The latest quick edition of the book in PDF - The latest complete edition of the book in PDF, which criteria correspond to the criteria in... - The Self-Assessment Excel Dashboard - Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation - In-depth and specific Compliance Functions Checklists - Project management checklists and templates to assist with implementation INCLUDES LIFETIME SELF ASSESSMENT UPDATES Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.

Complete Guide to Human Resources and the Law, 2019 Edition

Complete Guide to Human Resources and the Law, 2019 Edition
Author: Shilling
Publisher: Wolters Kluwer
Total Pages: 1830
Release: 2018-09-14
Genre: Business & Economics
ISBN: 1454899948

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. The 2019 Edition provides new and expanded coverage of issues such as: The Supreme Court held in March 2016 that to prove damages in an Fair Labor Standards Act (FLSA) donning/doffing class action, an expert witness' testimony could be admitted Tyson Foods, Inc. v. Bouaphakeo, 136 S. Ct. 1036 (2016). Executive Order 13706, signed on Labor Day 2015, takes effect in 2017. It requires federal contractors to allow employees to accrue at least one hour of paid sick leave for every 30 hours they work, and unused sick leave can be carried over from year to year. Mid-2016 DOL regulations make millions more white-collar employees eligible for overtime pay, by greatly increasing the salary threshold for the white-collar exemption. Updates on the PATH Act (Protecting Americans From Tax Hikes; Pub. L. No. 114-113. The DOL published the "fiduciary rule" in final form in April 2016, with full compliance scheduled for January 1, 2018. The rule makes it clear that brokers who are paid to offer guidance on retirement accounts and Individual Retirement Arrangements (IRAs) are fiduciaries. In early 2016, the Equal Employment Opportunity Commission (EEOC) announced it would allow charging parties to request copies of the employer's position statement in response to the charge. The Supreme Court ruled that, in constructive discharge timing requirements run from the date the employee gives notice of his or her resignation--not the effective date of the resignation. Certiorari was granted to determine if the Federal Arbitration Act (FAA) preempts consideration of severing provisions for unconscionability. Previous Edition: Complete Guide to Human Resources and the Law, 2018 Edition ISBN 9781454884309

Compliance Risk A Complete Guide - 2019 Edition

Compliance Risk A Complete Guide - 2019 Edition
Author: Gerardus Blokdyk
Publisher: 5starcooks
Total Pages: 306
Release: 2019-07-10
Genre:
ISBN: 9780655817994

Is the board regularly briefed on IT risks to which your organization is exposed including compliance risks? Is data integrity your biggest compliance risk? How do you achieve business ownership for compliance risk? What does compliance risk appetite mean to your organization? Do vendor agreements bring new compliance risk ? Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role... In EVERY group, company, organization and department. Unless you are talking a one-time, single-use project, 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?' This Self-Assessment empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Compliance Risk investments work better. This Compliance Risk All-Inclusive Self-Assessment enables You to be that person. All the tools you need to an in-depth Compliance Risk Self-Assessment. Featuring 932 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Compliance Risk improvements can be made. In using the questions you will be better able to: - diagnose Compliance Risk 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 Compliance Risk and process design strategies into practice according to best practice guidelines Using a Self-Assessment tool known as the Compliance Risk Scorecard, you will develop a clear picture of which Compliance Risk areas need attention. Your purchase includes access details to the Compliance Risk self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next. You will receive the following contents with New and Updated specific criteria: - The latest quick edition of the book in PDF - The latest complete edition of the book in PDF, which criteria correspond to the criteria in... - The Self-Assessment Excel Dashboard - Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation - In-depth and specific Compliance Risk Checklists - Project management checklists and templates to assist with implementation INCLUDES LIFETIME SELF ASSESSMENT UPDATES Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.

Compliance Programs A Complete Guide - 2019 Edition

Compliance Programs A Complete Guide - 2019 Edition
Author: Gerardus Blokdyk
Publisher: 5starcooks
Total Pages: 306
Release: 2019-07-22
Genre:
ISBN: 9780655829140

What are your personal philosophies regarding compliance programs and how do they influence your work? How much are sponsors, customers, partners, stakeholders involved in compliance programs? In other words, what are the risks, if compliance programs does not deliver successfully? What are the key elements of your compliance programs performance improvement system, including your evaluation, organizational learning, and innovation processes? How do you make it meaningful in connecting compliance programs with what users do day-to-day? An organizationally feasible system request is one that considers the mission, goals and objectives of the organization, key questions are: is the compliance programs solution request practical and will it solve a problem or take advantage of an opportunity to achieve company goals? Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role... In EVERY group, company, organization and department. Unless you are talking a one-time, single-use project, 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?' This Self-Assessment empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Compliance Programs investments work better. This Compliance Programs All-Inclusive Self-Assessment enables You to be that person. All the tools you need to an in-depth Compliance Programs Self-Assessment. Featuring 948 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Compliance Programs improvements can be made. In using the questions you will be better able to: - diagnose Compliance Programs 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 Compliance Programs and process design strategies into practice according to best practice guidelines Using a Self-Assessment tool known as the Compliance Programs Scorecard, you will develop a clear picture of which Compliance Programs areas need attention. Your purchase includes access details to the Compliance Programs self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next. You will receive the following contents with New and Updated specific criteria: - The latest quick edition of the book in PDF - The latest complete edition of the book in PDF, which criteria correspond to the criteria in... - The Self-Assessment Excel Dashboard - Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation - In-depth and specific Compliance Programs Checklists - Project management checklists and templates to assist with implementation INCLUDES LIFETIME SELF ASSESSMENT UPDATES Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.

Bank Regulation, Risk Management, and Compliance

Bank Regulation, Risk Management, and Compliance
Author: Alexander Dill
Publisher: Taylor & Francis
Total Pages: 327
Release: 2019-10-01
Genre: Law
ISBN: 1000702731

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.

Compliance Management a Complete Guide - 2019 Edition

Compliance Management a Complete Guide - 2019 Edition
Author: Gerardus Blokdyk
Publisher: 5starcooks
Total Pages: 316
Release: 2018-12-20
Genre:
ISBN: 9780655513926

Why might it happen: what factors would need to be present for a risk to happen or occur again? Which specific characteristics and common-practices are being considered during the design and development of reference models for RCM in cloud computing environments? Have new products, services, vendors or other business relationships been rolled out? Should an audit include Health and Safety issues (OSHA), as many do? What are the sources of the information in the system? This extraordinary Compliance Management self-assessment will make you the credible Compliance Management domain standout by revealing just what you need to know to be fluent and ready for any Compliance Management challenge. How do I reduce the effort in the Compliance Management work to be done to get problems solved? How can I ensure that plans of action include every Compliance Management task and that every Compliance Management outcome is in place? How will I save time investigating strategic and tactical options and ensuring Compliance Management costs are low? How can I deliver tailored Compliance Management advice instantly with structured going-forward plans? There's no better guide through these mind-expanding questions than acclaimed best-selling author Gerard Blokdyk. Blokdyk ensures all Compliance Management essentials are covered, from every angle: the Compliance Management self-assessment shows succinctly and clearly that what needs to be clarified to organize the required activities and processes so that Compliance Management outcomes are achieved. Contains extensive criteria grounded in past and current successful projects and activities by experienced Compliance Management practitioners. Their mastery, combined with the easy elegance of the self-assessment, provides its superior value to you in knowing how to ensure the outcome of any efforts in Compliance Management are maximized with professional results. Your purchase includes access details to the Compliance Management self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows you exactly what to do next. Your exclusive instant access details can be found in your book. You will receive the following contents with New and Updated specific criteria: - The latest quick edition of the book in PDF - The latest complete edition of the book in PDF, which criteria correspond to the criteria in... - The Self-Assessment Excel Dashboard - Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation - In-depth and specific Compliance Management Checklists - Project management checklists and templates to assist with implementation INCLUDES LIFETIME SELF ASSESSMENT UPDATES Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.

Compliance Program A Complete Guide - 2019 Edition

Compliance Program A Complete Guide - 2019 Edition
Author: Gerardus Blokdyk
Publisher: 5starcooks
Total Pages: 314
Release: 2019-07-22
Genre:
ISBN: 9780655829195

Is there a risk that the end-user will transfer the item to another person? Is there a schedule to conduct training (including date, time, and place)? What percentage of your business sales is from exporting? Is there anything that is suspect regarding the legitimacy of the transactions? Is the destination country a strategic ally or an adherent to a multilateral export control regime? Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role... In EVERY group, company, organization and department. Unless you are talking a one-time, single-use project, 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?' This Self-Assessment empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Compliance Program investments work better. This Compliance Program All-Inclusive Self-Assessment enables You to be that person. All the tools you need to an in-depth Compliance Program Self-Assessment. Featuring 970 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Compliance Program improvements can be made. In using the questions you will be better able to: - diagnose Compliance Program 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 Compliance Program and process design strategies into practice according to best practice guidelines Using a Self-Assessment tool known as the Compliance Program Scorecard, you will develop a clear picture of which Compliance Program areas need attention. Your purchase includes access details to the Compliance Program self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next. You will receive the following contents with New and Updated specific criteria: - The latest quick edition of the book in PDF - The latest complete edition of the book in PDF, which criteria correspond to the criteria in... - The Self-Assessment Excel Dashboard - Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation - In-depth and specific Compliance Program Checklists - Project management checklists and templates to assist with implementation INCLUDES LIFETIME SELF ASSESSMENT UPDATES Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.