Catalogue


Building a world-class compliance program : best practices and strategies for success /
Martin T. Biegelman with Daniel R. Biegelman.
imprint
Hoboken, N.J. : John Wiley & Sons, c2008.
description
xx, 297 p.
ISBN
9780470114780 (cloth)
format(s)
Book
More Details
added author
imprint
Hoboken, N.J. : John Wiley & Sons, c2008.
isbn
9780470114780 (cloth)
contents note
Why ethics and compliance will always matter -- Tone at the top and throughout -- The growth and evolution of compliance -- Caremark and Sarbanes-Oxley: enhancing compliance -- CA's compliance rebirth: don't lie, don't cheat, don't steal -- The international landscape of compliance -- Compliance programs and anti-money laundering efforts -- Interview with an ethics and compliance thought leader -- Building a world-class compliance program: the seven steps in practice (Part I) -- Building a world-class compliance program: the seven steps in practice (Part II) -- Recognizing compliance excellence: Premier, Inc. and winning the Baldrige Award -- Designing robust fraud prevention policies: the Airservices Australia fraud control plan -- The skunk in the room.
general note
Includes bibliographical references and index.
catalogue key
6518212
A Look Inside
Excerpts
Flap Copy
Building A World-Class Compliance ProgramIf you want to ensure that your organization is doing everything possible to prevent misconduct and follow laws, rules, and regulations, this book is for you.The devastating accounting scandals and corporate frauds at Enron, WorldCom, Tyco, Adelphia, and numerous other companies reinforced the importance of compliance programs. Effective compliance programs prevent and detect misconduct and protect the interests of shareholders, employees, and the public. Authoritative, comprehensive, and insightful, Building a World-Class Compliance Program covers:Building the business case for ethics and compliance in an organization"Tone at the top" and throughout the organizationCase studies and best practices of world-class companies and those emerging from compliance failuresHistory, growth, and evolution of corporate complianceDetailed discussion of the Federal Sentencing Guidelines for Organizations and the Seven Steps to an effective compliance programU.S. Department of Justice's McNulty Memorandum and the revised principles of federal prosecution of business organizationsSEC's Seaboard Criteria in mitigating enforcement actionsThe importance of the Sarbanes-Oxley Act and the Caremark caseGlobalization of business, the risk of corruption, and the expanding reach of the Foreign Corrupt Practices ActAnti-money laundering enforcement and the USA PATRIOT ActWhy every organization needs a "Skunk in the Room"Written by a long-standing practitioner in the field, this is a timely and critical work put forth in a very readable and impactful fashion. 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. Interviews with thought leaders and experts in compliance along with recommended action steps give a unique, firsthand perspective. Also included are fraud prevention policies and plans to implement. Compliance insights throughout the book detail case studies, strategies for success, sample programs, and survey findings.Embracing and implementing corporate compliance policies and procedures is the only option. True corporate responsibility and accountability require all companies, public or private, large or small, foreign or domestic, to have effective compliance programs. Whether you're a CEO, CFO, compliance officer, manager, auditor, risk management professional, or a student, Building a World-Class Compliance Program is your best source for understanding all the complex issues and requirements associated with corporate compliance.
Flap Copy
Building A World-Class Compliance Program If you want to ensure that your organization is doing everything possible to prevent misconduct and follow laws, rules, and regulations, this book is for you. The devastating accounting scandals and corporate frauds at Enron, WorldCom, Tyco, Adelphia, and numerous other companies reinforced the importance of compliance programs. Effective compliance programs prevent and detect misconduct and protect the interests of shareholders, employees, and the public. Authoritative, comprehensive, and insightful, Building a World-Class Compliance Program covers: Building the business case for ethics and compliance in an organization "Tone at the top" and throughout the organization Case studies and best practices of world-class companies and those emerging from compliance failures History, growth, and evolution of corporate compliance Detailed discussion of the Federal Sentencing Guidelines for Organizations and the Seven Steps to an effective compliance program U.S. Department of Justice's McNulty Memorandum and the revised principles of federal prosecution of business organizations SEC's Seaboard Criteria in mitigating enforcement actions The importance of the Sarbanes-Oxley Act and the Caremark case Globalization of business, the risk of corruption, and the expanding reach of the Foreign Corrupt Practices Act Anti-money laundering enforcement and the USA PATRIOT Act Why every organization needs a "Skunk in the Room" Written by a long-standing practitioner in the field, this is a timely and critical work put forth in a very readable and impactful fashion. 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. Interviews with thought leaders and experts in compliance along with recommended action steps give a unique, firsthand perspective. Also included are fraud prevention policies and plans to implement. Compliance insights throughout the book detail case studies, strategies for success, sample programs, and survey findings. Embracing and implementing corporate compliance policies and procedures is the only option. True corporate responsibility and accountability require all companies, public or private, large or small, foreign or domestic, to have effective compliance programs. Whether you're a CEO, CFO, compliance officer, manager, auditor, risk management professional, or a student, Building a World-Class Compliance Program is your best source for understanding all the complex issues and requirements associated with corporate compliance.
Flap Copy
Building A World-Class Compliance Program If you want to ensure that your organization is doing everything possible to prevent misconduct and follow laws, rules, and regulations, this book is for you. The devastating accounting scandals and corporate frauds at Enron, WorldCom, Tyco, Adelphia, and numerous other companies reinforced the importance of compliance programs. Effective compliance programs prevent and detect misconduct and protect the interests of shareholders, employees, and the public. Authoritative, comprehensive, and insightful, Building a World-Class Compliance Program covers: Building the business case for ethics and compliance in an organization "Tone at the top" and throughout the organization Case studies and best practices of world-class companies and those emerging from compliance failures History, growth, and evolution of corporate compliance Detailed discussion of the Federal Sentencing Guidelines for Organizations and the Seven Steps to an effective compliance program U.S. Department of Justices McNulty Memorandum and the revised principles of federal prosecution of business organizations SECs Seaboard Criteria in mitigating enforcement actions The importance of the Sarbanes-Oxley Act and the Caremark case Globalization of business, the risk of corruption, and the expanding reach of the Foreign Corrupt Practices Act Anti-money laundering enforcement and the USA PATRIOT Act Why every organization needs a "Skunk in the Room" Written by a long-standing practitioner in the field, this is a timely and critical work put forth in a very readable and impactful fashion. 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. Interviews with thought leaders and experts in compliance along with recommended action steps give a unique, firsthand perspective. Also included are fraud prevention policies and plans to implement. Compliance insights throughout the book detail case studies, strategies for success, sample programs, and survey findings. Embracing and implementing corporate compliance policies and procedures is the only option. True corporate responsibility and accountability require all companies, public or private, large or small, foreign or domestic, to have effective compliance programs. Whether youre a CEO, CFO, compliance officer, manager, auditor, risk management professional, or a student, Building a World-Class Compliance Program is your best source for understanding all the complex issues and requirements associated with corporate compliance.
Reviews
Review Quotes
"For those who benefited from reading Martin's first book, Executive Roadmap to Fraud Prevention and Internal Control , you now have the 'Atlas' on ethics and compliance. The compliance insights, poignant case studies, and best practices provide a significant value-added for executives who must set the 'tone at the top' and for those who struggle day-to-day to establish and maintain ethical and compliant behavior within their organizations. A must-read for faculty and particularly students, for whom the lessons so expertly presented here will shape the ethical compass of future careers."-George E. Curtis, J.D. Associate Professor and former Director of Economic Crime Programs, Utica College " Building a World-Class Compliance Program is essential reading for in-house executives of all stripes. Boards, management, legal counsel, HR, and compliance officers all will find this 'how to' guide filled with practical advice and tips. For all people interested in how to avoid their company becoming the next Enron, this book is a must-read. It chronicles real-life examples of corporate malfeasance ripped from the headlines and offers sage measures to enhance corporate compliance programs so as to detect and deter such conduct. Given the expertise of the author-with years of experience in both law enforcement and in-house compliance-this is the preeminent guide to corporate fraud prevention."-Andrew Weissmann, Partner, Jenner & Block and former director, U.S. Department of Justice Enron Task Force
"For those who benefited from reading Martin's first book, Executive Roadmap to Fraud Prevention and Internal Control, you now have the 'Atlas' on ethics and compliance. The compliance insights, poignant case studies, and best practices provide a significant value-added for executives who must set the 'tone at the top' and for those who struggle day-to-day to establish and maintain ethical and compliant behavior within their organizations. A must-read for faculty and particularly students, for whom the lessons so expertly presented here will shape the ethical compass of future careers."-George E. Curtis, J.D. Associate Professor and former Director of Economic Crime Programs, Utica College "Building a World-Class Compliance Program is essential reading for in-house executives of all stripes. Boards, management, legal counsel, HR, and compliance officers all will find this 'how to' guide filled with practical advice and tips. For all people interested in how to avoid their company becoming the next Enron, this book is a must-read. It chronicles real-life examples of corporate malfeasance ripped from the headlines and offers sage measures to enhance corporate compliance programs so as to detect and deter such conduct. Given the expertise of the author-with years of experience in both law enforcement and in-house compliance-this is the preeminent guide to corporate fraud prevention."-Andrew Weissmann, Partner, Jenner & Block and former director, U.S. Department of Justice Enron Task Force
This item was reviewed in:
Reference & Research Book News, August 2008
To find out how to look for other reviews, please see our guides to finding book reviews in the Sciences or Social Sciences and Humanities.
Summaries
Back Cover Copy
Praise for Building A World-Class Compliance Program "The globalization of business and communications presents unprecedented opportunities for successful growth in many industries and for companies large and small. Conversely, the compliance challenges faced by businesses worldwide have never been more challenging. The urgency to develop a world-class compliance program has never been greater. This book is a must for all companies facing today and tomorrow's compliance challenge." - John Connors, Partner at Ignition Partners and former CFO, Microsoft Corporation "Unbiased, well researched, comprehensive, and interesting.A great resource for compliance professionals and a great read for CEOs, management, and board members who care about doing the right thing. I have been involved with the production of over 150 compliance articles, books, magazines, and newsletters, and Martin's work is among the best I have seen." - Roy Snell , CEO, Society of Corporate Compliance and Ethics "Martin slices through the confusion surrounding corporate compliance and offers not only useful guidelines, but a step-by-step approach to establishing an effective program. Building a World-Class Compliance Program is essential for anyone concerned with compliance and ethics within organizations." - James D. Ratley , CFE President, Association of Certified Fraud Examiners "Martin Biegelman, with strong contributions from Daniel Biegelman, provides businesspeople with an exceptionally important book in Building a World-Class Compliance Program: Best Practices and Strategies for Success . This book clearly demonstrates how value is added to companies who get it right in this vital aspect of business. Each chapter contains concrete examples of best practices ensuring compliance, backed by solid supporting examples. Together, they interview some of the best authorities in this field, and draw from Martin's experience as a federal law enforcement agent and executive." - Edward M. Stroz , Co-president of Stroz Friedberg, LLC, and former FBI special agent "Gone are the days when compliance programs were optional or companies could just have faith that none of their employees would go astray. Today's organizations need compliance programs and strategies in place. Martin Biegelman has written the consummate guide." - Joel Bartow , CFE, CPP, Director of Fraud Prevention and Investigations, Sitel Corporation
Back Cover Copy
Praise for Building A World-Class Compliance Program "The globalization of business and communications presents unprecedented opportunities for successful growth in many industries and for companies large and small. Conversely, the compliance challenges faced by businesses worldwide have never been more challenging. The urgency to develop a world-class compliance program has never been greater. This book is a must for all companies facing today and tomorrows compliance challenge." - John Connors, Partner at Ignition Partners and former CFO, Microsoft Corporation "Unbiased, well researched, comprehensive, and interesting.A great resource for compliance professionals and a great read for CEOs, management, and board members who care about doing the right thing. I have been involved with the production of over 150 compliance articles, books, magazines, and newsletters, and Martins work is among the best I have seen." - Roy Snell , CEO, Society of Corporate Compliance and Ethics "Martin slices through the confusion surrounding corporate compliance and offers not only useful guidelines, but a step-by-step approach to establishing an effective program. Building a World-Class Compliance Program is essential for anyone concerned with compliance and ethics within organizations." - James D. Ratley , CFE President, Association of Certified Fraud Examiners "Martin Biegelman, with strong contributions from Daniel Biegelman, provides businesspeople with an exceptionally important book in Building a World-Class Compliance Program: Best Practices and Strategies for Success . This book clearly demonstrates how value is added to companies who get it right in this vital aspect of business. Each chapter contains concrete examples of best practices ensuring compliance, backed by solid supporting examples. Together, they interview some of the best authorities in this field, and draw from Martins experience as a federal law enforcement agent and executive." - Edward M. Stroz , Co-president of Stroz Friedberg, LLC, and former FBI special agent "Gone are the days when compliance programs were optional or companies could just have faith that none of their employees would go astray. Todays organizations need compliance programs and strategies in place. Martin Biegelman has written the consummate guide." - Joel Bartow , CFE, CPP, Director of Fraud Prevention and Investigations, Sitel Corporation
Main Description
Praise for Building A World-Class Compliance Program "The globalization of business and communications presents unprecedented opportunities for successful growth in many industries and for companies large and small. Conversely, the compliance challenges faced by businesses worldwide have never been more challenging. The urgency to develop a world-class compliance program has never been greater. This book is a must for all companies facing today and tomorrow's compliance challenge." -John Connors, Partner at Ignition Partners and former CFO, Microsoft Corporation "Unbiased, well researched, comprehensive, and interesting.A great resource for compliance professionals and a great read for CEOs, management, and board members who care about doing the right thing. I have been involved with the production of over 150 compliance articles, books, magazines, and newsletters, and Martin's work is among the best I have seen." -Roy Snell, CEO, Society of Corporate Compliance and Ethics "Martin slices through the confusion surrounding corporate compliance and offers not only useful guidelines, but a step-by-step approach to establishing an effective program. Building a World-Class Compliance Program is essential for anyone concerned with compliance and ethics within organizations." -James D. Ratley, CFE President, Association of Certified Fraud Examiners "Martin Biegelman, with strong contributions from Daniel Biegelman, provides businesspeople with an exceptionally important book in Building a World-Class Compliance Program: Best Practices and Strategies for Success. This book clearly demonstrates how value is added to companies who get it right in this vital aspect of business. Each chapter contains concrete examples of best practices ensuring compliance, backed by solid supporting examples. Together, they interview some of the best authorities in this field, and draw from Martin's experience as a federal law enforcement agent and executive." -Edward M. Stroz, Co-president of Stroz Friedberg, LLC, and former FBI special agent "Gone are the days when compliance programs were optional or companies could just have faith that none of their employees would go astray. Today's organizations need compliance programs and strategies in place. Martin Biegelman has written the consummate guide." -Joel Bartow, CFE, CPP, Director of Fraud Prevention and Investigations, Sitel Corporation
Main Description
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.
Table of Contents
Forewordp. xi
Prefacep. xiii
Acknowledgmentsp. xvii
About the Authorp. xix
Why Ethics and Compliance Will Always Matterp. 1
Tone at the Top and Throughoutp. 25
The Growth and Evolution of Compliancep. 45
Caremark and Sarbanes-Oxley: Enhancing Compliancep. 71
CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Stealp. 87
The International Landscape of Compliancep. 107
Compliance Programs and Anti-Money Laundering Effortsp. 131
About the Chapter Authorsp. 148
Interview with an Ethics and Compliance Thought Leaderp. 149
Building a World-Class Compliance Program: The Seven Steps in Practice (Part I)p. 163
Building a World-Class Compliance Program: The Seven Steps in Practice (Part II)p. 191
Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Awardp. 219
Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Planp. 233
The Skunk in the Roomp. 257
Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Stepsp. 269
Sample Compliance Program Charterp. 277
Resources for Compliance Professionalsp. 283
Indexp. 291
Table of Contents provided by Ingram. All Rights Reserved.

This information is provided by a service that aggregates data from review sources and other sources that are often consulted by libraries, and readers. The University does not edit this information and merely includes it as a convenience for users. It does not warrant that reviews are accurate. As with any review users should approach reviews critically and where deemed necessary should consult multiple review sources. Any concerns or questions about particular reviews should be directed to the reviewer and/or publisher.

  link to old catalogue

Report a problem