BOOKS & MANUALS

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

By Anthony Tarantino

managers-guide-to-compliance
Managers Guide to Compliance Best Practices and Case Studies

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

Label Value
ISBN 978-0-471-79257-4
Publisher John Wiley & Sons
Published Copyright 2006
Pages 315
Format Hardcover

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 and 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

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