Corporate Compliance Risk Assessment Template

  corporate compliance risk assessment template: Compliance Risk Assessments -- an Introduction Judith Spain, 2020-02
  corporate compliance risk assessment template: Complete Healthcare Compliance Manual 2021 , 2021-04
  corporate compliance risk assessment template: United States Attorneys' Manual United States. Department of Justice, 1985
  corporate compliance risk assessment template: Corporate Compliance (Paperback) Carole Basri, 2023-06 This versatile casebook covers corporate compliance generally, allowing professors to tailor the course as narrowly or as broadly as they prefer. The assignments in the casebook help professors verify that their students understand the topics and are able to apply the skills acquired practically. The book covers creating an effective compliance program, as well as ethics awareness; corporate governance; risk assessment; compliance training; testing and surveillance; auditing, monitoring, and reporting; global codes of conduct; and corporate compliance links to attorney-client privilege, records management, internal investigations, and crisis management.
  corporate compliance risk assessment template: 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.
  corporate compliance risk assessment template: Risk Management and Corporate Governance Organization for Economic Cooperation and Development, 2014 This sixth peer review of the OECD Principles of Corporate Governance analyses the corporate governance framework and practices relating to corporate risk management, in the private sector and in state-owned enterprises. The review covers 26 jurisdictions and is based on a general survey of all participating jurisdictions in December 2012, as well as an in-depth review of corporate risk management in Norway, Singapore and Switzerland. The report finds that while risk-taking is a fundamental driving force in business and entrepreneurship, the cost of risk management failures is often underestimated, both externally and internally, including the cost in terms of management time needed to rectify the situation. The reports thus concludes that corporate governance should ensure that risks are understood, managed, and, when appropriate, communicated.
  corporate compliance risk assessment template: Critical Infrastructure Risk Assessment Ernie Hayden, MIPM, CISSP, CEH, GICSP(Gold), PSP, 2020-08-25 ASIS Book of The Year Winner as selected by ASIS International, the world's largest community of security practitioners Critical Infrastructure Risk Assessment wins 2021 ASIS Security Book of the Year Award - SecurityInfoWatch ... and Threat Reduction Handbook by Ernie Hayden, PSP (Rothstein Publishing) was selected as its 2021 ASIS Security Industry Book of the Year. As a manager or engineer have you ever been assigned a task to perform a risk assessment of one of your facilities or plant systems? What if you are an insurance inspector or corporate auditor? Do you know how to prepare yourself for the inspection, decided what to look for, and how to write your report? This is a handbook for junior and senior personnel alike on what constitutes critical infrastructure and risk and offers guides to the risk assessor on preparation, performance, and documentation of a risk assessment of a complex facility. This is a definite “must read” for consultants, plant managers, corporate risk managers, junior and senior engineers, and university students before they jump into their first technical assignment.
  corporate compliance risk assessment template: The Complete Compliance and Ethics Manual - 2021 Society of Corporate Compliance and Ethics, 2020-12-15
  corporate compliance risk assessment template: The Reputation Risk Handbook Andrea Bonime-Blanc, 2017-09-08 This book will show you how to build a sustainable reputation risk management framework and how to handle your next reputation risk crisis. It will help you identify ways in which reputation risk can impact bottom line, and then show you how to set up a framework for turning that risk into an opportunity for good, sustainable business. Reputation risk is a strategic risk and a potentially material risk, all the more so in the age of hyper-transparency. This needs to be clearly understood by both management and boards of directors so that the people tasked with reputation risk have the support they need to align their reputation risk management with business strategy and planning. The Reputation Risk Handbook provides a clear framework to identify, manage and resolve reputation risk, including: a clear description of what reputation risk is and how it fits within the pantheon of corporate and institutional risk and strategic management; a practical process for creating early warning systems and on-going management and monitoring of reputation risks; techniques for aligning reputation risk management with business strategy and business planning; several case studies, including examples of when reputation risk management has gone wrong; examples of how to manage specific reputation risks successfully or deal with a reputation risk crisis. The Reputation Risk Handbook is not just for practitioners – those who manage risk and reputation directly – but for those who have oversight of risk management – namely boards, their committees and the c-suite. In addition to a framework for practitioners, the book provides specific suggestions for boards, including questions to ask management and what to look for within their organizations.
  corporate compliance risk assessment template: Risk Management Handbook Federal Aviation Administration, 2012-07-03 Every day in the United States, over two million men, women, and children step onto an aircraft and place their lives in the hands of strangers. As anyone who has ever flown knows, modern flight offers unparalleled advantages in travel and freedom, but it also comes with grave responsibility and risk. For the first time in its history, the Federal Aviation Administration has put together a set of easy-to-understand guidelines and principles that will help pilots of any skill level minimize risk and maximize safety while in the air. The Risk Management Handbook offers full-color diagrams and illustrations to help students and pilots visualize the science of flight, while providing straightforward information on decision-making and the risk-management process.
  corporate compliance risk assessment template: 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.
  corporate compliance risk assessment template: COMPLETE COMPLIANCE AND ETHICS MANUAL , 2018
  corporate compliance risk assessment template: International Convergence of Capital Measurement and Capital Standards , 2004
  corporate compliance risk assessment template: Environment of Care Risk Assessment Joint Commission Resources, Inc, 2008 In a health care environment, risks abound. This must-have book provides organizations with the tools and know-how to conduct effective assessments of potential risks and take steps to minimize them. Whether the risk issue is infant and pediatric abduction, infection control during construction, fire safety, or potential disaster emergencies, Environment of Carer Risk Assessment guides organizations through a basic risk assessment process and suggests potential high-profile, high-risk areas for consideration. It shows how to use existing standards tools such as the Periodic Performance Review, Interim Life Safety Measures, the hazard vulnerability analysis, and more. And, it provides case studies, examples, and worksheets for assessing and minimizing risk and includes a CD-ROM with interactive risk assessment forms. Performing risk assessments can help organizations avoid OSHA fines, accreditation noncompliance, and more. But the bottom line is that by performing prudent and timely risk assessments, organizations can help ensure patient, staff, and visitor safety.
  corporate compliance risk assessment template: Government Auditing Standards - 2018 Revision United States Government Accountability Office, 2019-03-24 Audits provide essential accountability and transparency over government programs. Given the current challenges facing governments and their programs, the oversight provided through auditing is more critical than ever. Government auditing provides the objective analysis and information needed to make the decisions necessary to help create a better future. The professional standards presented in this 2018 revision of Government Auditing Standards (known as the Yellow Book) provide a framework for performing high-quality audit work with competence, integrity, objectivity, and independence to provide accountability and to help improve government operations and services. These standards, commonly referred to as generally accepted government auditing standards (GAGAS), provide the foundation for government auditors to lead by example in the areas of independence, transparency, accountability, and quality through the audit process. This revision contains major changes from, and supersedes, the 2011 revision.
  corporate compliance risk assessment template: The Security Risk Assessment Handbook Douglas Landoll, 2016-04-19 The Security Risk Assessment Handbook: A Complete Guide for Performing Security Risk Assessments provides detailed insight into precisely how to conduct an information security risk assessment. Designed for security professionals and their customers who want a more in-depth understanding of the risk assessment process, this volume contains real-wor
  corporate compliance risk assessment template: Occupational Health and Safety in the Care and Use of Nonhuman Primates National Research Council, Division on Earth and Life Studies, Institute for Laboratory Animal Research, Committee on Occupational Health and Safety in the Care and Use of Nonhuman Primates, 2003-06-13 The field of occupational health and safety constantly changes, especially as it pertains to biomedical research. New infectious hazards are of particular importance at nonhuman-primate facilities. For example, the discovery that B virus can be transmitted via a splash on a mucous membrane raises new concerns that must be addressed, as does the discovery of the Reston strain of Ebola virus in import quarantine facilities in the U.S. The risk of such infectious hazards is best managed through a flexible and comprehensive Occupational Health and Safety Program (OHSP) that can identify and mitigate potential hazards. Occupational Health and Safety in the Care and Use of Nonhuman Primates is intended as a reference for vivarium managers, veterinarians, researchers, safety professionals, and others who are involved in developing or implementing an OHSP that deals with nonhuman primates. The book lists the important features of an OHSP and provides the tools necessary for informed decision-making in developing an optimal program that meets all particular institutional needs.
  corporate compliance risk assessment template: 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.
  corporate compliance risk assessment template: Scientific Review of the Proposed Risk Assessment Bulletin from the Office of Management and Budget National Research Council, Division on Earth and Life Studies, Board on Environmental Studies and Toxicology, Committee to Review the OMB Risk Assessment Bulletin, 2007-04-16 Risk assessments are often used by the federal government to estimate the risk the public may face from such things as exposure to a chemical or the potential failure of an engineered structure, and they underlie many regulatory decisions. Last January, the White House Office of Management and Budget (OMB) issued a draft bulletin for all federal agencies, which included a new definition of risk assessment and proposed standards aimed at improving federal risk assessments. This National Research Council report, written at the request of OMB, evaluates the draft bulletin and supports its overall goals of improving the quality of risk assessments. However, the report concludes that the draft bulletin is fundamentally flawed from a scientific and technical standpoint and should be withdrawn. Problems include an overly broad definition of risk assessment in conflict with long-established concepts and practices, and an overly narrow definition of adverse health effects-one that considers only clinically apparent effects to be adverse, ignoring other biological changes that could lead to health effects. The report also criticizes the draft bulletin for focusing mainly on human health risk assessments while neglecting assessments of technology and engineered structures.
  corporate compliance risk assessment template: 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.
  corporate compliance risk assessment template: Science and Decisions National Research Council, Division on Earth and Life Studies, Board on Environmental Studies and Toxicology, Committee on Improving Risk Analysis Approaches Used by the U.S. EPA, 2009-03-24 Risk assessment has become a dominant public policy tool for making choices, based on limited resources, to protect public health and the environment. It has been instrumental to the mission of the U.S. Environmental Protection Agency (EPA) as well as other federal agencies in evaluating public health concerns, informing regulatory and technological decisions, prioritizing research needs and funding, and in developing approaches for cost-benefit analysis. However, risk assessment is at a crossroads. Despite advances in the field, risk assessment faces a number of significant challenges including lengthy delays in making complex decisions; lack of data leading to significant uncertainty in risk assessments; and many chemicals in the marketplace that have not been evaluated and emerging agents requiring assessment. Science and Decisions makes practical scientific and technical recommendations to address these challenges. This book is a complement to the widely used 1983 National Academies book, Risk Assessment in the Federal Government (also known as the Red Book). The earlier book established a framework for the concepts and conduct of risk assessment that has been adopted by numerous expert committees, regulatory agencies, and public health institutions. The new book embeds these concepts within a broader framework for risk-based decision-making. Together, these are essential references for those working in the regulatory and public health fields.
  corporate compliance risk assessment template: Implementing Enterprise Risk Management James Lam, 2017-03-13 A practical, real-world guide for implementing enterprise risk management (ERM) programs into your organization Enterprise risk management (ERM) is a complex yet critical issue that all companies must deal with in the twenty-first century. Failure to properly manage risk continues to plague corporations around the world. ERM empowers risk professionals to balance risks with rewards and balance people with processes. But to master the numerous aspects of enterprise risk management, you must integrate it into the culture and operations of the business. No one knows this better than risk management expert James Lam, and now, with Implementing Enterprise Risk Management: From Methods to Applications, he distills more than thirty years' worth of experience in the field to give risk professionals a clear understanding of how to implement an enterprise risk management program for every business. Offers valuable insights on solving real-world business problems using ERM Effectively addresses how to develop specific ERM tools Contains a significant number of case studies to help with practical implementation of an ERM program While Enterprise Risk Management: From Incentives to Controls, Second Edition focuses on the what of ERM, Implementing Enterprise Risk Management: From Methods to Applications will help you focus on the how. Together, these two resources can help you meet the enterprise-wide risk management challenge head on—and succeed.
  corporate compliance risk assessment template: Security Risk Management Body of Knowledge Julian Talbot, Miles Jakeman, 2011-09-20 A framework for formalizing risk management thinking in today¿s complex business environment Security Risk Management Body of Knowledge details the security risk management process in a format that can easily be applied by executive managers and security risk management practitioners. Integrating knowledge, competencies, methodologies, and applications, it demonstrates how to document and incorporate best-practice concepts from a range of complementary disciplines. Developed to align with International Standards for Risk Management such as ISO 31000 it enables professionals to apply security risk management (SRM) principles to specific areas of practice. Guidelines are provided for: Access Management; Business Continuity and Resilience; Command, Control, and Communications; Consequence Management and Business Continuity Management; Counter-Terrorism; Crime Prevention through Environmental Design; Crisis Management; Environmental Security; Events and Mass Gatherings; Executive Protection; Explosives and Bomb Threats; Home-Based Work; Human Rights and Security; Implementing Security Risk Management; Intellectual Property Protection; Intelligence Approach to SRM; Investigations and Root Cause Analysis; Maritime Security and Piracy; Mass Transport Security; Organizational Structure; Pandemics; Personal Protective Practices; Psych-ology of Security; Red Teaming and Scenario Modeling; Resilience and Critical Infrastructure Protection; Asset-, Function-, Project-, and Enterprise-Based Security Risk Assessment; Security Specifications and Postures; Security Training; Supply Chain Security; Transnational Security; and Travel Security.
  corporate compliance risk assessment template: Comprehensive Accreditation Manual for Hospitals [1996-] Joint Commission on Accreditation of Healthcare Organizations, 1996
  corporate compliance risk assessment template: The Greenhouse Gas Protocol , 2004 The GHG Protocol Corporate Accounting and Reporting Standard helps companies and other organizations to identify, calculate, and report GHG emissions. It is designed to set the standard for accurate, complete, consistent, relevant and transparent accounting and reporting of GHG emissions.
  corporate compliance risk assessment template: The Risk IT Practitioner Guide Isaca, 2009
  corporate compliance risk assessment template: The Complete Compliance and Ethics Manual 2022 Parkin, 2022-01-19
  corporate compliance risk assessment template: 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.
  corporate compliance risk assessment template: 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
  corporate compliance risk assessment template: Detecting Red Flags in Board Reports Office of the Comptroller of the Currency, 2014-10-19 Good decisions begin with good information. A bank's board of directors needs concise, accurate, and timely reports to help it perform its fiduciary responsibilities. This booklet describes information generally found in board reports, and it highlights “red flags”—ratios or trends that may signal existing or potential problems. An effective board is alert for the appearance of red flags that give rise to further inquiry. By making further inquiry, the directors can determine if a substantial problem exists or may be forming.
  corporate compliance risk assessment template: Enterprise Compliance Risk Management Saloni Ramakrishna, 2015-11-16 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.
  corporate compliance risk assessment template: Telebehavioral Health Marlene Maheu, Joanne Callan, Donald M. Hilty, Crystal Merrill, 2019-12-12 Telebehavioral Health: Foundations in Theory and Practice for Graduate Learners provides readers with a comprehensive overview of telebehavioral health, including definitions and concepts, the benefits and barriers associated with practice, and an interprofessional framework for telebehavioral health competencies. It is the first book to address telehealth competencies for behavioral professionals worldwide. The competencies outlined help readers develop an engaged, ethical, and effective telebehavioral health practice. The book discusses and provides examples of the knowledge, skills, and attitudes involved in the seven telebehavioral health competency domains. The chapters include differentiated content for novice, proficient, and authority practitioners throughout, allowing readers to adjust their exposure, in terms of depth and breadth, to each topical area. The text provides an overview of the characteristics and practices unique to telebehavioral health treatment, guidance for competent evaluation and care, review of legal and regulatory issues related to the use of technology, valuable insight for telepractice development, and more. Designed to help practitioners thoughtfully consider the use of technology to support optimal therapeutic experiences for their patients, Telebehavioral Health is an ideal text for students within the discipline. It can also serve as a beneficial reference for novice and seasoned practitioners.
  corporate compliance risk assessment template: 2022 Hospital Compliance Assessment Workbook Joint Commission Resources, 2021-12-30
  corporate compliance risk assessment template: Risk Assessment Supremus Group LLC, 2012-04-27 The objective of this document is to help your business conduct a Risk Assessment, which identifies current risks and threats to the business and implement measures to eliminate or reduce those potential risks. This document provides guidance on how to conduct the Risk Assessment, analyze the information that is collected, and implement strategies that will allow your business to manage the risk.
  corporate compliance risk assessment template: Corporate Legal Compliance Handbook, 3rd Edition Banks and Banks, 2020-06-19 Corporate Legal Compliance Handbook, Third Edition, provides the knowledge necessary to implement or enhance a compliance program in a specific company, or in a client's company. The book focuses not only on doing what is legal or what is right--the two are both important but not always the same--but also on how to make a compliance program actually work. The book is organized in a sequence that follows how to approach a compliance program. It gives the compliance officer, consultant, or attorney a good grounding in the basics of compliance law. This includes such things as the rules about corporate and individual liability, an understanding of the basics of the key laws that impact companies, and the workings of the U.S. Sentencing Guidelines. Successful programs also require an understanding of educational techniques, good communication skills, and the use of computer tools. The effective compliance program also takes into account how to deliver messages using a variety of media to reach employees in different locations, of different ages or education, who speak different languages. Note: Online subscriptions are for three-month periods.
  corporate compliance risk assessment template: The Cybersecurity Guide to Governance, Risk, and Compliance Jason Edwards, Griffin Weaver, 2024-06-04 Understand and respond to a new generation of cybersecurity threats Cybersecurity has never been a more significant concern of modern businesses, with security breaches and confidential data exposure as potentially existential risks. Managing these risks and maintaining compliance with agreed-upon cybersecurity policies is the focus of Cybersecurity Governance and Risk Management. This field is becoming ever more critical as a result. A wide variety of different roles and categories of business professionals have an urgent need for fluency in the language of cybersecurity risk management. The Cybersecurity Guide to Governance, Risk, and Compliance meets this need with a comprehensive but accessible resource for professionals in every business area. Filled with cutting-edge analysis of the advanced technologies revolutionizing cybersecurity—and increasing key risk factors at the same time—and offering practical strategies for implementing cybersecurity measures, it is a must-own for CISOs, boards of directors, tech professionals, business leaders, regulators, entrepreneurs, researchers, and more. The Cybersecurity Guide to Governance, Risk, and Compliance readers will also find: Over 1300 actionable recommendations found after each section Detailed discussion of topics including AI, cloud, and quantum computing More than 70 ready-to-use KPIs and KRIs This guide's coverage of governance, leadership, legal frameworks, and regulatory nuances ensures organizations can establish resilient cybersecurity postures. Each chapter delivers actionable knowledge, making the guide thorough and practical. — Gary McAlum, CISO. This guide represents the wealth of knowledge and practical insights that Jason and Griffin possess. Designed for professionals across the board, from seasoned cybersecurity veterans to business leaders, auditors, and regulators, this guide integrates the latest technological insights with governance, risk, and compliance (GRC). — Wil Bennett, CISO
  corporate compliance risk assessment template: Enterprise Governance , 2004-01-01 This report: defines enterprise governance as the set of responsibilities, and practices excercised by the board and executive management with the goal of providing strategic direction, ensuring that objecties are achieved, ascertaining that risics are managed approprietly and verifying that the organization's resources are used responsible.
  corporate compliance risk assessment template: Governance, Risk, and Compliance Handbook for Oracle Applications Nigel King, Adil R. Khan, 2012-08-24 The book is not organized by product, rather by the governance and risk assurance processes. A given product may be represented in multiple places within the book and a given process may contain multiple product references. To ensure that we keep ourselves grounded in real problems, the book is written as a journal of a fictional company establishing its governance processes. It will introduce managers and directors responsible for various aspects of the governance, risk and compliance problem and where that problem is exposed and how it is addressed in the technology and business applications. The audience for this book is the people that advise the board, the internal audit department and CIO office on controls, security and risk assurance. Consultants that are implementing Financials or GRC Applications who wish to gain an understanding of the Governance Risk and Compliance processes, and how they are represented in Oracle, should find it a useful primer. Risk Assurance professionals will find it a reliable companion.
  corporate compliance risk assessment template: SOX Simplified: A Guide to Compliance Anand Vemula, SOX Simplified: A Guide to Compliance is an essential handbook designed to demystify the complexities of the Sarbanes-Oxley Act (SOX) for businesses of all sizes. Authored by seasoned compliance experts, this comprehensive guide offers practical insights and actionable strategies to navigate the regulatory landscape with confidence. Beginning with a clear overview of the SOX legislation and its objectives, the book breaks down key provisions and requirements in accessible language. Readers are guided through the process of understanding how SOX impacts various aspects of corporate governance, financial reporting, and internal controls. Drawing on real-world examples and case studies, the book illustrates common challenges faced by organizations striving for SOX compliance and provides expert advice on overcoming them. From establishing effective internal control frameworks to conducting risk assessments and audits, each chapter offers invaluable tips and best practices to streamline compliance efforts and minimize regulatory risk. Moreover, SOX Simplified goes beyond mere compliance checkboxes, emphasizing the importance of integrating SOX requirements into broader corporate governance frameworks. By fostering a culture of transparency, accountability, and ethical conduct, businesses can not only meet regulatory obligations but also enhance their long-term sustainability and reputation. Whether you're a CEO, CFO, compliance officer, or a professional involved in financial reporting, this book serves as an indispensable resource for mastering SOX compliance. With its pragmatic approach and actionable insights, SOX Simplified equips readers with the knowledge and tools needed to navigate the complexities of regulatory compliance effectively in today's dynamic business environment.
  corporate compliance risk assessment template: 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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Welcome to our template risk and compliance office manual We’ve split the content into three sections: • a business and risk management manual; • a staff compliance manual; • a set of accompanying template …

Risk Appetite Statements - Institute of Risk Management
Risk appetite statements may be structured in line with risk sources, components of the organisation that may be impacted by the risk event and/or impact or consequences categories. Risk appetite information is …

Compliance Management Systems, Comptroller's Handbook
consumer compliance core assessment and assign the consumer compliance component rating. This may be done by conducting one supervisory activity or aggregating the results of multiple supervisory activities conducted …

Fraud Risk Assessment - The Institute of Internal Auditors or …
The assessment may be integrated with an overall organizational risk assessment or performed as a stand-alone exercise, but should, at a minimum, include risk identification, risk likelihood and …

Compliance Program - Pharmerica
To further define and ensure compliance at PMC, a risk assessment, focusing on areas such as controlled substance processing and resultant claims submissions to federal healthcare program ... The PMC Corporate …

Risk Management Policy and Framework - Bryan Whitefield
9 Risk Assessment Risk assessment is the process of identifying, analysing and evaluating risks. Risk assessments should be conducted utilising the CompanyName Risk Assessment Template (attached in the …

Risk Assessment tools
Risk Assessment tools Name of tool / ... Assent University Classroom Assent Compliance The Assent University Classroom is a subscription based online compliance learning management system. Courses …

FTCA Application Procedural Demonstration of Compliance T…
Compliance Tool: Risk Management—Annual Report to Board Edition Purpose Use this document to record the risk management data, information, and activities that must be reported ... Risk assessment tools include …

Enterprise risk management - McKinsey & Company
Strong risk culture Unbundling risks through contracting and markets Avoiding unexpected large loss events Stability to enable growth plan Professionalized management Risk heat map based on consensus assessments …

RISK MANAGEMENT SELF-ASSESSMENT TEMPLATE - Sma…
The first part of this template allows you to determine risk sources and categories, define risk parameters, and establish a risk-management strategy. The second part of this template allows you to self -assess how …

Practical Guide to Implementing an - MENA FCCG
This is done through a compliance structure that includes both people and processes. People focuses on the individuals tasked with developing, implementing, and monitoring the anti-corruption compliance program and …

Corporate Compliance Risk Assessment Template Full PDF
corporate compliance risk assessment template: Critical Infrastructure Risk Assessment Ernie Hayden, MIPM, CISSP, CEH, GICSP(Gold), PSP, 2020-08-25 ASIS Book of The Year Winner as selected by ASIS …

Compliance Management Framework - Rochester Institut…
ERCC sets the “tone at the top” and monitors key risk and compliance areas. The University Risk and Compliance Committee (“URCC”) is comprised of other administrators and operational managers who have …

Model Risk Management - OCC.gov
risk management, robo-advising (i.e., an automated digital investment advisory service), trading algorithms and automation, financial marketing analysis, cybersecurity, Bank Secrecy Act/anti-money laundering …

Level 4 Compliance Program template - Australian Competitio…
Compliance Advisor (Risk Assessment) and to provide a written report outlining their findings (Risk Assessment Report) to [COMPANY NAME] within [X] months of conducting the Risk Assessment. 4. [COMPANY NAME] will …

COMPLIANCE POLICIES & PROCEDURES MANUAL
technical compliance with this Compliance Manual, but also abides by its spirit and principles. Designation of Chief Compliance Officer Todd Penrod is designated as the Company's Chief Compliance Officer …

Sample DPIA template - GDPR.eu
DPIA template 20180209 v0.3 5 5 Step 5: Identify and assess risks Describe source of risk and nature of potential impact on individuals. Include associated compliance and corporate risks as necessary. …

ASSESSING E&C PROGRAM MATURITY - Ethics & Complianc…
6 Adoption of the HQP Assessment Tool by organizations is broad and growing, and a variety of industry groups, professional associations, and compliance vendors now promote this tool to their members; and 7 …

Corporate and Risk Governance - OCC.gov
assessment. Corporate and risk governance structure and practices should keep pace with the bank’s changes in size, risk profile, and complexity. ... risk management, compliance, bank operations, and financial performance. …

CARRYING OUT AND RECORDING A FIRE SAFETY RISK ASSESSME…
Prevent smoking on the premises. Provide suitable external facilities for use by smokers. Prohibit naked flame sources e.g. candles. Investigate “near misses” and implement suitable preventative measures. Fire raising …

A Guide for Anti-Corruption risk Assessment - Institute on Gover…
The Global Corporate Sustainability Report 2013 shows that only 25% of UN Global ... ernance, compliance, and risk management globally. I’m pleased to congratulate the ... scope of a risk assessment will change …

Leading Practices for Export Compliance Audits - KPMG
Co nducting an objective risk assessment is a valuabl e way to target areas for closer review as it wi ll help focus time and resources on priority areas with the most risk. The risk assessment consists of developing a risk …

Guidelines on Compliance Risk Management
to staff members. Compliance risk in a FI, therefore, goes beyond what is legally binding and embraces broader standards of integrity and ethical conduct1. 1.3 The management of compliance risk is the first and foremost …

NIST Cybersecurity Framework Policy Template Guide
Information Security Risk Management Standard Risk Assessment Policy Identify: Supply Chain Risk Management (ID.SC) ID.SC-2 Suppliers and third-party partners of information systems, components, and …

Corporate and Risk Governance - Office of the Comptroller of the ...
assessment. Corporate and risk governance structure and practices should keep pace with the bank’s changes in size, risk profile, and complexity. ... risk management, compliance, bank operations, and financial performance. …

Firm-wide risk assessment methodology - ICAEW
PERFORMING YOUR FIRM-WIDE RISK ASSESSMENT You can design your own firm-wide risk assessment and MLR17 acknowledges that you can take into account the size and nature of the business. The …

NIST SP 800-171 DoD Assessment Methodology, Versi…
Jun 24, 2020 · assessment, and the associated level of confidence in the assessment results . c) Assessment of contractors with contracts containing DFARS clause 252.204-7012 is anticipated to be once every three years …

CYBER SECURITY RISK ASSESSMENT CHECKLIST TEMP…
such information is therefore strictly at your own risk. This template is provided as a sample only. This template is in no way meant as legal or compliance advice. Users of the template must determine what information …

Conducting a Behavioral Health Risk Assessment
3/13/2019 5 The Risk Assessment Process Consider the following before developing a plan for mitigating the priority risks. Avoid the risk by discontinuing the risky practice Control or mitigate the risk Accept the risk Transfer …

Trade compliance risk assessment template - rubusab…
Trade compliance risk assessment template ... Industry best practices to ensure corporate export compliance call for periodic independent compliance risk assessments. Periodically, in this case, begins with annual …

DOJ’s Updated Guidance for Evaluation of Corporate Complia…
May 10, 2019 · Corporate Compliance Programs . May 10, 2019 . Anti-corruption/FCPA . On April 30, 2019, the U.S. Department of Justice (“DOJ”) Criminal Division released an updated version of the …

RISK MANAGEMENT AND COMPLIANCE PROGRAM - FSCA
2. Risk assessment and risk rating (ML / TF / PF) 2.1 Risk management starts with identifying your inherent risk. You cannot mitigate or manage what you are not able to identify. There is no such thing as “no risk”! …

COMPLIANCE MANAGEMENT FRAMEWORK - National Treasury
COMPLIANCE RISK ASSESSMENT TEMPLATE 21 Legislation/Industry Code/Bill Affected Department Category Inherent Risk Rating Overall Rating Penalty for non-compliance Risk management plan in place Likelih ood …

The Complete Compliance and Ethics Manual – 2019
Nov 26, 2018 · The Complete Compliance and Ethics Manual (2019) v Board Engagement, Training and Reporting: Strategies for the Chief Ethics and Compliance Officer

Conducting a Risk Assessment for Mobile Devices - ISSA Intern…
Available Industry Risk Assessment Models Unique considerations when conducting a risk assessment for mobile devices Understanding the business requirements and objectives Assessing threats, vulnerabilities, & impact …

Risk Register template - Atlassian
Jun 15, 2013 · Maintain the Risk Register regularly during the project. Create a "Top 5" risk list from the Risk Register and share it with the team and other stakeholders each week. (The Risk Register itself will soon …

Survey Readiness: Critical Element Pathways, Observation…
Corporate Compliance Risk Assessment *Beneficiary Notice Review Discharge CEP PASSAR CEP Dementia Care CEP Admission Transfer and Discharge Bed Hold Room Assignments/Changes Communication …

X ISO 37301: Guidelines for Effective Compliance Manageme…
compliance management system that ISO 37301 emphasizes: · A compliance policy and objectives that align with the company’s strategy and objectives · Risk assessment and management processes that identify, …

Facility Assessment Tool - SNFQAPI
2. While a facility may include input from its corporate organization, the facility asses sment must be conducted at the facility level. 3. The facility must review and update this assessment annually or whenever there …

2023 Evaluation of Corporate Compliance Programs
Corporate Compliance Insights Corporate Compliance Insights educates and encourages informed interaction with-in the corporate compliance community by providing discussion and analysis of corpo-rate …

Conflicts of Interest: Best Compliance Practices - NAVEX
compliance team – as well as the organization itself. An effective program for managing conflicts of interest can pull from existing risk and compliance processes, such as risk assessments, codes of conduct, policies …

OFAC Compliance Guidance - Squire Patton Boggs
a similar update, titled, “Evaluation of Corporate Compliance Programs,” providing guidance on how federal prosecutors will evaluate the effectiveness of a company’s corporate compliance program.5 …

COMPLIANCE PROGRAM MANUAL COMPLIANCE ASSESSMENT TO…
Compliance program risk assessment is conducted and mitigation plans for high risk areas are undertaken. Alignment with overall enterprise risk management efforts is in place. Has the company’s Compliance Program …

CORPORATE AND BUSINESS REGISTRATION DEPARTMENT
4.1.1 Factors to determine Risk 10 4.1.2 Risk of Client base 11 4.2 Risk of Products/Services 12 4.3 Geographical locations of the business/clients/products being used 12 4.4 Business practices/delivery channels 13 4.5 …

Risk Register Template - cvsbeds.org.uk
How to use this risk register template . Risk management is aimed at reducing the ‘gross level’ of risk identified to a ‘net level’ of risk, in other words, the risk that remains after appropriate action is taken. This template …

KPMG Tax Impact Reporting
evidence compliance with these through governance and risk management. The report may include details of tax incentives, low tax jurisdictions and other key attributes. The approach should give context to your tax …

Building an effective compliance risk assessment programme for …
Keywords: compliance risk assess-ment(s), compliance assessment(s), conduct risk, risk assessment(s), inher-ent risk(s), residual risk(s) INTRODUCTION By now, at the beginning of 2017, the components of a …

Ethics and Compliance Manual - Shell Global
Carrying out a risk assessment and implementing controls 6 2. Training 7 3. Reporting concerns and responding to incidents 8 4. Ethics and Compliance due diligence 9 5. Contract clauses 10 ... and …

PRIVACY IMPACT ASSESSMENT (PIA) TEMPLATE
order for a risk assessment to be performed. Regular CSU service reports will briefly report on PIAs reviewed and any significant issues identified. 1 An Information Asset Operating systems, infrastructure, business …

AI Risk and Controls matrix - KPMG
Summarised risk . Compliance as a strategic objective . AI Risk description . A lack of trust in the use of innovative technologies restricts putting such solutions in production at scale, and/or further innovation investments . AI …