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

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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)
  • 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.

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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

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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: 1,188,870
  • 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.

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Table of Contents



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.



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