Building a World-Class Compliance Program: Best Practices and Strategies for Success

by Martin T. Biegelman, Daniel R. Biegelman (Contribution by)

Overview

Written by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program.

Product Details

ISBN-13:	9780470114780
Publisher:	Wiley
Publication date:	03/28/2008
Pages:	320
Product dimensions:	6.40(w) x 9.25(h) x 1.17(d)

About the Author

Martin T. Biegelman, CFE, CCEP, has been fighting fraud and corruption for 40 years in various roles in law enforcement, consulting, and the corporate sector. He is currently the Executive Vice President of U.S. Operations for IPSA International, a global risk advisory firm. His extensive experience include conducting internal investigations on behalf of corporate management and boards, FCPA and anti-bribery compliance, litigation consulting, due diligence, and corporate compliance design and implementation. He previously served as the Director of Financial Integrity at Microsoft Corporation. This highly acclaimed fraud prevention and anti-corruption compliance program that he founded and led continues to be a model for other global companies. Mr. Biegelman is a sought-after speaker, prolific author, and the recipient of the prestigious Cressey Award bestowed by the Association of Certified Fraud Examiners for lifetime achievements in the detection and deterrence of fraud.

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Table of Contents

Foreword xi

Preface xiii

Acknowledgments xvii

About the Author xix

CHAPTER 1 Why Ethics and Compliance Will Always Matter 1

CHAPTER 2 Tone at the Top and Throughout 25

CHAPTER 3 The Growth and Evolution of Compliance 45

CHAPTER 4 Caremark and Sarbanes-Oxley: Enhancing Compliance 71

CHAPTER 5 CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal 87

CHAPTER 6 The International Landscape of Compliance 107

CHAPTER 7 Compliance Programs and Anti-Money Laundering Efforts 131
By Marc B. Sherman, Laura Connor, and David Meilstrup

About the Chapter Authors 148

CHAPTER 8 Interview with an Ethics and Compliance Thought Leader 149

CHAPTER 9 Building a World-Class Compliance Program: The Seven Steps in Practice (Part I) 163

CHAPTER 10 Building a World-Class Compliance Program: The Seven Steps in Practice (Part II) 191

CHAPTER 11 Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award 219

CHAPTER 12 Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan 233

CHAPTER 13 The Skunk in the Room 257

Appendix A: Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps 269

Appendix B: Sample Compliance Program Charter 277

Appendix C: Resources for Compliance Professionals 283

Index 291

What People are Saying About This

From the Publisher

"For those who benefited from reading Martin’s first book, Executive Roadmap to Fraud Prevention and Internal Control, you now have the ‘Atlas’ on ethics and compliance. The compliance insights, poignant case studies, and best practices provide a significant value-added for executives who must set the ‘tone at the top’ and for those who struggle day-to-day to establish and maintain ethical and compliant behavior within their organizations. A must-read for faculty and particularly students, for whom the lessons so expertly presented here will shape the ethical compass of future careers."—George E. Curtis, J.D. Associate Professor and former Director of Economic Crime Programs, Utica College

"Building a World-Class Compliance Program is essential reading for in-house executives of all stripes. Boards, management, legal counsel, HR, and compliance officers all will find this ‘how to’ guide filled with practical advice and tips. For all people interested in how to avoid their company becoming the next Enron, this book is a must-read. It chronicles real-life examples of corporate malfeasance ripped from the headlines and offers sage measures to enhance corporate compliance programs so as to detect and deter such conduct. Given the expertise of the author—with years of experience in both law enforcement and in-house compliance—this is the preeminent guide to corporate fraud prevention."—Andrew Weissmann, Partner, Jenner & Block and former director, U.S. Department of Justice Enron Task Force