The Compliance Officers Handbook
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| Author | : Thomas Fox |
| Publisher | : |
| Total Pages | : 554 |
| Release | : 2018-05-05 |
| Genre | : |
| ISBN | : 9781783583300 |
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.
| Author | : Banks and Banks |
| Publisher | : Wolters Kluwer |
| Total Pages | : 1976 |
| Release | : 2020-06-19 |
| Genre | : Law |
| ISBN | : 1543823718 |
Corporate Legal Compliance Handbook, Third Edition, provides the knowledge necessary to implement or enhance a compliance program in a specific company, or in a client's company. The book focuses not only on doing what is legal or what is right--the two are both important but not always the same--but also on how to make a compliance program actually work. The book is organized in a sequence that follows how to approach a compliance program. It gives the compliance officer, consultant, or attorney a good grounding in the basics of compliance law. This includes such things as the rules about corporate and individual liability, an understanding of the basics of the key laws that impact companies, and the workings of the U.S. Sentencing Guidelines. Successful programs also require an understanding of educational techniques, good communication skills, and the use of computer tools. The effective compliance program also takes into account how to deliver messages using a variety of media to reach employees in different locations, of different ages or education, who speak different languages. Note: Online subscriptions are for three-month periods.
| Author | : |
| Publisher | : |
| Total Pages | : |
| Release | : 2021-04 |
| Genre | : |
| ISBN | : 9781733598750 |
| Author | : Benjamin van Rooij |
| Publisher | : Cambridge University Press |
| Total Pages | : 1559 |
| Release | : 2021-05-20 |
| Genre | : Law |
| ISBN | : 1108754139 |
Compliance has become key to our contemporary markets, societies, and modes of governance across a variety of public and private domains. While this has stimulated a rich body of empirical and practical expertise on compliance, thus far, there has been no comprehensive understanding of what compliance is or how it influences various fields and sectors. The academic knowledge of compliance has remained siloed along different disciplinary domains, regulatory and legal spheres, and mechanisms and interventions. This handbook bridges these divides to provide the first one-stop overview of what compliance is, how we can best study it, and the core mechanisms that shape it. Written by leading experts, chapters offer perspectives from across law, regulatory studies, management science, criminology, economics, sociology, and psychology. This volume is the definitive and comprehensive account of compliance.
| Author | : Anthony Tarantino |
| Publisher | : John Wiley & Sons |
| Total Pages | : 1123 |
| Release | : 2008-03-11 |
| Genre | : Business & Economics |
| ISBN | : 0470245557 |
Providing a comprehensive framework for a sustainable governance model, and how to leverage it in competing global markets, Governance, Risk, and Compliance Handbook presents a readable overview to the political, regulatory, technical, process, and people considerations in complying with an ever more demanding regulatory environment and achievement of good corporate governance. Offering an international overview, this book features contributions from sixty-four industry experts from fifteen countries.
| Author | : Robert A. Wade |
| Publisher | : HC Pro, Inc. |
| Total Pages | : 133 |
| Release | : 2009-04 |
| Genre | : Business & Economics |
| ISBN | : 1601465637 |
The tools and information you need to lead a comprehensive compliance program. This revised edition is packed with even more practical tools, case studies, tips and tools, sample audits, and sample policies and procedures to help you construct a comprehensive program and meet new regulatory and industry requirements. All of these tools and strategies have been created, tested, and proven by professionals in the field.
| Author | : Aurali Dade |
| Publisher | : IAP |
| Total Pages | : 568 |
| Release | : 2015-07-01 |
| Genre | : Education |
| ISBN | : 1681231336 |
The senior research compliance administrator has emerged as a critically important position as universities and other research organizations face an increasingly intricate regulatory environment. These administrators are tasked with a special challenge: ensuring that their institutions conduct safe, ethical, and compliant research while also helping researchers understand and meet compliance requirements and achieve their research goals. These competing responsibilities can make the role of the research administrator complex; however, those who serve in this role may find that they have limited preparation for the challenges and little or no formal education in the field. Thus, the goal of this handbook is to provide practical guidance to research administrators who are responsible for a wide variety of compliance programs. Previous volumes on these topics have focused primarily on educating research faculty, staff, and students. An assumption in many of these handbooks is that all additional questions related to research ethics and regulations should be directed to the senior research administrator; yet, the books have limited guidance intended for the senior research administrators themselves. This handbook is designed, therefore, to serve as a detailed program implementation manual for these administrators, who are expected to be conversant on a broad range of complex ethical and regulatory topics and to provide guidance to those conducting research, as well as upper administration and others interested in safe, ethical, and compliant research.
| Author | : Andrew Boutros |
| Publisher | : |
| Total Pages | : 255 |
| Release | : 2018-03-07 |
| Genre | : Business & Economics |
| ISBN | : 9781634256490 |
The ABA Compliance Officer Desk Book is a user-friendly, practical, and real-world focused desk book written for today's compliance professional. Whether working in a big or small, private or public, established or rapidly growing organization, the Book's aim is to empower compliance professionals to better understand the regulatory and enforcement landscapes in which they operate. The Book issue spots compliance pitfalls and challenges across industries, subject matters, and corporate infrastructures and recommends practical solutions today's most high-profile, hot-button compliance topics. In doing so, the Book covers the waterfront of topics such as: - The Role of the Compliance Professional in today's Organization; - Labor Exploitation and CSR;- The Foreign Corrupt Practices Act ("FCPA") and U.S. Travel Act;- Dodd-Frank and Sarbanes-Oxley Financial Regulation;- Health Care;- Pharmaceutical, Medical, and Food Products;- Product Safety;- Environmental Regulation;- Government Contracts;- Nonprofit Entities; and- Privacy and Data Security;- Preserving Legal Privilege;- Addressing Law Enforcement Activities;- Immunity Issues in Corporate Compliance;- Crimes of False Certification;- International Transactions Compliance: OFAC Sanctions;- The Corporate Whistleblower;- Corporate Voluntary Disclosures;- Department of Justice Pilot Program for Cooperation;- Deferred Prosecution Agreements, Non-Prosecution Agreements, and Corporate Integrity Agreements; and - Structuring Compliance Programs to Meet and Exceed Statutory Obligations. . Whether a new or seasoned compliance professional, in-house lawyer, outside counsel, regulator, or member of management, The ABA Compliance Officer Desk Book covers key compliance concepts in a manner that is both thorough and easily-digestible.
| Author | : James R. Richards |
| Publisher | : CRC Press |
| Total Pages | : 344 |
| Release | : 1998-10-20 |
| Genre | : Law |
| ISBN | : 9781420048728 |
WRITTEN BY A LAW ENFORCEMENT PROFESSIONAL FOR OTHER LAW ENFORCEMENT PERSONNEL IN THE TRENCHES This book examines the workings of organized criminals and criminal groups that transcend national boundaries. Discussions include methods used by criminal groups to internationally launder money; law enforcement efforts to counteract such schemes; and new methods and tactics to counteract transnational money laundering. A PRACTICAL GUIDE TO FACETS OF INTERNATIONAL CRIME AND MEASURES TO COMBAT THEM Intended for law enforcement personnel, bank compliance officers, financial investigators, criminal defense attorneys, and anyone interested in learning about the basic concepts of international crime and money laundering, this timely text explains: money laundering terms and phrases an overview of relevant federal agencies, transnational criminal organizations, and basic investigatory techniques the intricacies of wire transfers and cyberbanking the phenomenon of the "World Wide Web"
| Author | : Nitish Singh Ph.D. |
| Publisher | : Bloomsbury Publishing USA |
| Total Pages | : 318 |
| Release | : 2015-03-10 |
| Genre | : Business & Economics |
| ISBN | : |
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.
