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More About This Title Building a World-Class Compliance Program: Best Practices and Strategies for Success
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Martin T. Biegelman, CFE, CCEP, has been fighting fraud and corruption for 40 years in various roles in law enforcement, consulting, and the corporate sector. He is currently the Executive Vice President of U.S. Operations for IPSA International, a global risk advisory firm. His extensive experience include conducting internal investigations on behalf of corporate management and boards, FCPA and anti-bribery compliance, litigation consulting, due diligence, and corporate compliance design and implementation. He previously served as the Director of Financial Integrity at Microsoft Corporation. This highly acclaimed fraud prevention and anti-corruption compliance program that he founded and led continues to be a model for other global companies. Mr. Biegelman is a sought-after speaker, prolific author, and the recipient of the prestigious Cressey Award bestowed by the Association of Certified Fraud Examiners for lifetime achievements in the detection and deterrence of fraud.
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Preface xiii
Acknowledgments xvii
About the Author xix
CHAPTER 1 Why Ethics and Compliance Will Always Matter 1
CHAPTER 2 Tone at the Top and Throughout 25
CHAPTER 3 The Growth and Evolution of Compliance 45
CHAPTER 4 Caremark and Sarbanes-Oxley: Enhancing Compliance 71
CHAPTER 5 CA's Compliance Rebirth: Don't Lie, Don't Cheat, Don't Steal 87
CHAPTER 6 The International Landscape of Compliance 107
CHAPTER 7 Compliance Programs and Anti-Money Laundering Efforts 131
By Marc B. Sherman, Laura Connor, and David Meilstrup
About the Chapter Authors 148
CHAPTER 8 Interview with an Ethics and Compliance Thought Leader 149
CHAPTER 9 Building a World-Class Compliance Program: The Seven Steps in Practice (Part I) 163
CHAPTER 10 Building a World-Class Compliance Program: The Seven Steps in Practice (Part II) 191
CHAPTER 11 Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award 219
CHAPTER 12 Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan 233
CHAPTER 13 The Skunk in the Room 257
Appendix A: Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps 269
Appendix B: Sample Compliance Program Charter 277
Appendix C: Resources for Compliance Professionals 283
Index 291
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"Building a World-Class Compliance Program is essential reading for in-house executives of all stripes. Boards, management, legal counsel, HR, and compliance officers all will find this ‘how to’ guide filled with practical advice and tips. For all people interested in how to avoid their company becoming the next Enron, this book is a must-read. It chronicles real-life examples of corporate malfeasance ripped from the headlines and offers sage measures to enhance corporate compliance programs so as to detect and deter such conduct. Given the expertise of the author—with years of experience in both law enforcement and in-house compliance—this is the preeminent guide to corporate fraud prevention."—Andrew Weissmann, Partner, Jenner & Block and former director, U.S. Department of Justice Enron Task Force