Strategies For Compliance

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Strategies for Compliance

Author : Alan Brener
Publisher : Routledge
ISBN 13 : 1000320243
Total Pages : 299 pages
Book Rating : 4.0/5 (3 download)

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Book Synopsis Strategies for Compliance by : Alan Brener

Download or read book Strategies for Compliance written by Alan Brener and published by Routledge. This book was released on 2020-12-20 with total page 299 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

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.

Strategies of Compliance with the European Court of Human Rights

Author : Andreas von Staden
Publisher : University of Pennsylvania Press
ISBN 13 : 0812295153
Total Pages : 349 pages
Book Rating : 4.8/5 (122 download)

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Book Synopsis Strategies of Compliance with the European Court of Human Rights by : Andreas von Staden

Download or read book Strategies of Compliance with the European Court of Human Rights written by Andreas von Staden and published by University of Pennsylvania Press. This book was released on 2018-05-02 with total page 349 pages. Available in PDF, EPUB and Kindle. Book excerpt: In Strategies of Compliance with the European Court of Human Rights, Andreas von Staden looks at the nature of human rights challenges in two enduring liberal democracies—Germany and the United Kingdom. Employing an ambitious data set that covers the compliance status of all European Court of Human Rights judgments rendered until 2015, von Staden presents a cross-national overview of compliance that illustrates a strong correlation between the quality of a country's democracy and the rate at which judgments have met compliance. Tracing the impact of violations in Germany and the United Kingdom specifically, he details how governments, legislators, and domestic judges responded to the court's demands for either financial compensation or changes to laws, policies, and practices. Framing his analysis in the context of the long-standing international relations debate between rationalists who argue that actions are dictated by an actor's preferences and cost-benefit calculations, and constructivists, who emphasize the influence of norms on behavior, von Staden argues that the question of whether to comply with a judgment needs to be analyzed separately from the question of how to comply. According to von Staden, constructivist reasoning best explains why Germany and the United Kingdom are motivated to comply with the European Court of Human Rights judgments, while rationalist reasoning in most cases accounts for how these countries bring their laws, policies, and practices into sufficient compliance for their cases to be closed. When complying with adverse decisions while also exploiting all available options to minimize their domestic impact, liberal democracies are thus both norm-abiding and rational-instrumentalist at the same time—in other words, they choose their compliance strategies rationally within the normative constraint of having to comply with the Court's judgments.

Maintenance Management and Regulatory Compliance Strategies

Author : Terry Wireman
Publisher : Industrial Press Inc.
ISBN 13 : 9780831131272
Total Pages : 362 pages
Book Rating : 4.1/5 (312 download)

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Book Synopsis Maintenance Management and Regulatory Compliance Strategies by : Terry Wireman

Download or read book Maintenance Management and Regulatory Compliance Strategies written by Terry Wireman and published by Industrial Press Inc.. This book was released on 2003 with total page 362 pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulatory agencies and their requirements.

Essential Strategies for Financial Services Compliance

Author : Annie Mills
Publisher : John Wiley & Sons
ISBN 13 : 1118906136
Total Pages : 403 pages
Book Rating : 4.1/5 (189 download)

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Book Synopsis Essential Strategies for Financial Services Compliance by : Annie Mills

Download or read book Essential Strategies for Financial Services Compliance written by Annie Mills and published by John Wiley & Sons. This book was released on 2015-11-16 with total page 403 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Strategies for Success

Author : Tanya McCartney
Publisher : Bookbaby
ISBN 13 : 9781543992755
Total Pages : 0 pages
Book Rating : 4.9/5 (927 download)

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Book Synopsis Strategies for Success by : Tanya McCartney

Download or read book Strategies for Success written by Tanya McCartney and published by Bookbaby. This book was released on 2020-01-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The role of the compliance professional in the financial services industry is of critical importance. It can make the difference between having a licence to facilitate business and being caught in a scandal which threatens the very survival of a firm. Financial instutions are mandated by law to have qualified persons serve in senior leadership positions such as the BSA Officer, Money Laundering Reporting and Compliance Officer. These roles require technical competence with a clear understanding of the law and regulations, company policy and procedures as well as global trends impacting the business. Equally important are the key leadership skills needed to succeed in such a role. Technical skills are simply not enough. A successful compliance professional is a leader who can build relationships, inspire a team and add value in the creation of a culture of compliance.This book is for persons who are in an anti-money laundering position, engaged in any way in the fight against financial crime or responsible for regulatory compliance. It is a practical guide for the compliance professional to aid in navigating the challenges which they face daily in risk management and mitigation. It is an effective resource that can be used when having to make difficult decisions or engaging in challenging conversations with colleagues. It should be your go-to when faced with a leadership challenge in your role.Sharpen your skills to perform roles and responsibilities as it relates to the compliance function. This resource is a useful and strategic guide for individuals wishing to enter the compliance field and those desiring to excel within the field. It answers the "how" in becoming a strong compliance leader and executing your mandate while cultivating the respect of your peers and those in the regulatory environment.

Reduce Carbon Compliance Costs:

Author : Mike Taylor
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781726032988
Total Pages : 108 pages
Book Rating : 4.0/5 (329 download)

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Book Synopsis Reduce Carbon Compliance Costs: by : Mike Taylor

Download or read book Reduce Carbon Compliance Costs: written by Mike Taylor and published by Createspace Independent Publishing Platform. This book was released on 2018-09-14 with total page 108 pages. Available in PDF, EPUB and Kindle. Book excerpt: Reduce Carbon Compliance CostsStrategies for California and Quebec facilities to reduce their compliance cost in the Carbon Cap and Trade Program. I have been tracking, trading, brokering and consulting in the environmental credit markets almost two decades in the United States and Canada. The California and Quebec carbon cap and trade program is by far the most complex system that exists for an environmental credit trading program. The target audience for this book is the environmental professionals or the procurement professionals who are managing the carbon cap and trade compliance for their facilities in California and Quebec. I am writing this book to provide a good overview of the program as well as to share some of the cost-cutting compliance strategies I have developed and deploy with my clients. From 2013 onwards, the Carbon Cap and Trade has added millions of dollars of cost to the many facilities located in California and Quebec that emit more than 25,000 tons of CO2e per year. The rules are complex and change almost yearly. Environmental professionals at these facilities already had a full-time job complying with all the other existing environmental regulations for their facilities before these carbon cap and trade programs were thrust upon them. Now they must also deal with coming to understand more than 400 pages of regulation in California and 117 pages in Quebec. This is a daunting task, to say the least. It is extremely difficult for an environmental professional to become an expert on all existing regulations, keep track of and analyze future potential regulation changes, track the trading market, become an expert on all the trading structures available in the evolving market, recommend the best trading strategies, and then execute the trades. This book will assist the environmental professionals and procurement professionals by providing an overview of the key elements of the carbon cap and trade regulations. In these pages you will find real-life trading strategies that will reduce the cost of compliance and, depending on the size of your facility, the savings could shave millions of dollars off your compliance costs which adds directly to the bottom line of the company's profitability.

Compliance Strategy for Regulators

Author : Telita Snyckers-Norgaard
Publisher :
ISBN 13 : 9781484105337
Total Pages : 210 pages
Book Rating : 4.1/5 (53 download)

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Book Synopsis Compliance Strategy for Regulators by : Telita Snyckers-Norgaard

Download or read book Compliance Strategy for Regulators written by Telita Snyckers-Norgaard and published by . This book was released on 2013-04-12 with total page 210 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance Strategy for Regulators is the first comprehensive overview for regulators and public policy makers in pursuit of compliance.Content includes:Why Regulators Need Carrots Relationships Have Value Compliance IS A Choice Enforcement Is Expensive Making Compliance A Community Asset From Satisfied To Loyal, From Loyal To Advocate Challenges Facing Regulators Generally The Importance Of Productivity The Importance Of Engagement Research & Benchmarking On-Going Research & Benchmarking It's About "Right For Us" Practices Benchmarking Caveats Segmentation Why Segmentation Is Important In What Ways Do Segments Tend To Differ? Developing A Segmentation Model Not "One-Size-Fits-All" Current State Assessments A Continuous Line Of Sight Regulatory Reform Trends What Does A Good Regulator Look Like? General Compliance Trends Compliance Philosophy The Player's Universe - Biseps + Shaping The Likelihood Of Compliance Attitudes & Behaviours A Word On Compliance Models Generic Compliance Philosophy Compliance Strategy Developing A Generic Compliance Strategy Shifts In Compliance Strategy Thinking Generic Compliance Strategy: Tools Changing The Context Strategy For Interacting With Individuals A Caveat In Respect Of "Headlines Only" Strategies Right From The Start Targeted Communications Leveraging Mainstream Media Publishing An Issues List Publishing A "Guide To Engaging With Us" Key Compliance Messages Compliance Communications Campaign Principles Communications: A Little Bit Of Science Research To Replicate And Test A Quick Look At Some Websites Getting It Right Social Media Top Tips For Social Education Research Findings Picking The Right Education Channels And Tools Focus On New BusinessLeverage Third Parties Financial And Digital Literacy Factors That Limit Effectiveness Of Education Audits - Creating A Credible Threat Of Detection A New Role For Audits Compliance Checks Risk Based Case Selection Random Audits Cyclical Audits Computer Assisted Audits Making Audits More Effective Imposing Penalties After An Audit Compliance Communications Campaigns Audits - Research Findings Penalties And Other Administrative Punishments Using Audits With Some Caution... Industry-Wide Campaigns How Would We Approach An Industry-Wide Intervention? Internal, Quantitative Indicators What About Qualitative Indicators? Monetary Gap Studies Industry-Wide Campaigns: Choosing Appropriate Options What Generic Options Do Regulators Typically Have? Finding Specific, More Focused Interventions Volume Of Cases Vis-A-Vis Level Of Priority Macro Reviews Measurement And Tracking A Measurement Philosophy What We Should Be Measuring The Difference Between Output, Outcome Measures The Importance Of Tracking Attitudes Impacts Beyond The Immediate Target Group Generic Measures Framework Dangers To Be Mindful Of Examples Of Operational Measures .If you are in the business of regulatory compliance, this is a must-have companion.

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

Compliance Management for Public, Private, or Non-Profit Organizations

Author : Michael G. Silverman
Publisher : McGraw Hill Professional
ISBN 13 : 0071642862
Total Pages : 338 pages
Book Rating : 4.0/5 (716 download)

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Book Synopsis Compliance Management for Public, Private, or Non-Profit Organizations by : Michael G. Silverman

Download or read book Compliance Management for Public, Private, or Non-Profit Organizations written by Michael G. Silverman and published by McGraw Hill Professional. This book was released on 2008-04-13 with total page 338 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Strategic Dimensions of Compliance Gaining Strategies

Author : Timothy David Cole
Publisher :
ISBN 13 :
Total Pages : 468 pages
Book Rating : 4.:/5 (84 download)

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Book Synopsis Strategic Dimensions of Compliance Gaining Strategies by : Timothy David Cole

Download or read book Strategic Dimensions of Compliance Gaining Strategies written by Timothy David Cole and published by . This book was released on 1993 with total page 468 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Compliance Management

Author : Nitish Singh Ph.D.
Publisher : Bloomsbury Publishing USA
ISBN 13 :
Total Pages : 318 pages
Book Rating : 4.2/5 (16 download)

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Book Synopsis Compliance Management by : Nitish Singh Ph.D.

Download or read book Compliance Management written by Nitish Singh Ph.D. and published by Bloomsbury Publishing USA. This book was released on 2015-03-10 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

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.

The Regulatory Compliance Matrix: Regulation of Financial Services, Information and Communication Technology, and Generally Related Matters

Download The Regulatory Compliance Matrix: Regulation of Financial Services, Information and Communication Technology, and Generally Related Matters PDF Online Free

Author : Guido Reinke
Publisher : Gold Rush Publishing
ISBN 13 : 9781908585059
Total Pages : 298 pages
Book Rating : 4.5/5 (85 download)

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Book Synopsis The Regulatory Compliance Matrix: Regulation of Financial Services, Information and Communication Technology, and Generally Related Matters by : Guido Reinke

Download or read book The Regulatory Compliance Matrix: Regulation of Financial Services, Information and Communication Technology, and Generally Related Matters written by Guido Reinke and published by Gold Rush Publishing. This book was released on 2015-07-31 with total page 298 pages. Available in PDF, EPUB and Kindle. Book excerpt: This exceptional guidebook is ideal for industry professionals, regulators and scholars in the domain of regulatory governance. The Regulatory Compliance Matrix with more than 2500 entries brings clarity to a domain which is widely considered to be complex, unstructured, and in constant flux. It is a compendious guide to the laws, regulations, standards, and recommendations applicable to compliance programmes. What practitioners find in this book will empower them to save money, man-hours, and consultancy interventions. Inside, the reader will find the following key resources: Regulatory Compliance Matrix: a synopsis of the principal domains of applicable regulation, setting forth legal norms, ancillary standards and guidelines. This Matrix covers the laws and regulations specific to financial services (Part I) and information and communications technology (Part II) at the global and European as well at the UK national and sub-national level. Part III of the Matrix covers generally applicable regulatory domains like corporate governance, consumer protection and employment law, information security, data protection and electronic commerce. Regulatory authorities: a comprehensive listing with descriptions of authorities who define the regulatory agenda. Weblinks are provided for each authority, which enables the reader to access the latest regulatory developments and updates. Overview of the conduct of effective compliance programmes: a pragmatic approach to the entire process, from scoping and prioritisation, conducting risk assessments, defining control activities and reporting requirements; to undertaking effectiveness reviews, documenting findings and making recommendations; to assessing compliance maturity and creating action plans. Non-compliance costs checklist: a detailed list of financial, operational, personal, and regulatory risks. This will assist readers with risk assessment and prioritisation of compliance domains."

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.

Modern Compliance

Author : John H. Walsh
Publisher :
ISBN 13 : 9780808048220
Total Pages : pages
Book Rating : 4.0/5 (482 download)

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Book Synopsis Modern Compliance by : John H. Walsh

Download or read book Modern Compliance written by John H. Walsh and published by . This book was released on 2017-10-15 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

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.