Compliance

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SEC Compliance and Enforcement Answer Book 2015

Author : David M. Stuart
Publisher :
ISBN 13 : 9781402424717
Total Pages : 0 pages
Book Rating : 4.4/5 (247 download)

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Book Synopsis SEC Compliance and Enforcement Answer Book 2015 by : David M. Stuart

Download or read book SEC Compliance and Enforcement Answer Book 2015 written by David M. Stuart and published by . This book was released on 2015-08-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.

The Cambridge Handbook of Compliance

Author : Benjamin van Rooij
Publisher : Cambridge University Press
ISBN 13 : 1108754139
Total Pages : 1559 pages
Book Rating : 4.1/5 (87 download)

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Book Synopsis The Cambridge Handbook of Compliance by : Benjamin van Rooij

Download or read book The Cambridge Handbook of Compliance written by Benjamin van Rooij and published by Cambridge University Press. This book was released on 2021-05-20 with total page 1559 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Complete Healthcare Compliance Manual 2021

Author :
Publisher :
ISBN 13 : 9781733598750
Total Pages : pages
Book Rating : 4.5/5 (987 download)

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Book Synopsis Complete Healthcare Compliance Manual 2021 by :

Download or read book Complete Healthcare Compliance Manual 2021 written by and published by . This book was released on 2021-04 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Patient Compliance with Medications

Author : Richard Schulz
Publisher : CRC Press
ISBN 13 : 9780789026101
Total Pages : 254 pages
Book Rating : 4.0/5 (261 download)

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Book Synopsis Patient Compliance with Medications by : Richard Schulz

Download or read book Patient Compliance with Medications written by Richard Schulz and published by CRC Press. This book was released on 2007-03-26 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt: Improve your patient’s health through a fresh view of their behaviors Patients who use over-the-counter (OTC) and prescription medicine often do not take the drugs as intended, sometimes to the detriment to their health and well-being. These widespread problems cause health professionals to agonize over how to try to make sure patients comply with medication instructions. Patient Compliance with Medication: Issues and Opportunities tackles this tough issue by exploring in detail the range of noncompliance behavior, the negative impacts the behavior has on patients as well as society at large, and practical ways to influence people to take their medicine for optimum health. Respected pharmacist and author Jack Fincham and other noted experts provide insights, surprising data, and effective solutions to a challenge nearly all health professionals encounter. Patients often use drugs they get from a multitude of sources, making the capability of monitoring drug use difficult. Other problems can also interfere with a patient’s health, such as a patient borrowing drugs from family or friends—or even not taking them at all simply because he or she are unable to pay for them. Patient Compliance with Medication: Issues and Opportunities goes beyond the standard pat explanations and mostly ineffective quick solutions usually offered for the complicated noncompliance issue. Leading authorities describe the range of reasons for a patient’s behavior and provide practical strategies that strike at the root of the problem. Helpful tables, figures, and extensive references are also included. Topics in Patient Compliance with Medication: Issues and Opportunities include: the prevalence of noncompliance costs of noncompliance drug therapies that lead to noncompliance measuring compliance models to evaluate patient compliance evaluation methods ethical considerations health professionals’ roles in compliance disease state management future considerations much more Patient Compliance with Medication: Issues and Opportunities is insightful, crucial information for health professionals, educators, and students.

Connections Over Compliance

Author : LORI L. DESAUTELS
Publisher :
ISBN 13 : 9781948018890
Total Pages : 312 pages
Book Rating : 4.0/5 (188 download)

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Book Synopsis Connections Over Compliance by : LORI L. DESAUTELS

Download or read book Connections Over Compliance written by LORI L. DESAUTELS and published by . This book was released on 2021-01-05 with total page 312 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Pharmaceutical Compliance and Enforcement Answer Book

Author : Howard L. Dorfman
Publisher :
ISBN 13 : 9781402446047
Total Pages : 0 pages
Book Rating : 4.4/5 (46 download)

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Book Synopsis Pharmaceutical Compliance and Enforcement Answer Book by : Howard L. Dorfman

Download or read book Pharmaceutical Compliance and Enforcement Answer Book written by Howard L. Dorfman and published by . This book was released on 2024 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Does Compliance Matter in Special Education?

Author : Catherine Kramarczuk Voulgarides
Publisher : Teachers College Press
ISBN 13 : 0807759015
Total Pages : 177 pages
Book Rating : 4.8/5 (77 download)

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Book Synopsis Does Compliance Matter in Special Education? by : Catherine Kramarczuk Voulgarides

Download or read book Does Compliance Matter in Special Education? written by Catherine Kramarczuk Voulgarides and published by Teachers College Press. This book was released on 2018-04-20 with total page 177 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book asks a question that many educators may think, but won’t say out loud: Does compliance with IDEA legislation matter? The author acknowledges that, while compliance with IDEA (Individuals with Disabilities Education Act) is important, it can also be an administrative burden that detracts from practitioners’ capacity to adequately serve students with disabilities. Using data collected from three suburban school districts, Voulgarides helps us to understand how compliance with IDEA intersects with decades of evidence of racial inequities in student outcomes. This timely and thought-provoking book unpacks the civil rights history of IDEA, examines the impact of its procedural focus on educational practice, and questions why racial inequities in special education persist despite good intentions by policymakers, educators, and school personnel. Book Features: Uses empirical evidence to examine the common assumption that compliance with IDEA leads to educational equity. Focuses on the different dimensions of the equity concern that lie at the intersection between race, disability, and educational policy. Challenges practitioners to think about the roles they play in both the production and the disruption of educational inequities.

Data Protection and Compliance in Context

Author : Stewart Room
Publisher : BCS, The Chartered Institute
ISBN 13 : 9781902505787
Total Pages : 274 pages
Book Rating : 4.5/5 (57 download)

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Book Synopsis Data Protection and Compliance in Context by : Stewart Room

Download or read book Data Protection and Compliance in Context written by Stewart Room and published by BCS, The Chartered Institute. This book was released on 2007 with total page 274 pages. Available in PDF, EPUB and Kindle. Book excerpt: Large-scale data loss continues to make headline news, highlighting the need for stringent data protection policies, especially when personal or commercially sensitive information is at stake. This book provides detailed analysis of current data protection laws and discusses compliance issues, enabling the reader to construct a platform on which to build internal compliance strategies. The author is chair of the National Association of Data Protection Officers (NADPO).

Governance, Risk Management, and Compliance

Author : Richard M. Steinberg
Publisher : John Wiley & Sons
ISBN 13 : 1118024303
Total Pages : 339 pages
Book Rating : 4.1/5 (18 download)

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Book Synopsis Governance, Risk Management, and Compliance by : Richard M. Steinberg

Download or read book Governance, Risk Management, and Compliance written by Richard M. Steinberg and published by John Wiley & Sons. This book was released on 2011-08-02 with total page 339 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Building a World-Class Compliance Program

Author : Martin T. Biegelman
Publisher : John Wiley & Sons
ISBN 13 : 0470278404
Total Pages : 320 pages
Book Rating : 4.4/5 (72 download)

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Book Synopsis Building a World-Class Compliance Program by : Martin T. Biegelman

Download or read book Building a World-Class Compliance Program written by Martin T. Biegelman and published by John Wiley & Sons. This book was released on 2008-06-20 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Fully Compliant

Author : Travis Waugh
Publisher : Association for Talent Development
ISBN 13 : 194730836X
Total Pages : 270 pages
Book Rating : 4.9/5 (473 download)

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Book Synopsis Fully Compliant by : Travis Waugh

Download or read book Fully Compliant written by Travis Waugh and published by Association for Talent Development. This book was released on 2019-06-25 with total page 270 pages. Available in PDF, EPUB and Kindle. Book excerpt: A Better Kind of Compliance Training Compliance training succeeds when you balance an organization’s legal responsibilities with the real needs of the employees who you hope will learn and change their behavior. In Fully Compliant, Travis Waugh challenges traditional compliance training that focuses only on the legal risk of failing to comply with a specific mandate. With an ever-increasing number of compliance subjects to address, such programs are unsustainable. Instead, organizations must design compliance programs that serve a higher, broader purpose and build robust, resilient cultures focusing on integrity and ethics learning. Optimal compliance programs are flexible and create real learning experiences that change real behavior, thus diminishing the chance of misconduct in the first place. This book connects the three levers of human behavior—context, habit, and motivation— to help organizations craft holistic compliance training programs that do far more than check a box. It identifies ways to pick up small but meaningful wins in turning around an existing compliance program or designing a new course, which can turn stakeholders from skeptics into learning champions. And it offers an eight-step road map for implementing your own compliance learning plan. With this book, you’ll be able to: Create behavior-based compliance training that generates measurable benefits. Make compliance training more engaging and impactful, not one-size-fits-all. Remain relevant as advances in technology shift compliance expectations in the years ahead. By putting the learner first, you can develop compliance that stick

PCI Compliance

Author : Anton Chuvakin
Publisher : Elsevier
ISBN 13 : 1597495395
Total Pages : 367 pages
Book Rating : 4.5/5 (974 download)

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Book Synopsis PCI Compliance by : Anton Chuvakin

Download or read book PCI Compliance written by Anton Chuvakin and published by Elsevier. This book was released on 2009-11-13 with total page 367 pages. Available in PDF, EPUB and Kindle. Book excerpt: PCI Compliance: Understand and Implement Effective PCI Data Security Standard Compliance, Second Edition, discusses not only how to apply PCI in a practical and cost-effective way but more importantly why. The book explains what the Payment Card Industry Data Security Standard (PCI DSS) is and why it is here to stay; how it applies to information technology (IT) and information security professionals and their organization; how to deal with PCI assessors; and how to plan and manage PCI DSS project. It also describes the technologies referenced by PCI DSS and how PCI DSS relates to laws, frameworks, and regulations.This book is for IT managers and company managers who need to understand how PCI DSS applies to their organizations. It is for the small- and medium-size businesses that do not have an IT department to delegate to. It is for large organizations whose PCI DSS project scope is immense. It is also for all organizations that need to grasp the concepts of PCI DSS and how to implement an effective security framework that is also compliant. - Completely updated to follow the PCI DSS standard 1.2.1 - Packed with help to develop and implement an effective security strategy to keep infrastructure compliant and secure - Both authors have broad information security backgrounds, including extensive PCI DSS experience

Regulatory Compliance Fundamentals

Author : M.L. Humphrey
Publisher : M.L. Humphrey
ISBN 13 :
Total Pages : 68 pages
Book Rating : 4./5 ( download)

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Book Synopsis Regulatory Compliance Fundamentals by : M.L. Humphrey

Download or read book Regulatory Compliance Fundamentals written by M.L. Humphrey and published by M.L. Humphrey. This book was released on 2020-01-02 with total page 68 pages. Available in PDF, EPUB and Kindle. Book excerpt: We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role. In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to understand manner. If your role is in regulatory compliance, no matter how long you've been at this, this book is for you. keywords: regulatory compliance, financial services regulation, AML, OFAC, broker-dealer, how to comply with regulatory requirements, compliance program, reputational risk, business ethics

The Accidental Compliance Professional

Author : Roy Snell
Publisher :
ISBN 13 : 9781733598606
Total Pages : pages
Book Rating : 4.5/5 (986 download)

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Book Synopsis The Accidental Compliance Professional by : Roy Snell

Download or read book The Accidental Compliance Professional written by Roy Snell and published by . This book was released on 2019-04 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Web Accessibility

Author : Richard Rutter
Publisher : Apress
ISBN 13 : 1430201886
Total Pages : 686 pages
Book Rating : 4.4/5 (32 download)

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Book Synopsis Web Accessibility by : Richard Rutter

Download or read book Web Accessibility written by Richard Rutter and published by Apress. This book was released on 2007-03-19 with total page 686 pages. Available in PDF, EPUB and Kindle. Book excerpt: Web accessibility not just morally sound – there are legal obligations as well Very large potential audience, consisting of web developers and business managers Very little competition to this book

Manager's Guide to Compliance

Author : Anthony Tarantino
Publisher : John Wiley & Sons
ISBN 13 : 111842946X
Total Pages : 336 pages
Book Rating : 4.1/5 (184 download)

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Book Synopsis Manager's Guide to Compliance by : Anthony Tarantino

Download or read book Manager's Guide to Compliance written by Anthony Tarantino and published by John Wiley & Sons. This book was released on 2012-06-25 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance requirements are here to stay. Prepare your company for the growing challenge. A Wall Street Journal/Harris poll revealed that two thirds of investors express doubts in the ability of corporate boards of directors to provide effective oversight. In the shadow of recent global scandals involving businesses such as Parmalat and WorldCom, Manager's Guide to Compliance: Best Practices and Case Studies is essential reading for you, whether your organization is a major corporation or a small business. This timely handbook places U.S. and global regulatory information, as well as critical compliance guidance, in an easy-to-access format and helps you make sense of all the complex issues connected with fraud and compliance. "Wide perspectives and best practices combined deliver a punch that will knock your 'SOX' off! The author has blended together a critical mix necessary for effectively handling the requirements of SOX." —Rob Nance, Publisher, AccountingWEB, Inc. "Robust compliance and corporate governance is an absolute necessity in today's business environment. This new book by Anthony Tarantino is an authoritative guide to understanding and implementing compliance and regulatory requirements in the United States and around the world. From SOX to COSO to ERM, this book covers them all." —Martin T. Biegelman, Certified Fraud Examiner, Fellow and Regent Emeritus of the Association of Certified Fraud Examiners, and coauthor of Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance "If compliance wasn't difficult enough, now companies are faced with a barrage of technology vendors claiming to automate compliance as if it were a project. In his new book, Dr. Tarantino paints the reality of the situation: companies need to embrace the broader tenets of governance and use technology to embed governance policies and controls into their daily business processes. Only then can they gain business value from their compliance investments." —Chris Capdevila, CEO and cofounder, LogicalApps

Compliance in Multinational Corporations

Author : Fabian M. Teichmann
Publisher : Emerald Group Publishing
ISBN 13 : 1787568679
Total Pages : 155 pages
Book Rating : 4.7/5 (875 download)

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Book Synopsis Compliance in Multinational Corporations by : Fabian M. Teichmann

Download or read book Compliance in Multinational Corporations written by Fabian M. Teichmann and published by Emerald Group Publishing. This book was released on 2018-10-15 with total page 155 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance in Multinational Corporations explores phenomena such as bribery, money laundering, and terrorism financing. Including an empirical analysis of 100 expert interviews, it takes an innovative look at the perspectives of criminals and compliance experts to provide a long-lasting guide for compliance experts.