Compliance Management
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Compliance Management In Financial Industries
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Author : Mathias Eggert
language : en
Publisher: Springer Science & Business Media
Release Date : 2014-01-08
Compliance Management In Financial Industries written by Mathias Eggert and has been published by Springer Science & Business Media this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-01-08 with Business & Economics categories.
Since the peak of the world financial crisis in 2008, compliance management has gained more and more interest from practice and research. In particular the financial service industry is strongly regulated and has to follow specific laws, standards and guidelines. Considering the steadily increasing number of legal requirements in the design of information systems is a challenge to financial service providers. This book investigates the challenges of compliance management in financial industries and provides solutions for a compliant design of information models. From a business process perspective, an approach is presented that enables the automatic checking of business process models. From a supervisory reporting perspective a modeling technique is presented that allows for modeling regulatory data warehouse requirements as well as its analysis. Besides these two perspectives the author provides insights into the perceived relationship of Information Systems and Law.
Compliance Management For Public Private Or Non Profit Organizations
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Author : Michael G. Silverman
language : en
Publisher: McGraw Hill Professional
Release Date : 2008-04-13
Compliance Management For Public Private Or Non Profit Organizations written by Michael G. Silverman and has been published by McGraw Hill Professional this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008-04-13 with Business & Economics categories.
In today’s business climate, accountability, transparency, and a high regard for laws, regulations, and ethical conduct is as much a part of how an organization manages its affairs as its primary mission and operations. Compliance Management for Public, Private, or Nonprofit Organizations is a complete, hands-on guide to implementing strategies and techniques for developing, managing, and improving the compliance function of any organization. Author Michael G. Silverman is a corporate expert in strategic planning, program management, compliance, risk assessment, and policy development. In Compliance Management for Public, Private, or Nonprofit Organizations, he presents a comprehensive treatment of the subject by examining the traditional compliance issues associated with laws and regulations, as well as matters surrounding ethical behavior, organizational structure, technology, administration, and risk management. From establishing compliance goals and managing education and training programs to operating a whistle-blowing program and addressing staffing and budgeting requirements, this practical resource covers everything compliance officers and risk and organizational managers need to know, including: Where and how to establish a compliance program within an organization The critical skills and expertise for maintaining an effective compliance program Pros and cons of making a compliance program a part-time function of an organization How to deliver bad news to senior management—and survive Compliance Management for Public, Private, or Nonprofit Organizations includes a wealth of examples that illustrate the real-world applications of critical strategies and techniques for using the board of directors and senior management to promote compliance, reduce employee and management barriers to compliance, conduct in-depth risk assessment and compliance audits, and more.
Compliance Management Complete Self Assessment Guide
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Author : Gerardus Blokdyk
language : en
Publisher: 5starcooks
Release Date : 2018-01-05
Compliance Management Complete Self Assessment Guide written by Gerardus Blokdyk and has been published by 5starcooks this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-01-05 with categories.
Do the Compliance Management decisions we make today help people and the planet tomorrow? What problems are you facing and how do you consider Compliance Management will circumvent those obstacles? in other words, can we track that any Compliance Management project is implemented as planned, and is it working? When was the Compliance Management start date? Is Compliance Management currently on schedule according to the plan? This breakthrough Compliance Management self-assessment will make you the accepted Compliance Management domain leader by revealing just what you need to know to be fluent and ready for any Compliance Management challenge. How do I reduce the effort in the Compliance Management work to be done to get problems solved? How can I ensure that plans of action include every Compliance Management task and that every Compliance Management outcome is in place? How will I save time investigating strategic and tactical options and ensuring Compliance Management opportunity costs are low? How can I deliver tailored Compliance Management advise instantly with structured going-forward plans? There's no better guide through these mind-expanding questions than acclaimed best-selling author Gerard Blokdyk. Blokdyk ensures all Compliance Management essentials are covered, from every angle: the Compliance Management self-assessment shows succinctly and clearly that what needs to be clarified to organize the business/project activities and processes so that Compliance Management outcomes are achieved. Contains extensive criteria grounded in past and current successful projects and activities by experienced Compliance Management practitioners. Their mastery, combined with the uncommon elegance of the self-assessment, provides its superior value to you in knowing how to ensure the outcome of any efforts in Compliance Management are maximized with professional results. Your purchase includes access details to the Compliance Management self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next. Your exclusive instant access details can be found in your book.
Compliance Management
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Author : Nitish Singh Ph.D.
language : en
Publisher: Bloomsbury Publishing USA
Release Date : 2015-03-10
Compliance Management written by Nitish Singh Ph.D. and has been published by Bloomsbury Publishing USA this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-03-10 with Business & Economics categories.
This practical guide shows how to build an effective compliance and ethics program that will lower a business's risks and improve productivity. Research increasingly supports the notion that ethical, compliant businesses see increased productivity across a range of measurements. This practical guide tells business professionals, business and law students, and other interested parties exactly how that goal can be achieved. The book covers an extensive range of ethics-compliant laws and regulations impacting businesses today and identifies critical factors for successful compliance programs. Going well beyond works that speak in general terms about compliance-based actions, this unique volume delves into details about specific regulatory issues and the steps that can be taken to mitigate risk. The first half of the book shares general guidelines for creating or improving internal compliance and ethics programs. The second half identifies specific, high-risk regulatory areas; provides an overview of relevant laws; and sets forth best practices specific to the regulations discussed. By providing a simplified understanding of compliance with laws related to issues such as antitrust, international business, wages and labor, Health Insurance Portability and Accountability Act (HIPAA) and health care, the environment and more, the guide offers readers the tools necessary to improve an existing compliance program or create a new program where none has existed before.
The Changing Face Of Compliance
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Author : Sharon Ward
language : en
Publisher: Routledge
Release Date : 2016-04-01
The Changing Face Of Compliance written by Sharon Ward and has been published by Routledge this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-04-01 with Business & Economics categories.
In the current business climate the impact of the volume and nature of regulatory change and the regulatory risk arising from this is a significant business risk for regulated firms and regulators alike. As a consequence, management of this risk is increasingly high on the board agenda of regulated firms, with those business functions whose activities support this, such as Compliance, facing increasing levels of challenge in their efforts to be effective. The Changing Face of Compliance addresses core aspects of this challenge, considering the relationship between regulation and compliance and key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. Sharon Ward explains how the role of Compliance might be strengthened and those who work within it further enabled to support the current focus on improving standards in business, offering recommendations for enhancing this role. The text includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This is a thoughtful and timely book, whether you are concerned about the growing and changing implications of regulatory risk; the benefit of leveraging additional value from your Compliance function or your own Compliance role; or ways of transforming and sustaining the function to ensure its continued relevance to the business.
Enterprise Compliance Risk Management
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Author : Saloni Ramakrishna
language : en
Publisher: John Wiley & Sons
Release Date : 2015-09-04
Enterprise Compliance Risk Management written by Saloni Ramakrishna and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-09-04 with Business & Economics categories.
The tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management. Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management.
Compliance Management Complete Self Assessment Guide
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Author : Gerardus Blokdyk
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2017-07-23
Compliance Management Complete Self Assessment Guide written by Gerardus Blokdyk and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-07-23 with categories.
What problems are you facing and how do you consider Risk and Compliance Management will circumvent those obstacles? What key business process output measure(s) does Compliance Management leverage and how? When was the Risk and Compliance Management start date? Who sets the Risk and Compliance Management standards? Who will be responsible for deciding whether Risk and Compliance Management goes ahead or not after the initial investigations? Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role... In EVERY company, organization and department. Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?' For more than twenty years, The Art of Service's Self-Assessments empower people who can do just that - whether their title is marketer, entrepreneur, manager, salesperson, consultant, business process manager, executive assistant, IT Manager, CxO etc... - they are the people who rule the future. They are people who watch the process as it happens, and ask the right questions to make the process work better. This book is for managers, advisors, consultants, specialists, professionals and anyone interested in Compliance Management assessment. All the tools you need to an in-depth Compliance Management Self-Assessment. Featuring 610 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Compliance Management improvements can be made. In using the questions you will be better able to: - diagnose Compliance Management projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices - implement evidence-based best practice strategies aligned with overall goals - integrate recent advances in Compliance Management and process design strategies into practice according to best practice guidelines Using a Self-Assessment tool known as the Compliance Management Scorecard, you will develop a clear picture of which Compliance Management areas need attention. Included with your purchase of the book is the Compliance Management Self-Assessment downloadable resource, which contains all questions and Self-Assessment areas of this book in a ready to use Excel dashboard, including the self-assessment, graphic insights, and project planning automation - all with examples to get you started with the assessment right away. Access instructions can be found in the book. You are free to use the Self-Assessment contents in your presentations and materials for customers without asking us - we are here to help.
How To Achieve 27001 Certification
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Author : Sigurjon Thor Arnason
language : en
Publisher: CRC Press
Release Date : 2007-11-28
How To Achieve 27001 Certification written by Sigurjon Thor Arnason and has been published by CRC Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2007-11-28 with Computers categories.
The security criteria of the International Standards Organization (ISO) provides an excellent foundation for identifying and addressing business risks through a disciplined security management process. Using security standards ISO 17799 and ISO 27001 as a basis, How to Achieve 27001 Certification: An Example of Applied Compliance Management helps an organization align its security and organizational goals so it can generate effective security, compliance, and management programs. The authors offer insight from their own experiences, providing questions and answers to determine an organization's information security strengths and weaknesses with respect to the standard. They also present step-by-step information to help an organization plan an implementation, as well as prepare for certification and audit. Security is no longer a luxury for an organization, it is a legislative mandate. A formal methodology that helps an organization define and execute an ISMS is essential in order to perform and prove due diligence in upholding stakeholder interests and legislative compliance. Providing a good starting point for novices, as well as finely tuned nuances for seasoned security professionals, this book is an invaluable resource for anyone involved with meeting an organization's security, certification, and compliance needs.
Handbook Of Compliance Integrity Management
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Author : Prof. S.C. Bleker-van Eyk
language : en
Publisher: Kluwer Law International B.V.
Release Date : 2017-08-25
Handbook Of Compliance Integrity Management written by Prof. S.C. Bleker-van Eyk and has been published by Kluwer Law International B.V. this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-08-25 with Law categories.
This handbook is the first resource to provide a scientific analysis of the nature of compliance. It examines the subject from such crucial and varied perspectives as ethics, behavioral science, risk management, accounting, and European and international law. Much more than a critical approach to the existing practice of supervision, it provides a wealth of information, guidance, and valuable insights for the day-to-day work of compliance officers. With chapters contributed by lecturers of VU University Amsterdam’s flourishing post-doctoral Executive Master Program in Compliance and Integrity Management – which fosters alternatives such as greater trust in self-regulation and market discipline – the book explores such aspects of compliance and integrity management as the following: • monitoring risk compliance and integrity; • stakeholder and reputation management; • conflicts of interest; • anti-bribery; • export controls; • extraterritorial jurisdiction of U.S. legislation; • fraud; • duty of care; • market abuse; • privacy; and • competition. The analysis throughout is supported by a comprehensive study of the literature concerning the raison d'être of supervision and regulation. Meeting the need for an in-depth analysis of the expanding field of compliance and integrity management, this book is a milestone in a field that is rapidly growing in importance across a wide spectrum of business and professional activity. It will prove an essential practical resource for company or institutional officers worldwide in setting up a compliance function in their organization. Well known as a consultant in compliance-related matters, Sylvie C. Bleker-van Eyk is currently Senior Director at PricewaterhouseCoopers Forensic Services, Chair of the Supervisory Committee on Monitoring Anti–Money Laundering Policy at WODC, the Research and Documentation Centre of the Netherlands Ministry of Security and Justice, and Professor and Program Director of Postgraduate Education in Compliance and Integrity Management at VU University Amsterdam. Raf A. M. Houben is Head of Compliance and Security at HDI Global SE–The Netherlands in Rotterdam, and program coordinator and lecturer at the same Postgraduate Education in Amsterdam.
Compliance Kompakt
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Author : Stefan Behringer
language : de
Publisher:
Release Date : 2011
Compliance Kompakt written by Stefan Behringer and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with categories.