Compliance Guidebook: Sarbanes-Oxley, COSO ERM, IFRS, BASEL II, OMBs A-123, Best Practices, and Case Studies / Edition 1

Hardcover (Print)
Buy New
Buy New from BN.com
$62.56
Used and New from Other Sellers
Used and New from Other Sellers
from $60.02
Usually ships in 1-2 business days
(Save 29%)
Other sellers (Hardcover)
  • All (9) from $60.02   
  • New (7) from $60.02   
  • Used (2) from $62.25   

Overview

Scandals have always acted as an effective catalyst to force improved corporate governance and transparency. Worldwide scandals such as the Enron, WorldCom, Parmalat, and Ahold incidents exposed the lack of integrity in those entrusted with good corporate governance. Manager's Guide to Compliance: Best Practices and Case Studies is essential reading for professionals facing the growing challenge to improve internal controls in the information technology, operations, finance, and supply chain fields. This timely resource places critical compliance guidance as well as U.S. and global regulatory information at your fingertips.

Adding value beyond a reference, author Anthony Tarantino, a leading authority on the implementation of internal controls, shares best practices tools and offers real-world case studies to show managers how compliance can be achieved at maximum value to their organization. In addition, this handbook provides a high-level overview of the many compliance and governance initiatives underway throughout the world.

Whether companies or industries are based in the United States, the European Union, Russia, China, or other nations, investors demand a level playing field in comparing financial results. Manager's Guide to Compliance: Best Practices and Case Studies prepares professionals to "clean house" with detailed discussion of:

  • U.S. Sarbanes-Oxley Sections 401a, 404, 406, and 409 and the impact of SOX on small and foreign filers, privately held businesses, and nonprofits
  • SOX-like legislation coming to Australia, Canada, and the U.K.
  • Efforts to improve internal controls in the health, banking, and insurance industries
  • The movement to create principles-based guidelines by the OECD
  • A comparison of the global GAAP by the IFRS to U.S. SOX and U.S. GAAP
  • The impact on outsourcing with discussion of—the SAS 70 audit process
  • Best practices in internal controls, accompanied by—several case studies
  • A cost versus benefits analysis
  • Mapping COBIT to COSO I, COSO II, & the PCAOB
  • Best practices in internal controls–Enterprise Risk Management (ERM)
  • BASEL II
  • The U.S. government's version of U.S. SOX: OMB Circular A-123
  • Best practices in compliance and internal controls: ASX 10 Principles

A useful introductory handbook for internal and external auditors as well as for regulators, Manager's Guide to Compliance: Best Practices and Case Studies is the guide for current global compliance regulations to keep your company moving forward in challenging times.

Read More Show Less

What People Are Saying

From the Publisher
"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

Read More Show Less

Product Details

  • ISBN-13: 9780471792574
  • Publisher: Wiley
  • Publication date: 4/21/2006
  • Series: Manager's Guide Series
  • Edition description: New Edition
  • Edition number: 1
  • Pages: 336
  • Sales rank: 1,084,206
  • Product dimensions: 6.30 (w) x 9.09 (h) x 1.15 (d)

Meet the Author

Anthony G. Tarantino, PhD, has thirty years of business management experience, is the author of over a dozen published articles and white papers on compliance, and is a frequent speaker to professional associations. He held a CPM and CPIM designation for twenty years and is preparing for his black belt in Six Sigma. He has led over a dozen compliance initiatives including designing and implementing compliance software tools, leading internal audit, conducting 404 readinesses, and implementing internal controls best practices for U.S., European,and Asian companies.

Read More Show Less

Table of Contents

PREFACE.

ACKNOWLEDGMENT.

Chapter 1: U.S. SOX Section 401: Off-Balance Sheet Arrangements.

Chapter 2: U.S. SOX Section 404: Internal Controls.

Chapter 3: U.S. SOX Section 406: Code of Ethics.

Chapter 4: U.S. SOX Section 409: Real-Time Reporting of Material Changes.

Chapter 5: U.S. SOX Impact on Privately Held Companies and Nonprofits.

Chapter 6: U.S. SOX Impact on Small U.S. Companies.

Chapter 7: U.S. SOX Impact on Foreign Companies.

Chapter 8: U.S. Government’s Version of U.S. SOX: OMB Circular A-123.

Chapter 9: U.S. Healthcare Efforts to Improve Internal Controls: U.S. HIPAA.

Chapter 10: Bankers’ and Insurers’ Efforts to Improve Internal Controls.

Chapter 11: Australia, Canada, and UK Efforts to Improve Internal Controls.

Chapter 12: EU Efforts to Improve Internal Controls: OECD Principles.

Chapter 13: Global GAAP (IFRS) and Global Reporting Language (XBRL).

Chapter 14: Compliance and Internal Controls Impact on Outsourcing.

Chapter 15: Civil and Criminal Penalties for Noncompliance.

Chapter 16: Business Penalties for Noncompliance: A Material Weakness.

Chapter 17: Revenue Recognition Requirements: U.S. SAB 101 and 104.

Chapter 18: Data Retention Requirements.

Chapter 19: Compliance and Internal Control Software.

Chapter 20: Auditing Internal Controls.

Chapter 21: Best Practices in Internal Controls: Enterprise Risk Management.

Chapter 22: Best Practices in Internal Controls: IT Risk Management & SDLC (NIST 800-30).

Chapter 23: Best Practices in Internal Controls: Mapping COBIT to COSO I, COSO II, & PCAOB.

Chapter 24: Best Practices in Internal Controls: COBIT IT Control Objectives.

Chapter 25: Best Practices in Compliance and Internal Controls: ASX 10 Principles.

Chapter 26: Best Practices in Internal Controls: Segregation of Duties (SOD).

Chapter 27: Best Practices in Internal Controls: Case Studies.

Chapter 28: Best Practices in Compliance Project Management.

Chapter 29: Best Practices in Governance and Ethics.

Chapter 30: Costs versus Benefits and the Business Reaction.

Appendix A: Frequently Asked P2P Questions.

Appendix B: Links to Referenced Organizations and Documents.

GLOSSARY.

INDEX.

Read More Show Less

Customer Reviews

Be the first to write a review
( 0 )
Rating Distribution

5 Star

(0)

4 Star

(0)

3 Star

(0)

2 Star

(0)

1 Star

(0)

Your Rating:

Your Name: Create a Pen Name or

Barnes & Noble.com Review Rules

Our reader reviews allow you to share your comments on titles you liked, or didn't, with others. By submitting an online review, you are representing to Barnes & Noble.com that all information contained in your review is original and accurate in all respects, and that the submission of such content by you and the posting of such content by Barnes & Noble.com does not and will not violate the rights of any third party. Please follow the rules below to help ensure that your review can be posted.

Reviews by Our Customers Under the Age of 13

We highly value and respect everyone's opinion concerning the titles we offer. However, we cannot allow persons under the age of 13 to have accounts at BN.com or to post customer reviews. Please see our Terms of Use for more details.

What to exclude from your review:

Please do not write about reviews, commentary, or information posted on the product page. If you see any errors in the information on the product page, please send us an email.

Reviews should not contain any of the following:

  • - HTML tags, profanity, obscenities, vulgarities, or comments that defame anyone
  • - Time-sensitive information such as tour dates, signings, lectures, etc.
  • - Single-word reviews. Other people will read your review to discover why you liked or didn't like the title. Be descriptive.
  • - Comments focusing on the author or that may ruin the ending for others
  • - Phone numbers, addresses, URLs
  • - Pricing and availability information or alternative ordering information
  • - Advertisements or commercial solicitation

Reminder:

  • - By submitting a review, you grant to Barnes & Noble.com and its sublicensees the royalty-free, perpetual, irrevocable right and license to use the review in accordance with the Barnes & Noble.com Terms of Use.
  • - Barnes & Noble.com reserves the right not to post any review -- particularly those that do not follow the terms and conditions of these Rules. Barnes & Noble.com also reserves the right to remove any review at any time without notice.
  • - See Terms of Use for other conditions and disclaimers.
Search for Products You'd Like to Recommend

Recommend other products that relate to your review. Just search for them below and share!

Create a Pen Name

Your Pen Name is your unique identity on BN.com. It will appear on the reviews you write and other website activities. Your Pen Name cannot be edited, changed or deleted once submitted.

 
Your Pen Name can be any combination of alphanumeric characters (plus - and _), and must be at least two characters long.

Continue Anonymously

    If you find inappropriate content, please report it to Barnes & Noble
    Why is this product inappropriate?
    Comments (optional)