Building a World-Class Compliance Program: Best Practices and Strategies for Success
Book: Building a World-Class Compliance Program: Best Practices and Strategies for Success , by Daniel R. Biegelman (Contribution by), Martin T. Biegelman, ISBN10: 0470114789, ISBN13: 9780470114780, Wiley, John & Sons, Incorporated, March 2008, Hardcover
Martin T. Biegelman has been fighting fraud for more than thirty years in various roles in law enforcement, consulting, and the corporate sector. He is currently Director of Financial Integrity for Microsoft Corporation, where he built and leads a worldwide fraud detection, investigation, and prevention program. Biegelman is a Certified Fraud Examiner and a sought-after speaker and author on white-collar crime, corruption, fraud prevention, and compliance issues. He is the coauthor of Executive Roadmap to Fraud Prevention and Internal Control, also published by Wiley.
Building A World-Class Compliance Program
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.
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:
- Building the business case for ethics and compliance in an organization
- "Tone at the top" and throughout the organization
- Case studies and best practices of world-class companies and those emerging from compliance failures
- History, growth, and evolution of corporate compliance
- Detailed discussion of the Federal Sentencing Guidelines for Organizations and the Seven Steps to an effective compliance program
- U.S. Department of Justice's McNulty Memorandum and the revised principles of federal prosecution of business organizations
- SEC's Seaboard Criteria in mitigating enforcement actions
- The importance of the Sarbanes-Oxley Act and the Caremark case
- Globalization of business, the risk of corruption, and the expanding reach of the Foreign Corrupt Practices Act
- Anti–money laundering enforcement and the USA PATRIOT Act
- Why every organization needs a "Skunk in the Room"
Written 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.
Embracing 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, Building a World-Class Compliance Program is your best source for understanding all the complex issues and requirements associated with corporate compliance.
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