Compliance management for public, private or nonprofit organizations:
Gespeichert in:
| Beteilige Person: | |
|---|---|
| Format: | Buch |
| Sprache: | Englisch |
| Veröffentlicht: |
New York, NY [u.a.]
McGraw-Hill
2008
|
| Schlagwörter: | |
| Links: | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=016997352&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| Umfang: | XVIII, 315 S. Ill. |
| ISBN: | 9780071496407 0071496408 |
Internformat
MARC
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|---|---|---|---|
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| 650 | 4 | |a Recht | |
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| 650 | 4 | |a Nonprofit organizations |z United States |x Management | |
| 650 | 4 | |a Corporate culture |z United States | |
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Datensatz im Suchindex
| _version_ | 1819347215997468672 |
|---|---|
| adam_text | Contents
Acknowledgments xiii
Introduction xv
Part I: Setting the Context
1 The Expanded Focus on Compliance 3
The Forces at Work 5
The Judiciary 6
The Legislative Response 10
The Expanding Role of Federal Agencies iz
State Governments 17
Government Examines Its Own Operations 18
The Nonprofit Sector 19
Private-Sector Oversight 21
Corporate Social Responsibility 21
Shareholders and NGOs 22
Global Telecommunications and the Internet 2j
Summary 28
2 The Mandate for Compliance 31
Regulatory Compliance 33
viii **¦ Contents
Internal Corporate Compliance Systems 37
The Private Sector and Organizational Compliance 39
The Nonprofit Sector 47
The Public Sector 50
Summary 52
Part II: The Foundations of Compliance
3 Compliance and Ethics:
Challenges and Approaches 55
Intertwined but Not Interchangeable Concepts 56
Motivations for Compliance 57
Barriers to Compliance 59
The Organizations Cultural Framework 61
Rules versus Integrity 63
Corporate Codes of Conduct 64
Creating an Ethical Culture: The Linchpin 70
Nonprofit Organizations 72
Public Sector 74
Summary 75
4 Leadership and Culture: The Foundations
of Compliance 77
The Legal and Regulatory Underpinnings 79
Self-Regulatory Organizations: New York Stock
Exchange 84
Boards of Directors 85
Nonprofit Organizations 92
Senior Management 96
Public-Sector Organizations 99
Summary 101
Part III: The Modern Compliance Organization
5 Managing Compliance: Goals and Structure 105
Designing the Compliance Program 106
Contents •«« ix
Government and Regulators Guidance 108
The Compliance Program Charter no
Features of a Modem Compliance Program 113
The Compliance Structure 116
Outsourcing Compliance 124
Coordinating the Compliance Program 127
Staffing the Compliance Program 131
The Role of the Chief Compliance Officer 134
Budgeting for the Compliance Program 141
Small and Medium-Sized Organizations 144
Summary 149
6 Policies, Communication, and Training 151
Policies and Procedures 151
Communication 158
Training 161
Summary 173
7 Hotlines, Whistle-Blowers, and Investigations 175
Whistle-Blowing Programs 175
Instituting a Whistle-Blowing Program 179
Managing Information 187
Tracking Inquiries 188
International Operations 189
Related Issues 189
Conducting Investigations 191
Summary 197
8 Information and Technology: Challenges
and Tools for Compliance 199
Federal Regulatory Requirements 200
State Regulatory Requirements 201
International Requirements 201
Technology Standards 202
The Challenge of Multiple Regulations 202
Creating a Multidimensional Compliance Framework 204
x *•¦ Contents
Privacy and Information Security 206
Third-Party Relationships and Outsourcing 211
Compliance Technology Tools 211
Education, Communication, and Training 213
Summary 214
9 Compliance and Oversight: Risk,
Monitoring, Audits, and Regulators 215
Compliance Risk 215
Regulatory Requirements 216
Standards-Setting Organizations 218
Governance and Compliance Risk 219
Compliance Risk Assessment Process 221
Compliance Monitoring and Audits 235
Regulators 243
Summary 245
10 Compliance and Controls 247
Government Regulations 248
Internal Control Regulation and the Public Sector 251
Self-Regulatory Organizations: New York Stock Exchange 251
Standards Setting Organizations: Committee of Sponsoring
Organizations of the Treadway Commission 252
The Internal Control Program 258
Summary 264
11 Evaluating Compliance 267
Criteria for Compliance Effectiveness 269
The Need for Evaluation 271
Techniques for Evaluating Compliance 2ji
Assessing Compliance Effectiveness 272
Postevaluation Actions 283
Summary 284
Contents ¦* xi
Part IV: The Future of Compliance
12 Compliance, Going Forward 287
B rief Retrospective 288
A Profession with Growing Pains 288
At the Crossroads 289
The Road Ahead 294
Resources 295
Index 299
|
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| dewey-search | 658.1/2 |
| dewey-sort | 3658.1 12 |
| dewey-tens | 650 - Management and auxiliary services |
| discipline | Wirtschaftswissenschaften |
| format | Book |
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| geographic | USA |
| geographic_facet | USA |
| id | DE-604.BV035190733 |
| illustrated | Illustrated |
| indexdate | 2024-12-20T13:25:16Z |
| institution | BVB |
| isbn | 9780071496407 0071496408 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-016997352 |
| oclc_num | 182573445 |
| open_access_boolean | |
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| owner_facet | DE-945 DE-521 |
| physical | XVIII, 315 S. Ill. |
| publishDate | 2008 |
| publishDateSearch | 2008 |
| publishDateSort | 2008 |
| publisher | McGraw-Hill |
| record_format | marc |
| spellingShingle | Silverman, Michael G. Compliance management for public, private or nonprofit organizations Recht Unternehmen Corporate governance United States Business enterprises United States Management Nonprofit organizations United States Management Corporate culture United States Corporate governance Law and legislation United States Business enterprises Law and legislation United States Nonprofit organizations Law and legislation United States Öffentliche Einrichtung (DE-588)4043143-5 gnd Unternehmen (DE-588)4061963-1 gnd Management (DE-588)4037278-9 gnd Compliance-System (DE-588)4442497-8 gnd Nonprofit-Organisation (DE-588)4293729-2 gnd |
| subject_GND | (DE-588)4043143-5 (DE-588)4061963-1 (DE-588)4037278-9 (DE-588)4442497-8 (DE-588)4293729-2 |
| title | Compliance management for public, private or nonprofit organizations |
| title_auth | Compliance management for public, private or nonprofit organizations |
| title_exact_search | Compliance management for public, private or nonprofit organizations |
| title_full | Compliance management for public, private or nonprofit organizations Michael G. Silverman |
| title_fullStr | Compliance management for public, private or nonprofit organizations Michael G. Silverman |
| title_full_unstemmed | Compliance management for public, private or nonprofit organizations Michael G. Silverman |
| title_short | Compliance management for public, private or nonprofit organizations |
| title_sort | compliance management for public private or nonprofit organizations |
| topic | Recht Unternehmen Corporate governance United States Business enterprises United States Management Nonprofit organizations United States Management Corporate culture United States Corporate governance Law and legislation United States Business enterprises Law and legislation United States Nonprofit organizations Law and legislation United States Öffentliche Einrichtung (DE-588)4043143-5 gnd Unternehmen (DE-588)4061963-1 gnd Management (DE-588)4037278-9 gnd Compliance-System (DE-588)4442497-8 gnd Nonprofit-Organisation (DE-588)4293729-2 gnd |
| topic_facet | Recht Unternehmen Corporate governance United States Business enterprises United States Management Nonprofit organizations United States Management Corporate culture United States Corporate governance Law and legislation United States Business enterprises Law and legislation United States Nonprofit organizations Law and legislation United States Öffentliche Einrichtung Management Compliance-System Nonprofit-Organisation USA |
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