Manager's Guide to Compliance: Best Practices and Case Studies



BY ANTHONY TARANTINO


Description

A Wall Street Journal/Harris Poll revealed that two-thirds of investigators express doubts in the ability of corporate boards of directors to provide effective oversight. In the shadow of global scandals involving businesses such as Parmalat and WorldCom, Manager's Guide to Compliance: Best Practices and Case Studies is essential reading, 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. 

Manager's Guide to Compliance: Best Practices and Case Studies contains a detailed discussion of: 

  • Best practices for compliance, Enterprise Risk Management (ERM), governance, ethics and internal controls, accompanied by several case studies
  • A cost-benefit analysis of compliance and internal controls
  • Auditing internal controls
  • Compliance and internal control software

 




Product Details

COPYRIGHT 2006
ISBN 978-0-471-79257-4
Hardcover, 315 PAGES
JOHN WILEY & SONS

Table of Contents:


  • Chapter 1: U.S. SOX Section 401: Off-Balance Sheet Arrangements
  • Chapter 2: U.S. SOX Section 404: Internal Controls
  • Chapter 3: U.S. SOX Section 406: Code of Ethics
  • Chapter 4: U.S. SOX Section 409: Real-Time Reporting of Material Changes
  • Chapter 5: U.S. SOX Impact on Privately Held Companies and Nonprofits
  • Chapter 6: U.S. SOX Impact on Small U.S. Companies
  • Chapter 7: U.S. SOX Impact on Foreign Companies
  • Chapter 8: U.S. Government’s Version of U.S. SOX: OMB Circular A-123
  • Chapter 9: U.S. Healthcare Efforts to Improve Internal Controls: U.S. HIPAA
  • Chapter 10: Bankers’ and Insurers’ Efforts to Improve Internal Controls
  • Chapter 11: Australia, Canada, and UK Efforts to Improve Internal Controls
  • Chapter 12: EU Efforts to Improve Internal Controls: OECD Principles
  • Chapter 13: Global GAAP (IFRS) and Global Reporting Language (XBRL)
  • Chapter 14: Compliance and Internal Controls Impact on Outsourcing
  • Chapter 15: Civil and Criminal Penalties for Noncompliance
  • Chapter 16: Business Penalties for Noncompliance: A Material Weakness
  • Chapter 17: Revenue Recognition Requirements: U.S. SAB 101 and 104
  • Chapter 18: Data Retention Requirements
  • Chapter 19: Compliance and Internal Control Software
  • Chapter 20: Auditing Internal Controls
  • Chapter 21: Best Practices in Internal Controls: Enterprise Risk Management
  • Chapter 22: Best Practices in Internal Controls: IT Risk Management & SDLC (NIST 800-30)
  • Chapter 23: Best Practices in Internal Controls: Mapping COBIT to COSO I, COSO II, & PCAOB
  • Chapter 24: Best Practices in Internal Controls: COBIT IT Control Objectives
  • Chapter 25: Best Practices in Compliance and Internal Controls: ASX 10 Principles
  • Chapter 26: Best Practices in Internal Controls: Segregation of Duties (SOD)
  • Chapter 27: Best Practices in Internal Controls: Case Studies
  • Chapter 28: Best Practices in Compliance Project Management
  • Chapter 29: Best Practices in Governance and Ethics
  • Chapter 30: Costs versus Benefits and the Business Reaction
  • Appendix A: Frequently Asked P2P Questions
  • Appendix B: Links to Referenced Organizations and Documents