Building A World-Class Compliance Program: Best Practices & Strategies for Success



The 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, "Building a World-Class Compliance Program" covers: 

  • Case studies and best practices of world-class companies and those emerging from compliance failures
  • The Seven Steps to an effective compliance program
  • Building the business case for ethics and compliance in an organization
  • “Tone at the Top” and throughout the organization
  • History, growth and evolution of corporate compliance
Featuring case studies, best practices, sample programs, survey findings and strategies for success, "Building a World Class Compliance Program" is your best source for understanding all the complex issues and requirements associated with corporate compliance. If 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.

Product Details

ISBN 978-0-470-11478-0-1
Hardcover, 298 PAGES

Table of Contents:

  • Chapter 1: Why Ethics and Compliance Will Always Matter
  • Chapter 2: Tone at the Top and Throughout
  • Chapter 3: The Growth and Evolution of Compliance
  • Chapter 4: Caremark and Sarbanes-Oxley: Enhancing Compliance
  • Chapter 5: CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal
  • Chapter 6: The International Landscape of Compliance
  • Chapter 7: Compliance Programs and Anti-Money Laundering Efforts
  • Chapter 8: Interview with an Ethics and Compliance Thought Leader
  • Chapter 9: Building a World-Class Compliance Program: The Seven Steps in Practice (Part I)
  • Chapter 10: Building a World-Class Compliance Program: The Seven Steps in Practice (Part II)
  • Chapter 11: Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award
  • Chapter 12: Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan
  • Chapter 13: The Skunk in the Room
  • Appendix A: Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps
  • Appendix B: Sample Compliance Program Charter
  • Appendix C: Resources for Compliance Professionals