Author: Alan Brener
Publisher: Routledge
ISBN: 1000320243
Category : Business & Economics
Languages : en
Pages : 299
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Book Description
Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.
Author: Martin T. Biegelman
Publisher: John Wiley & Sons
ISBN: 0470278404
Category : Business & Economics
Languages : en
Pages : 320
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Book 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.
Author: Terry Wireman
Publisher: Industrial Press Inc.
ISBN: 9780831131272
Category : Business & Economics
Languages : en
Pages : 362
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Book Description
Regulatory agencies and their requirements.
Author: Annie Mills
Publisher: John Wiley & Sons
ISBN: 1118906195
Category : Business & Economics
Languages : en
Pages : 400
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Book Description
A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.
Author: Michael G. Silverman
Publisher: McGraw Hill Professional
ISBN: 0071642862
Category : Business & Economics
Languages : en
Pages : 338
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Book Description
In today’s business climate, accountability, transparency, and a high regard for laws, regulations, and ethical conduct is as much a part of how an organization manages its affairs as its primary mission and operations. Compliance Management for Public, Private, or Nonprofit Organizations is a complete, hands-on guide to implementing strategies and techniques for developing, managing, and improving the compliance function of any organization. Author Michael G. Silverman is a corporate expert in strategic planning, program management, compliance, risk assessment, and policy development. In Compliance Management for Public, Private, or Nonprofit Organizations, he presents a comprehensive treatment of the subject by examining the traditional compliance issues associated with laws and regulations, as well as matters surrounding ethical behavior, organizational structure, technology, administration, and risk management. From establishing compliance goals and managing education and training programs to operating a whistle-blowing program and addressing staffing and budgeting requirements, this practical resource covers everything compliance officers and risk and organizational managers need to know, including: Where and how to establish a compliance program within an organization The critical skills and expertise for maintaining an effective compliance program Pros and cons of making a compliance program a part-time function of an organization How to deliver bad news to senior management—and survive Compliance Management for Public, Private, or Nonprofit Organizations includes a wealth of examples that illustrate the real-world applications of critical strategies and techniques for using the board of directors and senior management to promote compliance, reduce employee and management barriers to compliance, conduct in-depth risk assessment and compliance audits, and more.
Author: LORI L. DESAUTELS
Publisher:
ISBN: 9781948018890
Category :
Languages : en
Pages : 312
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Book Description
The developing brains of our children need to "feel" safe. Children who carry chronic behavioral challenges are often met with reactive and punitive practices that can potentially reactivate the developing stress response systems. This book deeply addresses the need for co-regulatory and relational touch point practices, shifting student-focused behavior management protocols to adult regulated brain and body states which are brain aligned, preventive, and relational discipline protocols. This new lens for discipline benefits all students by reaching for sustainable behavioral changes through brain state awareness rather than compliance and obedience.
Author: Nitish Singh Ph.D.
Publisher: Bloomsbury Publishing USA
ISBN:
Category : Business & Economics
Languages : en
Pages : 318
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Book Description
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.
Author: Steven R Wilson
Publisher: SAGE Publications
ISBN: 145226435X
Category : Language Arts & Disciplines
Languages : en
Pages : 409
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Book Description
Why do individuals say what they do during everyday face-to-face influence interactions? How do people seek or resist compliance in different relational, institutional, and cultural contexts? Linking theory and research to salient, real life examples and recent academic studies, Steven Wilson introduces the reader to the theories, systems of message analysis, complexities and nuances of interpersonal persuasion. Seeking and Resisting Compliance is the only single-authored, interdisciplinary text to explore compliance gaining and resistance from a message production perspective. This incisive, clearly written text is ideal for students, scholars, and anyone interested in interpersonal influence and persuasion in everyday interactions. Recommended for graduate and upper-level undergraduate courses in persuasion as well as special topics courses in interpersonal influence, social psychology, and sociolinguistics. Features of this text: Ground breaking, specific focus on message production as opposed to only message effects. Multiple theoretical perspectives are presented and the vast body of research from communication, psychology, linguistics, philosophy and related fields is reviewed. Student-friendly pedagogy, such as definitions, examples, and sections describing "common assumptions" about various theories engage students and highlight important concepts. Steven Wilson currently is an Associate Professor and Director of Graduate Studies in the Department of Communication at Purdue University. He is one of five associate editors for the interdisciplinary journal Personal Relationships, and past chair of the International Communication Association's Interpersonal Communication division. His research and teaching focus on interpersonal influence and message production in a variety of contexts, from parent-child interaction in abusive families to intercultural business negotiations. He has published nearly forty articles and book chapters on these topics.
Author: Richard M. Steinberg
Publisher: John Wiley & Sons
ISBN: 1118024303
Category : Business & Economics
Languages : en
Pages : 339
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Book Description
An expert's insider secrets to how successful CEOs and directors shape, lead, and oversee their organizations to achieve corporate goals Governance, Risk Management, and Compliance shows senior executives and board members how to ensure that their companies incorporate the necessary processes, organization, and technology to accomplish strategic goals. Examining how and why some major companies failed while others continue to grow and prosper, author and internationally recognized expert Richard Steinberg reveals how to cultivate a culture, leadership process and infrastructure toward achieving business objectives and related growth, profit, and return goals. Explains critical factors that make compliance and ethics programs and risk management processes really work Explores the board's role in overseeing corporate strategy, risk management, CEO compensation, succession planning, crisis planning, performance measures, board composition, and shareholder communications Highlights for CEOs, senior management teams, and board members the pitfalls to avoid and what must go right for success Outlines the future of corporate governance and what's needed for continued effectiveness Written by well-known corporate governance and risk management expert Richard Steinberg Governance, Risk Management, and Compliance lays a sound foundation and provides critical insights for understanding the role of governance, risk management, and compliance and its successful implementation in today's business environment.
Author: Benjamin van Rooij
Publisher: Cambridge University Press
ISBN: 1108754139
Category : Law
Languages : en
Pages : 1559
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Book Description
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.
