{"product_id":"building-a-world-class-compliance-program-isbn-9780470114780","title":"Building a World-Class Compliance Program","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.  Foreword xi  \u003cp\u003ePreface xiii\u003c\/p\u003e \u003cp\u003eAcknowledgments xvii\u003c\/p\u003e \u003cp\u003eAbout the Author xix\u003c\/p\u003e \u003cp\u003eCHAPTER 1 Why Ethics and Compliance Will Always Matter 1\u003c\/p\u003e \u003cp\u003eCHAPTER 2 Tone at the Top and Throughout 25\u003c\/p\u003e \u003cp\u003eCHAPTER 3 The Growth and Evolution of Compliance 45\u003c\/p\u003e \u003cp\u003eCHAPTER 4 Caremark and Sarbanes-Oxley: Enhancing Compliance 71\u003c\/p\u003e \u003cp\u003eCHAPTER 5 CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal 87\u003c\/p\u003e \u003cp\u003eCHAPTER 6 The International Landscape of Compliance 107\u003c\/p\u003e \u003cp\u003eCHAPTER 7 Compliance Programs and Anti-Money Laundering Efforts 131\u003cbr\u003e \u003ci\u003eBy Marc B. Sherman, Laura Connor, and David Meilstrup\u003c\/i\u003e\u003c\/p\u003e \u003cp\u003eAbout the Chapter Authors 148\u003c\/p\u003e \u003cp\u003eCHAPTER 8 Interview with an Ethics and Compliance Thought Leader 149\u003c\/p\u003e \u003cp\u003eCHAPTER 9 Building a World-Class Compliance Program: The Seven Steps in Practice (Part I) 163\u003c\/p\u003e \u003cp\u003eCHAPTER 10 Building a World-Class Compliance Program: The Seven Steps in Practice (Part II) 191\u003c\/p\u003e \u003cp\u003eCHAPTER 11 Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award 219\u003c\/p\u003e \u003cp\u003eCHAPTER 12 Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan 233\u003c\/p\u003e \u003cp\u003eCHAPTER 13 The Skunk in the Room 257\u003c\/p\u003e \u003cp\u003eAppendix A: Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps 269\u003c\/p\u003e \u003cp\u003eAppendix B: Sample Compliance Program Charter 277\u003c\/p\u003e \u003cp\u003eAppendix C: Resources for Compliance Professionals 283\u003c\/p\u003e \u003cp\u003eIndex 291\u003c\/p\u003e \u003cp\u003e\u003cb\u003eMartin T. Biegelman\u003c\/b\u003e, CFE, CCEP, has been fighting fraud and corruption for 40 years in various roles in law enforcement, consulting, and the corporate sector. He is currently the Executive Vice President of U.S. Operations for IPSA International, a global risk advisory firm. His extensive experience include conducting internal investigations on behalf of corporate management and boards, FCPA and anti-bribery compliance, litigation consulting, due diligence, and corporate compliance design and implementation. He previously served as the Director of Financial Integrity at Microsoft Corporation. This highly acclaimed fraud prevention and anti-corruption compliance program that he founded and led continues to be a model for other global companies. Mr. Biegelman is a sought-after speaker, prolific author, and the recipient of the prestigious Cressey Award bestowed by the Association of Certified Fraud Examiners for lifetime achievements in the detection and deterrence of fraud.\u003c\/p\u003e  \u003cb\u003eBuilding A World-Class Compliance Program\u003c\/b\u003e  \u003cp\u003eIf you want to ensure that your organization is doing everything possible to prevent misconduct and follow laws, rules, and regulations, this book is for you.\u003c\/p\u003e \u003cp\u003eThe devastating accounting scandals and corporate frauds at Enron, WorldCom, Tyco, Adelphia, and numerous other companies reinforced the importance of compliance programs. Effective compliance programs prevent and detect misconduct and protect the interests of shareholders, employees, and the public. Authoritative, comprehensive, and insightful, \u003ci\u003eBuilding a World-Class Compliance Program\u003c\/i\u003e covers:\u003c\/p\u003e \u003cul\u003e \u003cli\u003e \u003cp\u003eBuilding the business case for ethics and compliance in an organization\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003e\"Tone at the top\" and throughout the organization\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eCase studies and best practices of world-class companies and those emerging from compliance failures\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eHistory, growth, and evolution of corporate compliance\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eDetailed discussion of the Federal Sentencing Guidelines for Organizations and the Seven Steps to an effective compliance program\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eU.S. Department of Justice's McNulty Memorandum and the revised principles of federal prosecution of business organizations\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eSEC's Seaboard Criteria in mitigating enforcement actions\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eThe importance of the Sarbanes-Oxley Act and the Caremark case\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eGlobalization of business, the risk of corruption, and the expanding reach of the Foreign Corrupt Practices Act\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eAnti–money laundering enforcement and the USA PATRIOT Act\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eWhy every organization needs a \"Skunk in the Room\"\u003c\/p\u003e \u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eWritten by a long-standing practitioner in the field, this is a timely and critical work put forth in a very readable and impactful fashion. 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. Interviews with thought leaders and experts in compliance along with recommended action steps give a unique, firsthand perspective. Also included are fraud prevention policies and plans to implement. Compliance insights throughout the book detail case studies, strategies for success, sample programs, and survey findings.\u003c\/p\u003e \u003cp\u003eEmbracing and implementing corporate compliance policies and procedures is the only option. True corporate responsibility and accountability require all companies, public or private, large or small, foreign or domestic, to have effective compliance programs. Whether you're a CEO, CFO, compliance officer, manager, auditor, risk management professional, or a student, \u003ci\u003eBuilding a World-Class Compliance Program\u003c\/i\u003e is your best source for understanding all the complex issues and requirements associated with corporate compliance.\u003c\/p\u003e  \u003cb\u003ePraise for \u003ci\u003eBuilding A World-Class Compliance Program\u003c\/i\u003e\u003c\/b\u003e  \u003cp\u003e\"The globalization of business and communications presents unprecedented opportunities for successful growth in many industries and for companies large and small. Conversely, the compliance challenges faced by businesses worldwide have never been more challenging. The urgency to develop a world-class compliance program has never been greater. This book is a must for all companies facing today and tomorrow's compliance challenge.\"\u003cbr\u003e —\u003cb\u003eJohn Connors,\u003c\/b\u003e Partner at Ignition Partners and former CFO, Microsoft Corporation\u003c\/p\u003e \u003cp\u003e\"Unbiased, well researched, comprehensive, and interesting.A great resource for compliance professionals and a great read for CEOs, management, and board members who care about doing the right thing. I have been involved with the production of over 150 compliance articles, books, magazines, and newsletters, and Martin's work is among the best I have seen.\"\u003cbr\u003e —\u003cb\u003eRoy Snell\u003c\/b\u003e, CEO, Society of Corporate Compliance and Ethics\u003c\/p\u003e \u003cp\u003e\"Martin slices through the confusion surrounding corporate compliance and offers not only useful guidelines, but a step-by-step approach to establishing an effective program. \u003ci\u003eBuilding a World-Class Compliance Program\u003c\/i\u003e is essential for anyone concerned with compliance and ethics within organizations.\"\u003cbr\u003e —\u003cb\u003eJames D. Ratley\u003c\/b\u003e, CFE President, Association of Certified Fraud Examiners\u003c\/p\u003e \u003cp\u003e\"Martin Biegelman, with strong contributions from Daniel Biegelman, provides businesspeople with an exceptionally important book in \u003ci\u003eBuilding a World-Class Compliance Program: Best Practices and Strategies for Success\u003c\/i\u003e. This book clearly demonstrates how value is added to companies who get it right in this vital aspect of business. Each chapter contains concrete examples of best practices ensuring compliance, backed by solid supporting examples. Together, they interview some of the best authorities in this field, and draw from Martin's experience as a federal law enforcement agent and executive.\"\u003cbr\u003e —\u003cb\u003eEdward M. Stroz\u003c\/b\u003e, Co-president of Stroz Friedberg, LLC, and former FBI special agent\u003c\/p\u003e \u003cp\u003e\"Gone are the days when compliance programs were optional or companies could just have faith that none of their employees would go astray. Today's organizations need compliance programs and strategies in place. Martin Biegelman has written the consummate guide.\"\u003cbr\u003e —\u003cb\u003eJoel Bartow\u003c\/b\u003e, CFE, CPP, Director of Fraud Prevention and Investigations, Sitel Corporation\u003c\/p\u003e  \"For those who benefited from reading Martin’s first book, \u003ci\u003eExecutive Roadmap to Fraud Prevention and Internal Control\u003c\/i\u003e, 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  \u003cp\u003e\"\u003ci\u003eBuilding a World-Class Compliance Program\u003c\/i\u003e 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 \u0026amp; Block and former director, U.S. Department of Justice Enron Task Force\u003c\/p\u003e","brand":"Wiley","offers":[{"title":"Default Title","offer_id":47988864254181,"sku":"NP9780470114780","price":55.0,"currency_code":"USD","in_stock":false}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/1842\/7735\/files\/9780470114780.jpg?v=1761781827","url":"https:\/\/k12savings.com\/es\/products\/building-a-world-class-compliance-program-isbn-9780470114780","provider":"K12savings","version":"1.0","type":"link"}