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Building a World-Class Compliance Program

Building a World-Class Compliance Program Best Practices and Strategies for Success

Author: Martin T. Biegelman ; Daniel R. Biegelman
Publisher: John Wiley & Sons
ISBN: 9780470114780
Published In: March 2008
Format: Hardback , 298 pages
Jurisdiction: International or US ? Disclaimer:
Countri(es) stated herein are used as reference only

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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.

Reviews

"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

Foreword.

Preface.

Acknowledgments.

About the Author.

CHAPTER 1: Why Ethics and Compliance Will Always Matter.

CHAPTER 2: Tone at the Top and Throughout.

CHAPTER 3: The Growth and Evolution of Compliance.

CHAPTER 4: Caremark and Sarbanes-Oxley: Enhancing Compliance.

CHAPTER 5: CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal.

CHAPTER 6: The International Landscape of Compliance.

CHAPTER 7: Compliance Programs and Anti-Money Laundering Efforts (Marc B. Sherman, Laura Connor, and David Meilstrup)

About the Chapter Authors.

CHAPTER 8: Interview with an Ethics and Compliance Thought Leader.

CHAPTER 9: Building a World-Class Compliance Program: The Seven Steps in Practice (Part I).

CHAPTER 10: Building a World-Class Compliance Program: The Seven Steps in Practice (Part II).

CHAPTER 11: Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award.

CHAPTER 12: Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan.

CHAPTER 13: The Skunk in the Room.

Appendix A: Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps.

Appendix B: Sample Compliance Program Charter.

Appendix C: Resources for Compliance Professionals.

Index.

Martin T. Biegelman has been fighting fraud for more than thirty years in various roles in law enforcement, consulting, and the corporate sector. He is currently Director of Financial Integrity for Microsoft Corporation, where he built and leads a worldwide fraud detection, investigation, and prevention program. Biegelman is a Certified Fraud Examiner and a sought-after speaker and author on white-collar crime, corruption, fraud prevention, and compliance issues. He is the coauthor of Executive Roadmap to Fraud Prevention and Internal Control, also published by Wiley.