Lexis Nexis Corporate Compliance Practice Guide: The Next Generation
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Corporate Compliance Practice Guide: The Next Generation
By Carole Basri, along with many leading contributing authors - a Who's Who of expert practitioners, compliance professionals and academics, including Commissioners from the U.S. Sentencing Commission
The new Corporate Compliance Practice Guide - The Next Generation is the first resource of its kind to address the new era of compliance issues and expectations triggered by the global financial crisis. Turn to this portable, quick-answer guide for expert insights into best practices for developing and maintaining compliance programs tailored to your client's or organization's industry, business, and culture - with specialized guidance for such practice areas and regulated industries including antitrust, securities, banking, healthcare, insurance and environmental.
Authors / Contributors
Carole Basri
General Editor: Carole Basri
Carole Basri is a graduate of Barnard College, Columbia University and NYU School of Law, where she was a member of its National Moot Court Team. She was an assistant counsel on the United States Senate Antitrust and Monopoly Subcommittee, and was an attorney at the Federal Trade Commission (FTC). She was in-house counsel at the advertising agency of NW Ayer, Inc. She left to become an associate at Baker & McKenzie and later at Hall, Dickler, Lawler, Kent and Friedman. Ms. Basri was in house counsel at Maidenform, Inc. She was a consultant to the Perrier Group, Inc. and from 1994 to 2002; she was a consultant to Deloitte & Touche LLP and helped to create the Ethics and Compliance practice. From 1999 to March 2001, she was General Counsel to China On Line, Inc. For ten years, she served as co-chair of the Practicing Law Institute's (PLI) Conferences on Corporate Compliance and on Advanced Corporate Compliance. She has been Chairof the Ethics for In-House Counsel seminar since 2004 and Chair of the Global Financial Crisis conference since July 2008.
Ms. Basri is an adjunct professor of Corporate Law and the Grant Irey Lecturer at the University of Pennsylvania Law School. She has been an adjunct professor at New York Law School and Benjamin N. Cardozo Law School. She was a visiting professor at Hebrew University Law School in March 2008 and will be teaching, as a Senior Fulbright Scholar, at Tsinghua Law School in Beijing in November 2009.
In addition, she has been Executive Director of the Greater NY Chapter of the Association of Corporate Counsel (ACC) for over 10 years up until September 2006. She also currently serves as a member of the Executive committee and co-chair of the Corporate Compliance Committee of the International Law and Practice Section of the New York State Bar Association; a member of the Practicing Law Institute (PLI) Corporate General Counsel Advisory Committee; a member of the International Council of the International Section of the American Bar Association; and on the International Council of the Association of the Bar of the City of New York.
Ms. Basri, President of the Corporate Lawyering Group LLC which advises on corporate compliance programs, has created comprehensive compliance and ethics programs for major corporations including The Dun & Bradstreet Corporation, Cendant, Benjamin Moore & Co. and Dannon Inc. These programs were all launched within nine months and in many cases in multiple languages and locations. She is also providing advice on law department management, document retention and corporate governance issues. She is also on the Academic Committee of the INTERPOL Anti-Corruption Academy from June 2007 until present where she is working on creating a curriculum for addressing corporate corruption.
Table of Contents
1. What is Corporate Compliance?
2 .Creating a Basic Compliance Program-The Essentials from Conception to Rollout
3. Conducting the Risk Assessment
4. Codes of Conduct
5. Setting up the Compliance Office and Defining the Role of the Compliance Officer
6. Background Checks and Their Importance for the Compliance Program
7. Training on the Compliance Program
8. Auditing, Monitoring and Reporting
9. Setting up a Hotline
10. Incentives and Disciplinary Procedures to Promote and Protect the Compliance
11. Continually Reevaluating and Updating the Compliance Program
12. CEO Leadership and Compliance
13. Creating Ethics Awareness and Laying the Groundwork with the Board of Directors,
Officers, and Employees
14. Working with Consultants and Outside Counsel to Start and/or Refocus and Update
Your Compliance Program
15. Ethics and Compliance Programs: Creating a Strong Ethical Culture
16. Corporate Governance and the Role of the Board of Directors in Corporate
Compliance
17. Corporate Compliance Programs in the context of Deferred and Non-Prosecution
Agreements
18. Corporate Compliance and Internal Investigations
19. Corporate Compliance and Attorney Client Privilege
20. Corporate Compliance and Records Management
21. Corporate Compliance and Crisis Management
22. Corporate Compliance Program Coverage of Subcontractors, Subsidiaries, and
Consultants
23. Corporate Social Responsibility
24. Budgeting and Cost Control Strategies and the Compliance Program
25. Marketing the Compliance Program Internally
26. Creating a Global Compliance Program
27. Specific Corporate Compliance Challenges by Practice Area: Antitrust/Competition
28. Specific Corporate Compliance Challenges by Practice Area: Anti-Money
Laundering
29. Specific Corporate Compliance Challenges by Practice Area: FCPA/Antibribery
30. Specific Corporate Compliance Challenges by Practice Area: IP
31. Specific Corporate Compliance Challenges by Practice Area: Advertising
32: Specific Corporate Compliance Challenges by Practice Area: Data Privacy and
Information Security
33. Specific Corporate Compliance Challenges by Practice Area: Employment
34. Specific Corporate Compliance Challenges by Practice Area: Executive
35. Specific Corporate Compliance Challenges by Practice Area: ERISA
36. Specific Corporate Compliance Challenges by Practice Area: Immigration
37. Specific Corporate Compliance Challenges by Practice Area: Securities
38. Specific Corporate Compliance Challenges by Practice Area: Customs
39. Specific Corporate Compliance Challenges by Practice Area: Export Controls
40. Specific Corporate Compliance Challenges by Practice Area: Environmental
41. Specific Corporate Compliance Challenges by Practice Area: Government
42. Specific Corporate Compliance Challenges by Practice Area: Products Liability
43. Specific Corporate Compliance Challenges by Practice Area: Insurance
44. Specific Corporate Compliance Challenges by Industry: Insurance Regulation
45. Specific Corporate Compliance Challenges by Industry: Banking
46. Specific Corporate Compliance Challenges by Industry: Financial Services and the
Compliance Committee
47. Specific Corporate Compliance Challenges by Industry: Pharmaceuticals
48. Specific Corporate Compliance Challenges by Industry: Healthcare
49. Specific Corporate Compliance Challenges by Industry: Food
50. Specific Corporate Compliance Challenges by Industry: Extractive Industry including
51. Specific Corporate Compliance Challenges by Industry: Regulated Energy (FERC
and NERC)
52. Specific Corporate Compliance Challenges by Industry: Construction
53. Specific Corporate Compliance Challenges by Industry: Asset Management for
Hedge Funds, Investment Advisors and Registered Funds
54. Specific Corporate Compliance Challenges by Industry: Hedge Funds
55. Export Compliance Issues in Mergers and Acquisitions
56. Cutting Edge Issues in Corporate Compliance
57. Ethical Issues in Corporate Compliance
58. The Future of Corporate Compliance
