| compliance program risk assessment: Compliance Risk Assessments -- an Introduction Judith Spain, 2020-02 |
| compliance program risk assessment: Enterprise Compliance Risk Management Saloni Ramakrishna, 2015-09-04 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 program risk assessment: Risk Management and Assessment Jorge Rocha, Sandra Oliveira, César Capinha, 2020-10-14 Risk analysis, risk evaluation and risk management are the three core areas in the process known as 'Risk Assessment'. Risk assessment corresponds to the joint effort of identifying and analysing potential future events, and evaluating the acceptability of risk based on the risk analysis, while considering influencing factors. In short, risk assessment analyses what can go wrong, how likely it is to happen and, if it happens, what are the potential consequences. Since risk is a multi-disciplinary domain, this book gathers contributions covering a wide spectrum of topics with regard to their theoretical background and field of application. The work is organized in the three core areas of risk assessment. |
| compliance program risk assessment: United States Attorneys' Manual United States. Department of Justice, 1985 |
| compliance program risk assessment: Governance, Risk Management, and Compliance Richard M. Steinberg, 2011-08-02 An expert's insider secrets to how successful CEOs and directors shape, lead, and oversee their organizations to achieve corporate goals Governance, Risk Management, and Compliance shows senior executives and board members how to ensure that their companies incorporate the necessary processes, organization, and technology to accomplish strategic goals. Examining how and why some major companies failed while others continue to grow and prosper, author and internationally recognized expert Richard Steinberg reveals how to cultivate a culture, leadership process and infrastructure toward achieving business objectives and related growth, profit, and return goals. Explains critical factors that make compliance and ethics programs and risk management processes really work Explores the board's role in overseeing corporate strategy, risk management, CEO compensation, succession planning, crisis planning, performance measures, board composition, and shareholder communications Highlights for CEOs, senior management teams, and board members the pitfalls to avoid and what must go right for success Outlines the future of corporate governance and what's needed for continued effectiveness Written by well-known corporate governance and risk management expert Richard Steinberg Governance, Risk Management, and Compliance lays a sound foundation and provides critical insights for understanding the role of governance, risk management, and compliance and its successful implementation in today's business environment. |
| compliance program risk assessment: Building a World-Class Compliance Program Martin T. Biegelman, 2008-06-20 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. |
| compliance program risk assessment: Five Steps to Risk Assessment HSE Books, Health and Safety Executive, 2006 Offers guidance for employers and self employed people in assessing risks in the workplace. This book is suitable for firms in the commercial, service and light industrial sectors. |
| compliance program risk assessment: Complete Healthcare Compliance Manual 2021 , 2021-04 |
| compliance program risk assessment: COSO Enterprise Risk Management Robert R. Moeller, 2007-07-20 Praise for COSO Enterprise Risk Management COSO ERM is a thoughtful introduction to the challenges of risk management at the enterprise level and contains a wealth of information on dealing with it through the use of the COSO framework. Detailed procedures covering a wide variety of situations are followed by a thorough explanation of how each is deployed. As a project management professional, I appreciate how the author addresses the need for risk management at a project level. His background as someone who 'practices what they preach' and realizes the impact of the Sarbanes-Oxley auditing rules comes through clearly in the book, and it should be mandatory reading for anyone seeking to understand how to tackle their own ERM issues. --Greg Gomel, PMP, CQM, CSQE, ITIL, Director, Project Management, Insight North America This volume clearly and comprehensively outlines the usefulness of COSO Enterprise Risk Management guidance. It should provide considerable benefit to those having governance responsibilities in this important area. --Curtis Verschoor, L & Q Research Professor, School of Accountancy and MISDePaul University, Chicago Transform your company's internal control function into a valuable strategic tool Today's companies are expected to manage a variety of risks that would have been unthinkable a decade ago. More than ever, it is vital to understand the dimensions of risk as well as how to best manage it to gain a competitive advantage. COSO Enterprise Risk Management clearly enables organizations of all types and sizes to understand and better manage their risk environments and make better decisions through use of the COSO ERM framework. A pragmatic guide for integrating ERM with COSO internal controls, this important book: Offers you expert advice on how to carry out internal control responsibilities more efficiently Updates you on the ins and outs of the COSO Report and its emergence as the new platform for understanding all aspects of risk in today's organization Shows you how an effective risk management program, following COSO ERM, can help your organization to better comply with the Sarbanes-Oxley Act Knowledgeably explains how to implement an effective ERM program COSO Enterprise Risk Management is the invaluable working resource that will show you how to identify risks, avoid pitfalls within your corporation, and keep it moving ahead of the competition. |
| compliance program risk assessment: OECD Reviews of Regulatory Reform Risk and Regulatory Policy Improving the Governance of Risk OECD, 2010-04-09 This publication presents recent OECD papers on risk and regulatory policy. They offer measures for developing, or improving, coherent risk governance policies. |
| compliance program risk assessment: The Cambridge Handbook of Compliance Benjamin van Rooij, D. Daniel Sokol, 2021-05-20 Compliance has become key to our contemporary markets, societies, and modes of governance across a variety of public and private domains. While this has stimulated a rich body of empirical and practical expertise on compliance, thus far, there has been no comprehensive understanding of what compliance is or how it influences various fields and sectors. The academic knowledge of compliance has remained siloed along different disciplinary domains, regulatory and legal spheres, and mechanisms and interventions. This handbook bridges these divides to provide the first one-stop overview of what compliance is, how we can best study it, and the core mechanisms that shape it. Written by leading experts, chapters offer perspectives from across law, regulatory studies, management science, criminology, economics, sociology, and psychology. This volume is the definitive and comprehensive account of compliance. |
| compliance program risk assessment: Corporate Compliance Answer Book Christopher A. Myers, Kwamina Thomas Williford, 2018-11 Representing the combined work of more than forty leading compliance attorneys, Corporate Compliance Answer Book helps you develop, implement, and enforce compliance programs that detect and prevent wrongdoing. You'll learn how to: Use risk assessment to pinpoint and reduce your company's areas of legal exposureApply gap analysis to detect and eliminate flaws in your compliance programConduct internal investigations that prevent legal problems from becoming major crisesDevelop records management programs that prepare you for the e-discovery involved in investigations and litigationSatisfy labor and employment mandates, environmental rules, lobbying and campaign finance laws, export control regulations, and FCPA anti-bribery standardsMake voluntary disclosures and cooperate with government agencies in ways that mitigate the legal, financial and reputational damages caused by violationsFeaturing dozens of real-world case studies, charts, tables, compliance checklists, and best practice tips, Corporate Compliance Answer Book pays for itself over and over again by helping you avoid major legal and financial burdens. |
| compliance program risk assessment: Foundation Programme Douglas Armour, Santhie Goundar, Kelly Padwick, 2018-06-29 |
| compliance program risk assessment: Risk Assessment in the Federal Government National Research Council, Division on Earth and Life Studies, Commission on Life Sciences, Committee on the Institutional Means for Assessment of Risks to Public Health, 1983-02-01 The regulation of potentially hazardous substances has become a controversial issue. This volume evaluates past efforts to develop and use risk assessment guidelines, reviews the experience of regulatory agencies with different administrative arrangements for risk assessment, and evaluates various proposals to modify procedures. The book's conclusions and recommendations can be applied across the entire field of environmental health. |
| compliance program risk assessment: Guidelines Manual United States Sentencing Commission, 1995 |
| compliance program risk assessment: FISMA Compliance Handbook Laura P. Taylor, 2013-08-20 This comprehensive book instructs IT managers to adhere to federally mandated compliance requirements. FISMA Compliance Handbook Second Edition explains what the requirements are for FISMA compliance and why FISMA compliance is mandated by federal law. The evolution of Certification and Accreditation is discussed. This book walks the reader through the entire FISMA compliance process and includes guidance on how to manage a FISMA compliance project from start to finish. The book has chapters for all FISMA compliance deliverables and includes information on how to conduct a FISMA compliant security assessment. Various topics discussed in this book include the NIST Risk Management Framework, how to characterize the sensitivity level of your system, contingency plan, system security plan development, security awareness training, privacy impact assessments, security assessments and more. Readers will learn how to obtain an Authority to Operate for an information system and what actions to take in regards to vulnerabilities and audit findings. FISMA Compliance Handbook Second Edition, also includes all-new coverage of federal cloud computing compliance from author Laura Taylor, the federal government's technical lead for FedRAMP, the government program used to assess and authorize cloud products and services. - Includes new information on cloud computing compliance from Laura Taylor, the federal government's technical lead for FedRAMP - Includes coverage for both corporate and government IT managers - Learn how to prepare for, perform, and document FISMA compliance projects - This book is used by various colleges and universities in information security and MBA curriculums |
| compliance program risk assessment: The Complete Compliance and Ethics Manual 2022 Parkin, 2022-01-19 |
| compliance program risk assessment: Co-operative Compliance: A Framework From Enhanced Relationship to Co-operative Compliance OECD, 2013-07-29 This report examines the relationship between large business taxpayers and revenue bodies, five years on from the publication of the FTA’s Study into the Role of Tax Intermediaries. |
| compliance program risk assessment: Guidelines for Risk Based Process Safety CCPS (Center for Chemical Process Safety), 2011-11-30 Guidelines for Risk Based Process Safety provides guidelines for industries that manufacture, consume, or handle chemicals, by focusing on new ways to design, correct, or improve process safety management practices. This new framework for thinking about process safety builds upon the original process safety management ideas published in the early 1990s, integrates industry lessons learned over the intervening years, utilizes applicable total quality principles (i.e., plan, do, check, act), and organizes it in a way that will be useful to all organizations - even those with relatively lower hazard activities - throughout the life-cycle of a company. |
| compliance program risk assessment: Standards for Internal Control in the Federal Government United States Government Accountability Office, 2019-03-24 Policymakers and program managers are continually seeking ways to improve accountability in achieving an entity's mission. A key factor in improving accountability in achieving an entity's mission is to implement an effective internal control system. An effective internal control system helps an entity adapt to shifting environments, evolving demands, changing risks, and new priorities. As programs change and entities strive to improve operational processes and implement new technology, management continually evaluates its internal control system so that it is effective and updated when necessary. Section 3512 (c) and (d) of Title 31 of the United States Code (commonly known as the Federal Managers' Financial Integrity Act (FMFIA)) requires the Comptroller General to issue standards for internal control in the federal government. |
| compliance program risk assessment: Corruption, Crime and Compliance Michael Volkov, 2011-10 Michael Volkov's career has spanned 30 years as an attorney in Washington, D.C. - as a federal prosecutor, a Chief Counsel on the Senate and House Judiciary Committees, a trial attorney in the Antitrust Division and in private practice. This book will help anyone better understand anti-bribery compliance in the U.S. and beyond. Michael Volkov's book is a compilation of articles on a number of subjects important to lawyers advising clients how to stay out of trouble. He is a prolific writer and I can say without question, we have not heard the last of his musings. Simply put, his book contains important information that should prove helpful to lawyers, particularly to those who practice in the white collar field. - Judge Stanley Sporkin, Former Director of the Division of Enforcement, U.S. Securities and Exchange Commission. |
| compliance program risk assessment: Competition Law Compliance Programmes Johannes Paha, 2016-10-12 This book reviews and presents antitrust law compliance programmes from different angles. These programmes have been increasingly implemented and refined by firms over recent years, and various aspects of this topic have been researched. The contributions in this book extend beyond the treatment of legal issues and show how lawyers, economists, psychologists, and business scholars can help design antitrust law compliance programmes more effectively and run them more efficiently. |
| compliance program risk assessment: Fair Lending Compliance Clark R. Abrahams, Mingyuan Zhang, 2008-03-14 Praise for Fair Lending ComplianceIntelligence and Implications for Credit Risk Management Brilliant and informative. An in-depth look at innovative approaches to credit risk management written by industry practitioners. This publication will serve as an essential reference text for those who wish to make credit accessible to underserved consumers. It is comprehensive and clearly written. --The Honorable Rodney E. Hood Abrahams and Zhang's timely treatise is a must-read for all those interested in the critical role of credit in the economy. They ably explore the intersection of credit access and credit risk, suggesting a hybrid approach of human judgment and computer models as the necessary path to balanced and fair lending. In an environment of rapidly changing consumer demographics, as well as regulatory reform initiatives, this book suggests new analytical models by which to provide credit to ensure compliance and to manage enterprise risk. --Frank A. Hirsch Jr., Nelson Mullins Riley & Scarborough LLP Financial Services Attorney and former general counsel for Centura Banks, Inc. This book tackles head on the market failures that our current risk management systems need to address. Not only do Abrahams and Zhang adeptly articulate why we can and should improve our systems, they provide the analytic evidence, and the steps toward implementations. Fair Lending Compliance fills a much-needed gap in the field. If implemented systematically, this thought leadership will lead to improvements in fair lending practices for all Americans. --Alyssa Stewart Lee, Deputy Director, Urban Markets Initiative The Brookings Institution [Fair Lending Compliance]...provides a unique blend of qualitative and quantitative guidance to two kinds of financial institutions: those that just need a little help in staying on the right side of complex fair housing regulations; and those that aspire to industry leadership in profitably and responsibly serving the unmet credit needs of diverse businesses and consumers in America's emerging domestic markets. --Michael A. Stegman, PhD, The John D. and Catherine T. MacArthur Foundation, Duncan MacRae '09 and Rebecca Kyle MacRae Professor of Public Policy Emeritus, University of North Carolina at Chapel Hill |
| compliance program risk assessment: HBR Guide to Making Better Decisions Harvard Business Review, 2020-02-11 Learn how to make better; faster decisions. You make decisions every day--from prioritizing your to-do list to choosing which long-term innovation projects to pursue. But most decisions don't have a clear-cut answer, and assessing the alternatives and the risks involved can be overwhelming. You need a smarter approach to making the best choice possible. The HBR Guide to Making Better Decisions provides practical tips and advice to help you generate more-creative ideas, evaluate your alternatives fairly, and make the final call with confidence. You'll learn how to: Overcome the cognitive biases that can skew your thinking Look at problems in new ways Manage the trade-offs between options Balance data with your own judgment React appropriately when you've made a bad choice Communicate your decision--and overcome any resistance Arm yourself with the advice you need to succeed on the job, from a source you trust. Packed with how-to essentials from leading experts, the HBR Guides provide smart answers to your most pressing work challenges. |
| compliance program risk assessment: Co-operative Compliance and the OECD’s International Compliance Assurance Programme Ronald Hein, Ronald Russo, 2020-06-10 Prominent among initiatives addressing the urgent need for a common understanding between multinational enterprises (MNEs) and national tax authorities about risks and risk assessment is the International Compliance Assurance Programme (ICAP), which provides a channel for MNEs to engage in simultaneous discussions with multiple national tax administrations, thus enhancing the potential for advance tax assurance. To a certain extent, the ICAP represents the internationalization of Co-operative Compliance frameworks which were, until then, restricted within the borders of single jurisdictions. This book is the first to investigate Co-operative Compliance alongside with the ICAP, describing developments in twelve countries (Australia, Austria, Canada, Germany, Italy, Japan, the Netherlands, Norway, Poland, Spain, the United Kingdom, and the United States). Following a general introduction, two opening perspectives on the ICAP are presented, one from the OECD and one from a participating tax administration (the Netherlands), leading to the twelve country reports and a special chapter on transfer pricing, which is the main issue in international tax disputes. Specific elements reviewed include the following: criteria to enter the programme; the range of taxes covered by the programme; real-time consultation procedures; appeal procedures within the programme; the possibility to ‘agree to disagree’ and to continue Co-operative Compliance even in cases of litigation; risk management strategies within tax authorities; corporate administrative compliance burden; and main sources of tax uncertainty. Country reports are contributed by tax professionals and tax academics experienced in dealing with Co-operative Compliance and the ICAP. Each report addresses the same questions, so that all the reports cover the same features of domestic relationship approaches and the ICAP. A final chapter reviews the collected contributions and offers some concluding remarks. Although the ICAP process probably will undergo further adjustments, it is certain that the road to more international cooperation between tax authorities and MNEs is now open. This timely book, as a comparative review of the implementation of the ICAP among leading jurisdictions active in global trade, provides matchless insights into trends, similarities, differences and their implications. It will be welcomed by all stakeholders in the international tax community, including lawyers, taxation authorities and academics. |
| compliance program risk assessment: Responsive Regulation Ian Ayres, John Braithwaite, 1995-02-16 This book transcends current debate on government regulation by lucidly outlining how regulations can be a fruitful combination of persuasion and sanctions. The regulation of business by the United States government is often ineffective despite being more adversarial in tone than in other nations. The authors draw on both empirical studies of regulation from around the world and modern game theory to illustrate innovative solutions to this problem. Their ideas include an argument for the empowerment of private and public interest groups in the regulatory process and a provocative discussion of how the government can support and encourage industry self-regulation. |
| compliance program risk assessment: International Convergence of Capital Measurement and Capital Standards , 2004 |
| compliance program risk assessment: HBR's 10 Must Reads on Making Smart Decisions (with featured article "Before You Make That Big Decision..." by Daniel Kahneman, Dan Lovallo, and Olivier Sibony) Harvard Business Review, Daniel Kahneman, Ram Charan, 2013-03-05 Learn why bad decisions happen to good managers—and how to make better ones. If you read nothing else on decision making, read these 10 articles. We’ve combed through hundreds of articles in the Harvard Business Review archive and selected the most important ones to help you and your organization make better choices and avoid common traps. Leading experts such as Ram Charan, Michael Mankins, and Thomas Davenport provide the insights and advice you need to: Make bold decisions that challenge the status quo Support your decisions with diverse data Evaluate risks and benefits with equal rigor Check for faulty cause-and-effect reasoning Test your decisions with experiments Foster and address constructive criticism Defeat indecisiveness with clear accountability |
| compliance program risk assessment: The Upside of Risk Michael Berman, 2021-07-08 The goal of risk management isn't to eliminate risk. It's to understand it. Strategic risk management isn't just about how, it's about why. In The Upside of Risk, author Michael Berman shows readers why risk management and strategic planning are inseparable. Building off research, historical examples, and the most current enterprise risk management framework, he shows why good risk management isn't about risk avoidance. It's about risk awareness, which empowers financial institutions to be prepared, protected, and positioned for opportunities. Underlining his message with lessons learned from the financial crisis and the COVID-19 pandemic, Berman coaches readers to critically and systematically evaluate the assumptions propelling the decision-making process. From governance and culture to risk assessments and setting measurable strategy goals and objectives, he demonstrates why the most successful financial institutions approach risk management with curiosity and an open mind, leveraging their discoveries to make smarter decisions that support long-term strategic goals. Thoughtful and accessible, The Upside of Risk weaves together risk management theory and practical advice to deliver actionable takeaways for transforming risk management into a strategic advantage. It's a must-read for anyone in the banking industry who cares about creating value and building resilient institutions. |
| compliance program risk assessment: Compliance Risk Management: Developing Compliance Improvement Plans Mr. John D Brondolo, Annette Chooi, Trevor Schloss, Anthony Siouclis, 2022-03-18 All tax administrations seek to maximize the overall level of compliance with tax laws. Compliance improvement plans (CIPs) are a valuable tool for increasing taxpayers’ compliance and boosting tax revenue. This note is intended to help tax administrations develop a CIP, by providing guidance on the following issues: (1) how to identify and rate compliance risks; (2) how to treat risks to achieve the best possible outcome; and (3) how to measure the impacts that treatments have had on compliance outcomes. |
| compliance program risk assessment: The Complete Compliance and Ethics Manual - 2021 Society of Corporate Compliance and Ethics, 2020-12-15 |
| compliance program risk assessment: BEST PRACTICES TO IMPLEMENT A SANCTION’S COMPLIANCE PROGRAM IN INTERNATIONAL BANKING Marcos Tinedo, 2020-07-17 This book addresses the basic and key elements that must be considered to successfully administer a sanctions compliance program in an international financial institution, emphasizing the application of policies, procedures, internal controls and best practices based on the Sanctions regime-OFAC / USA; however, it should be noted that with the corresponding adjustments, these guidelines are also applicable to other sanctions regimes worldwide such as: UN (UNSC), EU (CFSP), United Kingdom (HMT / OFSI), Australia (DFTA / OSAS), Switzerland (SECO), Canada (SEMA), among others. For this, in the first Chapter of the book we will address definitions and basic concepts of a Sanctions regime, and then in Chapter II, outline the relevant sanctions programs worldwide. Next, in Chapter III, the processes inherent in a Sanctions program will be exposed, where reference will be made to the technique of information screening / filtering, maintenance of sanctions lists, as well as the administration and specific actions to follow. when identifying alerts; Chapter IV will make a general exposition of the requirements to establish a program for evaluating the risk of sanctions in the primary business / support functions of an international bank, and then in Chapter V will expose the basic components that a sanctions compliance program, and the key functions that key actors within a financial institution must play to manage the risk of sanctions; Last but not least, Chapter VI will present the inherent control processes that any sanction compliance program must entail, so as to guarantee its effectiveness and proper operation. Additionally, at the end I included three appendices where information related to: (i) Identification Definition Program for Sanctions lists-OFAC; (ii) Maker-Maker and Maker-Checker control design approach; (iii) Definitions of risk issues associated with Sanctions; and (iv) Recommended bibliography, which includes links to the websites of the main organizations worldwide that administer sanctions regimes at the international level. |
| compliance program risk assessment: Ethics and Compliance Programs in Multinational Organizations Katharina Wulf, 2012-02-21 The study examines how multinational organizations implement the concept of ethics and compliance programs into their businesses and the extent to which these programs were geared to the 2004 Amendments. The study explores the applicability of the 2004 Amendments and analyzes the instruments organizations use to successfully develop and maintain these programs. By including research from various fields, a theoretical framework was developed for implementing an ethics and compliance program that takes into account the 2004 Amendments |
| compliance program risk assessment: Compliance and Ethics Risk Assessment Jeffrey Kaplan, 2020-05-05 First published by Corporate Compliance Insights in 2014, Jeff Kaplan's Compliance & Ethics Risk Assessment: Concepts, Methods and New Directions covers an array of risk assessment ideas, methods, practices, tools and noteworthy items of C&E-related history. It's more than a compilation of Kaplan's popular columns for Corporate Compliance Insights - the timeless book supplements and informs C&E risk assessments of all kinds, whether COSO-based or otherwise.Kaplan has revised and expanded this popular and authoritative handbook for today's compliance professionals, including a new chapter exploring DOJs May 2019 updates to the guidance for evaluating the effectiveness of compliance programs. |
| compliance program risk assessment: The Managed Health Care Handbook Peter Reid Kongstvedt, 2001 This thoroughly revised and updated book provides a strategic and operational resource for use in planning and decision-making. The Handbook enables readers to fine-tune operation strategies by providing updates on critical managed care issues, insights to the complex managed care environment, and methods to gain and maintain cost-efficient, high quality health services. With 30 new chapters, it includes advice from managers in the field on how to succeed in every aspect of managed care including: quality management, claims and benefits administration, and managing patient demand. The Handbook is considered to be the standard resource for the managed care industry. |
| compliance program risk assessment: COMPLETE COMPLIANCE AND ETHICS MANUAL , 2018 |
| compliance program risk assessment: From Codes of Conduct to Ethics and Compliance Programs Katharina Wulf, 2011 Codes of Conduct formulieren Verhaltensstandards und steuern Verhaltensweisen von Mitarbeiterinnen und Mitarbeitern in Unternehmen. Sie sollen dazu beitragen, Korruption, Bestechung, Betrug und Diskriminierung zu verhindern. Codes of conduct dienen der Selbstkontrolle und sind Selbstverpflichtungen der Unternehmen, sich gesetzeskonform und in ethischer Hinsicht einwandfrei zu verhalten. Zur Entwicklung, Einfuhrung und Durchsetzung von Codes of Conduct sind Ethics & Compliance Programme notwendig, die den Mitarbeitern die Ziele und Inhalte der Codes vermitteln. Je nach bereichsspezifischer und regionaler Ausrichtung der Unternehmen unter- scheiden sich ihre Codes of Conduct in Inhalt und Gestaltung. In dieser Studie werden die Codes of Conduct von sechs Pharmaunternehmen in Europa, USA und Japan analysiert und verglichen. |
| compliance program risk assessment: The Health Care Compliance Professional's Manual Hcca, 2007 The Health Care Compliance Professional's Manual gives you all the tools you need to plan and execute a customized compliance program that meets federal standards. It walks you through the entire process, start to finish, showing you how to draft compliance policies, build a strong compliance infrastructure in your organization, document your efforts, apply self-assessment techniques, create an effective education program, pinpoint areas of risk, conduct internal probes and much more. The Health Care Compliance Professional's Manual is used by the Health Care Compliance Association (HCCA) as the basic text for its Compliance Academy - the program that prepares compliance professionals for the CHC (Certificate in Healthcare Compliance) certification exam. The Health Care Compliance Professional's Manual will help you to: Use OIG publications and Federal Sentencing Guidelines to help plan and execute a customized compliance strategy that meets tough federal standards Perform risk assessment to pinpoint areas within your company that pose compliance and operational risks Draft compliance policies that form the foundation for a strong compliance program Build a strong infrastructure for compliance to work, including hiring the right personnel Create an effective education and training program that instills in employees the value of legal compliance Conduct internal probes that uncover legal violations before the federal government does - and mitigate possible penalties Stay up-to-date on all the latest legal and regulatory requirements affecting your facility, including HIPAA, EMTALA, fraud and abuse reimbursement, privacy, security, patient safety and much more! Packed with tools to make your job easier, The Health Care Compliance Professional's Manual will provide: Practical coverage of federal and state laws governing your facility Document efforts and apply self assessment techniques Insight into helpful federal standards on effective compliance programs Step-by-step guidance on implementing a sound compliance program Time-saving sample compliance policies, forms, checklists, and chart The Health Care Compliance Professional's Manual will protect your company if violations do occur: Learn how to apply auditing, monitoring, and self-assessment techniques Discover how to successfully follow the OIG's voluntary disclosure program to resolve overpayment problems and avoid exclusion from Medicare Find out how to enter into a corporate integrity agreement to settle with the federal government and mitigate FCA-related penalties Document your compliance efforts so you leave a protective paper trail that shields you from liability And much more |
| compliance program risk assessment: Successful Health & Safety Management Great Britain. Health and Safety Executive, 1991 The costs of failure to manage health and safety successfully are high. This manual was prepared by HSE's Accident Prevention Advisory Unit as a practical guide for directors, managers and health and safety professionals intent on improving health and safety performance. The advice given here will be increasingly used by HSE inspectors as a basis for testing the performance of organizations against the general duties of the Health and Safety at Work etc Act 1974. |
| compliance program risk assessment: Implementing a Comprehensive Research Compliance Program Aurali Dade, Lori Olafson, Suzan M. DiBella, 2015-07-01 The senior research compliance administrator has emerged as a critically important position as universities and other research organizations face an increasingly intricate regulatory environment. These administrators are tasked with a special challenge: ensuring that their institutions conduct safe, ethical, and compliant research while also helping researchers understand and meet compliance requirements and achieve their research goals. These competing responsibilities can make the role of the research administrator complex; however, those who serve in this role may find that they have limited preparation for the challenges and little or no formal education in the field. Thus, the goal of this handbook is to provide practical guidance to research administrators who are responsible for a wide variety of compliance programs. Previous volumes on these topics have focused primarily on educating research faculty, staff, and students. An assumption in many of these handbooks is that all additional questions related to research ethics and regulations should be directed to the senior research administrator; yet, the books have limited guidance intended for the senior research administrators themselves. This handbook is designed, therefore, to serve as a detailed program implementation manual for these administrators, who are expected to be conversant on a broad range of complex ethical and regulatory topics and to provide guidance to those conducting research, as well as upper administration and others interested in safe, ethical, and compliant research. |
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The meaning of COMPLIANCE is the act or process of complying to a desire, demand, proposal, or regimen or to coercion. How to use compliance in a sentence.
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COMPLIANCE definition: 1. the act of obeying a law or rule, especially one that controls a particular industry or type of…. Learn more.
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What Is Compliance? A Comprehensive Guide - The Knowledge …
May 28, 2025 · Compliance refers to conforming to laws, regulations, guidelines, and standards relevant to a particular industry or sector. It entails adhering to prescribed rules and fulfilling …
COMPLIANCE definition and meaning | Collins English Dictionary
Compliance with something, for example a law, treaty, or agreement means doing what you are required or expected to do. Inspectors were sent to visit nuclear sites and verify compliance …
Compliance - definition of compliance by The Free Dictionary
1. the act of conforming, acquiescing, or yielding. 2. a tendency to yield readily to others, esp. meekly. 3. conformity; accordance: in compliance with orders. 4. cooperation or obedience: …
Compliance Program: Definition, Purpose, and How to Create One
Jul 9, 2022 · What Is a Compliance Program? A compliance program is a company's set of internal policies and procedures put into place in order to comply with laws, rules, and …
