The Compliance Handbook: A Guide to Operationalizing Your Compliance Program
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The “Nuts and Bolts” for Creating a Comprehensive Compliance Plan
The first chapter of this unique work lays out a succinct yet thorough 31-day approach to operationalizing a company’s compliance regimen. Beginning with a section on what 2020 brought to the compliance landscape, the chapter goes on to methodically outline best practices for everything from establishing policies, procedures and internal controls, to assessing risk, training, handling investigations and more. Each day ends with three key takeaways you can implement at little or no cost.
Understanding Compliance Responsibility Across the Organization
The Compliance Handbook also takes a close look at the role of all professionals with compliance responsibility, from Compliance Officers and Boards of Directors, to Human Resources, to Internal Audit and Internal Controls and Communications and Training professionals.
In-Depth Treatment of Hot Topics and Trends
The Handbook provides an in-depth look at the latest thinking and trends for the full range of critical compliance topics, including:
• Compliance and business ventures
• Third party risk management
• The Board’s Role in Compliance
• Continuous improvement
• Compliance innovation
• And much more
Incorporating Current Government Pronouncements
The Second Edition incorporates the most current government pronouncements governing best practices compliance programs including: the 2019 Evaluation of Corporate Compliance Programs released by the Fraud Section of the Department of Justice, and its 2020 Update; the updated FCPA Resource Guide 2nd edition; the Framework for OFAC Compliance Commitments; and the 2019 DOJ Antitrust Division’s Evaluation of Corporate Compliance Programs in Criminal Antitrust.
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Table of contents
Chapter One: 31 Days to a Better Compliance Program
Chapter Two: The Role of HR in Ethics and Compliance
Chapter Three: Boards and Compliance
Chapter Four: Communications and Training
Chapter Five: Written Standards
Chapter Six: Better Third-Party Risk Management
Chapter Seven: More Effective Compliance for Business Ventures
Chapter Eight: Continuous Improvement
Chapter Nine: Innovation in Compliance
Chapter Ten: Internal Controls
Chapter Eleven: Investigations and Reporting
Chapter Twelve: Into the 2020s and Beyond