Controlling Compliance
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Controlling Compliance
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Author : Solveig Reißig-Thust
language : de
Publisher: John Wiley & Sons
Release Date : 2011
Controlling Compliance written by Solveig Reißig-Thust 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 2011 with Business & Economics categories.
Das Thema Compliance rückt immer mehr in den Fokus vieler Unternehmen. Die gestiegene Medienaufmerksamkeit, neue rechtliche Regelungen für Aufsichtsräte sowie ein verschärftes Augenmerk der Anteilseigner auf die finanziellen Folgen und Reputationsschäden von Compliance-Verstößen erhöhen den Handlungsdruck für das Management. Compliance ist ein Querschnittsthema. Es betrifft alle Branchen, Fachbereiche und Hierarchieebenen. Dem gestiegenen Bedürfnis nach Compliance begegnen Unternehmen häufig durch die Einführung entsprechender Abteilungen und Stabsstellen. Viele hoffen dadurch ein funktionierendes Risk and Fraud Management im Unternehmen zu etablieren. Das Controlling wird bislang kaum mit der Bekämpfung von Korruption und Wirtschaftskriminalität in Verbindung gebracht. Dabei verfügen gerade Controller über eine Vielzahl wertvoller Informationen, die für diese Problemstellung von großem Nutzen sein können. Ferner können sie hier ihre methodischen Kenntnisse zur Überwindung von Mess- und Steuerungsproblemen sinnvoll zum Einsatz bringen. Damit verfügen Controller über wertvolle Ressourcen, um einen signifikanten Beitrag zur Bekämpfung von Korruption und Wirtschaftskriminalität zu leisten. Solveig Reißig-Thust und Jürgen Weber gewähren einen Einblick in die Einsatzmöglichkeiten, die es für Controller im Risk and Fraud Management gibt. Sie diskutieren, welche Instrumente zum Einsatz kommen können und liefern dadurch Ansatzpunkte, um Potenziale in der unternehmerischen Praxis auszuschöpfen.
The Regulatory Craft
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Author : Malcolm K. Sparrow
language : en
Publisher: Rowman & Littlefield
Release Date : 2011-01-01
The Regulatory Craft written by Malcolm K. Sparrow and has been published by Rowman & Littlefield this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-01-01 with Law categories.
The Regulatory Craft tackles one of the most pressing public policy issues of our time—the reform of regulatory and enforcement practice. Malcolm K. Sparrow shows how the vogue prescriptions for reform (centered on concepts of customer service and process improvement) fail to take account of the distinctive character of regulatory responsibilities—which involve the delivery of obligations rather than just services.In order to construct more balanced prescriptions for reform, Sparrow invites us to reconsider the central purpose of social regulation—the abatement or control of risks to society. He recounts the experiences of pioneering agencies that have confronted the risk-control challenge directly, developing operational capacities for specifying risk-concentrations, problem areas, or patterns of noncompliance, and then designing interventions tailored to each problem. At the heart of a new regulatory craftsmanship, according to Sparrow, lies the central notion, "pick important problems and fix them." This beguilingly simple idea turns out to present enormously complex implementation challenges and carries with it profound consequences for the way regulators organize their work, manage their discretion, and report their performance. Although the book is primarily aimed at regulatory and law-enforcement practitioners, it will also be invaluable for legislators, overseers, and others who care about the nature and quality of regulatory practice, and who want to know what kind of performance to demand from regulators and how it might be delivered. It stresses the enormous benefit to society that might accrue from development of the risk-control art as a core professional skill for regulators.
It Compliance And Controls
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Author : James J. DeLuccia IV
language : en
Publisher: John Wiley & Sons
Release Date : 2008-06-13
It Compliance And Controls written by James J. DeLuccia IV 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 2008-06-13 with Business & Economics categories.
IT Compliance and Controls offers a structured architectural approach, a 'blueprint in effect,' for new and seasoned executives and business professionals alike to understand the world of compliance?from the perspective of what the problems are, where they come from, and how to position your company to deal with them today and into the future.
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.
Manager S Guide To Compliance
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Author : Anthony Tarantino
language : en
Publisher: John Wiley & Sons
Release Date : 2012-06-25
Manager S Guide To Compliance written by Anthony Tarantino 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 2012-06-25 with Business & Economics categories.
Compliance requirements are here to stay. Prepare your company for the growing challenge. A Wall Street Journal/Harris poll revealed that two thirds of investors express doubts in the ability of corporate boards of directors to provide effective oversight. In the shadow of recent global scandals involving businesses such as Parmalat and WorldCom, Manager's Guide to Compliance: Best Practices and Case Studies is essential reading for you, 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. "Wide perspectives and best practices combined deliver a punch that will knock your 'SOX' off! The author has blended together a critical mix necessary for effectively handling the requirements of SOX." —Rob Nance, Publisher, AccountingWEB, Inc. "Robust compliance and corporate governance is an absolute necessity in today's business environment. This new book by Anthony Tarantino is an authoritative guide to understanding and implementing compliance and regulatory requirements in the United States and around the world. From SOX to COSO to ERM, this book covers them all." —Martin T. Biegelman, Certified Fraud Examiner, Fellow and Regent Emeritus of the Association of Certified Fraud Examiners, and coauthor of Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance "If compliance wasn't difficult enough, now companies are faced with a barrage of technology vendors claiming to automate compliance as if it were a project. In his new book, Dr. Tarantino paints the reality of the situation: companies need to embrace the broader tenets of governance and use technology to embed governance policies and controls into their daily business processes. Only then can they gain business value from their compliance investments." —Chris Capdevila, CEO and cofounder, LogicalApps
Controlling Compliance Und Corporate Governance
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Author : Joachim Gruber
language : de
Publisher: Peter Lang Gmbh, Internationaler Verlag Der Wissenschaften
Release Date : 2014
Controlling Compliance Und Corporate Governance written by Joachim Gruber and has been published by Peter Lang Gmbh, Internationaler Verlag Der Wissenschaften this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014 with Business & Economics categories.
Dieser Sammelband enthaelt Beitraege ueber die Interne Revision und zur Funktion und Bedeutung des Controllings. Darueber hinaus werden auch personalwirtschaftliche und arbeitsrechtliche Themen sowie Fragen des Produktportfolios und der Bedarfsplanung eroertert. Ein Beitrag analysiert die wirtschaftliche Situation in der Slowakei.
Controls Procedures And Risk
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Author : David Loader
language : en
Publisher: Elsevier
Release Date : 2002-09-25
Controls Procedures And Risk written by David Loader and has been published by Elsevier this book supported file pdf, txt, epub, kindle and other format this book has been release on 2002-09-25 with Business & Economics categories.
'Controls, Procedures and Risk' covers the skills and procedures needed to enable the monitoring and managing of risk and the authors focus on procedures design, implementation and documentation. Considerable emphasis is also given to the key controls and the importance of control functions, audit and risk management groups and policy. Case studies are used to effectively demonstrate 'success' and 'failure'. In the financial services industry risk is a constant threat to organizations of all sizes and to the markets themselves. Many industry 'events' have shown how dangerous it is when a business operates in an uncontrolled way, particularly when the lack of control was not evident to the management of the business until it was too late. Controls, procedures and risk are occupying more and more management time. The responsibility to manage the risks lies with the whole operations team. If it is successful in fulfilling this role the overall risk of the business is reduced, if it is not successful the consequences may be severe. In this book the author has deliberately focussed on the practical side of risk, controls and procedures, rather than analyse the Basel Capital Accord and the capital requirements etc.(however, the Accord and updates are contained in the Appendices). Operations teams need to be aware of risk but not overwhelmed by it. Risk management within, and by, the operations function is the focus of this book. From day-to-day risk to wider risk implications the operations function is reviewed to show the sources and implications of risk situations. The definitive series of professional references for those finance professionals concerned with "Back office" or operations management unique to this industry.Presents concise references on the essential management functions such as technology, client services, and risk management for financial operations management professionals.A comprehensive resource from a leading financial management consultant for global banks and institutions.
Managing Compliance
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Author : Sven Kette
language : en
Publisher:
Release Date : 2019-07
Managing Compliance written by Sven Kette and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2019-07 with Business & Economics categories.
In the wake of economic scandals, there has been a surge in interest about rule-breaking in organizations. More and more organizations are setting up compliance management positions. The motto is: from now on, everything by the book! We show why the hopes associated with compliance management are overstated, while the risks are underestimated.
Internal Control Audit And Compliance
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Author : Lynford Graham
language : en
Publisher: John Wiley & Sons
Release Date : 2015-01-12
Internal Control Audit And Compliance written by Lynford Graham 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 2015-01-12 with Business & Economics categories.
Ease the transition to the new COSO framework with practical strategy Internal Control Audit and Compliance provides complete guidance toward the latest framework established by the Committee of Sponsoring Organizations (COSO). With clear explanations and expert advice on implementation, this helpful guide shows auditors and accounting managers how to document and test internal controls over financial reporting with detailed sections covering each element of the framework. Each section highlights the latest changes and new points of emphasis, with explicit definitions of internal controls and how they should be assessed and tested. Coverage includes easing the transition from older guidelines, with step-by-step instructions for implementing the new changes. The new framework identifies seventeen new principles, each of which are explained in detail to help readers understand the new and emerging best practices for efficiency and effectiveness. The revised COSO framework includes financial and non-financial reporting, as well as both internal and external reporting objectives. It is essential for auditors and controllers to understand the new framework and how to document and test under the new guidance. This book clarifies complex codification and provides an effective strategy for a more rapid transition. Understand the new COSO internal controls framework Document and test internal controls to strengthen business processes Learn how requirements differ for public and non-public companies Incorporate improved risk management into the new framework The new framework is COSO's first complete revision since the release of the initial framework in 1992. Companies have become accustomed to the old guidelines, and the necessary procedures have become routine – making the transition to align with the new framework akin to steering an ocean liner. Internal Control Audit and Compliance helps ease that transition, with clear explanation and practical implementation guidance.
Under Control
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Author : Jacob Lamm
language : en
Publisher: Apress
Release Date : 2010-04-06
Under Control written by Jacob Lamm and has been published by Apress this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010-04-06 with Computers categories.
With the economic crisis that began in 2008, a long-standing trend toward increased regulation is becoming a flood. The clamor for improved enterprise risk management and the complexity of multinational compliance present executives with a dramatically new array of challenges. Governance should offer solutions, but it is clear that yesterday’s governance practices aren’t up to the task. In both design and implementation, they are too disconnected and incomplete to fully address our complex compliance and risk management puzzle. Executives get only fragmented views of their true business performance, and inefficiencies drive up costs. The consequences of inadequate governance were demonstrated in the economic meltdown of 2008. As the world struggles to recover from that crisis, business is now faced with a confusing array of evolving regulations, the challenge of managing compliance across multinational organizations and a new imperative for risk management that is coordinated across the enterprise. It’s clear that yesterday’s governance practices don’t meet today’s need for centralized controls, integrated compliance and risk management and greater transparency. The need for organizations to change—and change now—is clear. Under Control captures decades of business governance experience from many of the leading authorities at CA, Inc. This book sets out not only to explain the essential challenges of effective business governance, but to help you build solutions for your organization based on lessons learned at CA from its customers and in its own corporate structure. From governing the organization’s policies as a whole instead of in silos, to a department-by-department look at the role and impact of governance, to governing your green initiatives, to the role of the board of directors, to the importance of risk management, this book lays out some of the strategies and processes that may help your organization manage its risk and regulatory requirements. It is clear that the governance standards in the past were inadequate, and that risks have not been properly assessed or understood. This book is a first step in solving this problem so that your organization is prepared and able to respond and thrive in today’s rapidly evolving environment. Under Control is the first book published in the new CAPress imprint, a joint publishing program between Apress and CA Inc. “One of the defining factors of the first decade of the 21st century has been the increase of regulation and governance. To explain these trends, and the various best practices for ensuring governance, enterprise IT management solutions provider CA Inc. enlisted more than a dozen subject matter experts from its ranks to contribute content. The resulting book explores the need for broad governance, different areas where governance is important, and various ways for organizations to manage and implement compliance, including IT governance, project portfolio management, information governance and sustainability management. The book, while largely vendor-neutral, draws on CA's experience creating governance solutions as well as managing its own governance issues.” —Aaron Smith, Projects@Work