Compliance Management for Public, Private, or Non-Profit Organizations

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  • Edition: 1st
  • Format: Hardcover
  • Copyright: 2008-04-08
  • Publisher: McGraw-Hill Education
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You can turn to this expert guide for the strategies and techniques needed to establish, manage, and improve the compliance function within your organization. The author offers practical advice on compliance goals and plans, compliance-related technology and systems, compliance education and training programs, whistle-blowing programs, staffing and budgeting requirements, and much more.

Author Biography

Michael G. Silverman heads a consulting practice that helps organizations manage risk and compliance, corporate ethics, and corporate governance. He is also on the faculties of Columbia University's School of International and Public Affairs and at the Financial Industry RegulatoryAuthority, the largest non-governmentalregulator for all securities firms doingbusiness in the United States.

Table of Contents

Acknowledgmentsp. xiii
Introductionp. xv
Setting the Context
The Expanded Focus on Compliancep. 3
The Forces at Workp. 5
The Judiciaryp. 6
The Legislative Responsep. 10
The Expanding Role of Federal Agenciesp. 12
State Governmentsp. 17
Government Examines Its Own Operationsp. 18
The Nonprofit Sectorp. 19
Private-Sector Oversightp. 21
Corporate Social Responsibilityp. 21
Shareholders and NGOsp. 22
Global Telecommunications and the Internetp. 27
Summaryp. 28
The Mandate for Compliancep. 31
Regulatory Compliancep. 33
Internal Corporate Compliance Systemsp. 37
The Private Sector and Organizational Compliancep. 39
The Nonprofit Sectorp. 47
The Public Sectorp. 50
Summaryp. 52
The Foundations of Compliance
Compliance and Ethics: Challenges and Approachesp. 55
Intertwined but Not Interchangeable Conceptsp. 56
Motivations for Compliancep. 57
Barriers to Compliancep. 59
The Organization's Cultural Frameworkp. 61
Rules versus Integrityp. 63
Corporate Codes of Conductp. 64
Creating an Ethical Culture: The Linchpinp. 70
Nonprofit Organizationsp. 72
Public Sectorp. 74
Summaryp. 75
Leadership and Culture: The Foundations of Compliancep. 77
The Legal and Regulatory Underpinningsp. 79
Self-Regulatory Organizations: New York Stock Exchangep. 84
Boards of Directorsp. 85
Nonprofit Organizationsp. 92
Senior Managementp. 96
Public-Sector Organizationsp. 99
Summaryp. 101
The Modern Compliance Organization
Managing Compliance: Goals and Structurep. 105
Designing the Compliance Programp. 106
Government and Regulators' Guidancep. 108
The Compliance Program Charterp. 110
Features of a Modern Compliance Programp. 113
The Compliance Structurep. 116
Outsourcing Compliancep. 124
Coordinating the Compliance Programp. 127
Staffing the Compliance Programp. 131
The Role of the Chief Compliance Officerp. 134
Budgeting for the Compliance Programp. 141
Small and Medium-Sized Organizationsp. 144
Summaryp. 149
Policies, Communication, and Trainingp. 151
Policies and Proceduresp. 151
Communicationp. 158
Trainingp. 161
Summaryp. 173
Hotlines, Whistle-Blowers, and Investigationsp. 175
Whistle-Blowing Programsp. 175
Instituting a Whistle-Blowing Programp. 179
Managing Informationp. 187
Tracking Inquiriesp. 188
International Operationsp. 189
Related Issuesp. 189
Conducting Investigationsp. 191
Summaryp. 197
Information and Technology: Challenges and Tools for Compliancep. 199
Federal Regulatory Requirementsp. 200
State Regulatory Requirementsp. 201
International Requirementsp. 201
Technology Standardsp. 202
The Challenge of Multiple Regulationsp. 202
Creating a Multidimensional Compliance Frameworkp. 204
Privacy and Information Securityp. 206
Third-Party Relationships and Outsourcingp. 211
Compliance Technology Toolsp. 211
Education, Communication, and Trainingp. 213
Summaryp. 214
Compliance and Oversight: Risk, Monitoring, Audits, and Regulatorsp. 215
Compliance Riskp. 215
Regulatory Requirementsp. 216
Standards-Setting Organizationsp. 218
Governance and Compliance Riskp. 219
Compliance Risk Assessment Processp. 221
Compliance Monitoring and Auditsp. 235
Regulatorsp. 243
Summaryp. 245
Compliance and Controlsp. 247
Government Regulationsp. 248
Internal Control Regulation and the Public Sectorp. 251
Self-Regulatory Organizations: New York Stock Exchangep. 251
Standards Setting Organizations: Committee of Sponsoring Organizations of the Treadway Commissionp. 252
The Internal Control Programp. 258
Summaryp. 264
Evaluating Compliancep. 267
Criteria for Compliance Effectivenessp. 269
The Need for Evaluationp. 271
Techniques for Evaluating Compliancep. 271
Assessing Compliance Effectivenessp. 272
Postevaluation Actionsp. 283
Summaryp. 284
The Future of Compliance
Compliance, Going Forwardp. 287
Brief Retrospectivep. 288
A Profession with Growing Painsp. 288
At the Crossroadsp. 289
The Road Aheadp. 294
Resourcesp. 295
Indexp. 299
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