Building a World-Class Compliance Program Best Practices and Strategies for Success

by Biegelman, Martin T.; Biegelman, Daniel R.

• ISBN13: 9781118268193
• ISBN10: 1118268199
• Edition: 1st
• Format: eBook
• Copyright: 2012-03-30
• Publisher: Wiley

Summary

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.

Author Biography

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.

Table of Contents

Foreword xi

Preface xiii

Acknowledgments xvii

About the Author xix

CHAPTER 1 Why Ethics and Compliance Will Always Matter 1

CHAPTER 2 Tone at the Top and Throughout 25

CHAPTER 3 The Growth and Evolution of Compliance 45

CHAPTER 4 Caremark and Sarbanes-Oxley: Enhancing Compliance 71

CHAPTER 5 CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal 87

CHAPTER 6 The International Landscape of Compliance 107

CHAPTER 7 Compliance Programs and Anti-Money Laundering Efforts 131
By Marc B. Sherman, Laura Connor, and David Meilstrup

About the Chapter Authors 148

CHAPTER 8 Interview with an Ethics and Compliance Thought Leader 149

CHAPTER 9 Building a World-Class Compliance Program: The Seven Steps in Practice (Part I) 163

CHAPTER 10 Building a World-Class Compliance Program: The Seven Steps in Practice (Part II) 191

CHAPTER 11 Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award 219

CHAPTER 12 Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan 233

CHAPTER 13 The Skunk in the Room 257

Appendix A: Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps 269

Appendix B: Sample Compliance Program Charter 277

Appendix C: Resources for Compliance Professionals 283

Index 291