Description
Book SynopsisWritten 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 ContentsForeword xi
Preface xiii
Acknowledgments xvii
About the Author xix
CHAPTER 1 Why Ethics and Compliance Will Always Matter 1
CHAPTER 2 Tone at the Top and Throughout 25
CHAPTER 3 The Growth and Evolution of Compliance 45
CHAPTER 4 Caremark and Sarbanes-Oxley: Enhancing Compliance 71
CHAPTER 5 CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal 87
CHAPTER 6 The International Landscape of Compliance 107
CHAPTER 7 Compliance Programs and Anti-Money Laundering Efforts 131
By Marc B. Sherman, Laura Connor, and David Meilstrup
About the Chapter Authors 148
CHAPTER 8 Interview with an Ethics and Compliance Thought Leader 149
CHAPTER 9 Building a World-Class Compliance Program: The Seven Steps in Practice (Part I) 163
CHAPTER 10 Building a World-Class Compliance Program: The Seven Steps in Practice (Part II) 191
CHAPTER 11 Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award 219
CHAPTER 12 Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan 233
CHAPTER 13 The Skunk in the Room 257
Appendix A: Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps 269
Appendix B: Sample Compliance Program Charter 277
Appendix C: Resources for Compliance Professionals 283
Index 291
