Compliance Management: A How-to Guide for Executives, Lawyers, and Other Compliance Professionals

A How-to Guide for Executives, Lawyers, and Other Compliance Professionals

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Author: Nitish Singh Ph.D.,Thomas J. Bussen

Publisher: ABC-CLIO

ISBN: 1440833125

Category: Business & Economics

Page: 262

View: 6764

This practical guide shows how to build an effective compliance and ethics program that will lower a business's risks and improve productivity. • Offers a step-by-step guide to creating and managing an effective compliance program • Showcases the latest best practices in a world of ever-changing regulations • Identifies the importance of developing and maintaining a corporate culture of "doing the right thing" and shows how ethical training can improve compliance • Features interviews with and best practices from top compliance executives, judges, Department of Justice attorneys, and Archer Daniels Midland informant Mark Whitacre • Provides easy-to-understand overviews and recommendations for complying with specific laws

Management für Dummies

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Author: Bob Nelson,Peter Economy

Publisher: Wiley-VCH

ISBN: 9783527700295

Category: Business & Economics

Page: 384

View: 8327

Management für Dummies vermittelt die Grundregeln effektiver Führung auf spaßige und interessante Weise. Bob Nelson und Peter Economy lassen Sie von ihrer langjährigen Erfahrung profitieren und verraten Ihnen die Tipps und Tricks, die Sie kennen müssen, um sich und Ihren Mitarbeitern das Leben leichter zu machen. Ob Sie Neuling oder Nachwuchskraft sind: hier finden Sie alles, um erfolgreich sein zu können. Sie erfahren: * Was Sie als Führungskraft auszeichnen sollte * Wie Sie durch geschicktes Delegieren Dinge getan bekommen, ohne sich selbst die Hände schmutzig machen zu müssen * Welche verlässlichen Kriterien es gibt, um Mitarbeiter zu bewerten * Wie Sie die Produktivität Ihrer Mitarbeiter durch Weiterbildung und Betreuung steigern können * Welche Tipps und Tricks es gibt, um zu motivieren und den Teamgeist zu stärken * Wie Sie sich sinnvoll organisieren und Ihre kostbare Zeit effizient einteilen können * Wie Sie Budgetplanung und all den anderen finanziellen Kram mit links meistern lernen

Staatslexikon I

Recht - Wirtschaft - Gesellschaft

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Author: Heinrich Oberreuter

Publisher: Verlag Herder GmbH

ISBN: 3451815117

Category: Religion

Page: 768

View: 4891

Mit etwa 2000 Beiträgen bietet die 8. Auflage des Staatslexikons tiefgehende Information und Orientierung zu den zentralen Aspekten gesellschaftlichen Zusammenlebens, wirtschaftlichen Wirkens, politischen Entscheidens und staatlichen Handelns. Das Werk vermittelt seinen Lesern umfassende Informationen, die über rein lexikalische Klärungen von Begrifflichkeiten deutlich hinausgehen. Sorgfältig ausgewählte Literaturhinweise erlauben dem Interessierten zudem weitere Vertiefung. Die 8. Auflage wurde neu konzipiert und den Anforderungen der heutigen Informationsgesellschaft angepasst. Sie präsentiert eine große Bandbreite akademischer Disziplinen: von Rechtswissenschaft, Wirtschaftswissenschaften, Politikwissenschaft und Soziologie über Geschichte, Philosophie und Pädagogik, bis hin zu Sozialethik und Theologie, Medizin u.a. Zum ersten Mal im Jahr 1889 erschienen, ist es den Herausgebern gelungen, das Lexikon als viel beachtetes Nachschlagewerk im deutschen Sprachraum erfolgreich zu etablieren. Dafür stehen 18 Fachredakteure und die vielen hundert wissenschaftlichen Autorinnen und Autoren. Das Lexikon ist auf fünf Bände angelegt. Band 1 ist ab Mai 2017 erhältlich. Der hier angegebene Preis bezieht sich auf Band 1, nicht auf das gesamte fünfbändige Lexikon.

The Foreign Corrupt Practices Act Handbook

A Practical Guide for Multinational General Counsel, Transactional Lawyers and White Collar Criminal Practitioners

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Author: Robert W. Tarun

Publisher: American Bar Association

ISBN: 9781604429510

Category: Law

Page: 538

View: 8173

Identifies all of the major FCPA risk areas and then offers very thoughtful and practical suggestions for how companies can most effectively address these risks and conduct credible investigations. You'll find information on anti-bribery conventions; board of directors and management responsibilities; transaction issues and considerations; gifts, travel, lodging and entertainment; charitable donations and political contributions; and conducting and defending an FCPA Investigation.

An Executive's Guide to Fundraising Operations

Principles, Tools, and Trends

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Author: Christopher M. Cannon

Publisher: John Wiley & Sons

ISBN: 9781118030295

Category: Business & Economics

Page: 256

View: 5950

A straightforward guide to the principles of effective fundraising operations An Executive Guide to Fundraising Operations provides fundraisers with easy-to-understand approaches to evaluate and address fundraising operations needs and opportunities. This guide simplifies and focuses on the analysis of problems and needs, allowing a quick return to fundraising. Provides the essential framework to improve and innovate development operations Includes dozens of practical tools, including sample policies for data, database, reporting, and business processes Offers sample workflow illustrations for gift processing and acknowledgment, report specification, and other processes Features sample reports for campaign management, performance management, and exception management Delivers effective calculators for operational rules of thumb No matter what the department is called, most fundraisers struggle with evaluating operational issues. This guide leads you through principles of effective fundraising operations, simplifies complicated topics, and offers solutions to some of the most vexing operations dilemmas.

The Culturally Customized Website

Gründe für "Cultural Customization"

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Author: Sabine Picout

Publisher: GRIN Verlag

ISBN: 3656099499

Category: Language Arts & Disciplines

Page: 29

View: 9909

Studienarbeit aus dem Jahr 2006 im Fachbereich Dolmetschen / Übersetzen, Note: sehr gut, Leopold-Franzens-Universität Innsbruck (Translationswissenschaften), Sprache: Deutsch, Abstract: "Customizing" (von engl. to customize = anpassen) wird definiert als "kundespezifische Anpassung einer Standardsoftware an die Bedürfnisse einer Kundenorganisation". Das Customizing erfolgt durch Programmänderungen (Individualprogrammierungen) oder durch Setzen von Parametern, die Umfang und Aussehen (Konfigurierung) oder das Verhalten und die Ergebnisse (Parametrisierung) einer Standardsoftware beeinflussen. Weltweit tätige Unternehmen müssen mit ihren Webseiten Menschen aus unterschiedlichsten Kulturen ansprechen. Die Überzeugungskraft einer Webseite, jedoch auch von globalen Marken stehen in Zusammenhang mit der Kultur, denn diese wirkt sich wiederum darauf aus, wie der Einzelne Informationen wahrnimmt, verarbeitet und interpretiert. Kulturelle Rahmenbedingungen, die einen Menschen umgeben, müssen daher unbedingt in die Überlegungen rund um die Gestaltung einer Webseite miteinbezogen werden. Um einen zufriedenstellenden WebROI (d.h. return in investment) und eine möglichst hohe Konversionsrate (d.h. prozentuales Verhältnis zwischen Klicks auf einen Link und danach getätigten Käufen) zu erzielen, ist selbst bei globalen Marken das Customizing der entsprechenden Webseite äußerst vorteilhaft, da nur so maximale Kundenzufriedenheit, Kundenbindung sowie ein angenehmes Surf-Vergnügen gewährleistet wird. In der folgenden Arbeit wird anhand von Beispielen veranschaulicht, wie die drei Kernfaktoren von Kultur, nämlich Wahrnehmung, Symbolik und Verhalten, sich auf die Akzeptanz von Webseiten auswirken und werden damit verbundene Probleme beleuchtet.

Executive's Guide to COSO Internal Controls

Understanding and Implementing the New Framework

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Author: Robert R. Moeller

Publisher: John Wiley & Sons

ISBN: 1118813812

Category: Business & Economics

Page: 320

View: 6773

Essential guidance on the revised COSO internal controls framework Need the latest on the new, revised COSO internal controls framework? Executive's Guide to COSO Internal Controls provides a step-by-step plan for installing and implementing effective internal controls with an emphasis on building improved IT as well as other internal controls and integrating better risk management processes. The COSO internal controls framework forms the basis for establishing Sarbanes-Oxley compliance and internal controls specialist Robert Moeller looks at topics including the importance of effective systems on internal controls in today's enterprises, the new COSO framework for effective enterprise internal controls, and what has changed since the 1990s internal controls framework. Written by Robert Moeller, an authority in internal controls and IT governance Practical, no-nonsense coverage of all three dimensions of the new COSO framework Helps you change systems and processes when implementing the new COSO internal controls framework Includes information on how ISO internal control and risk management standards as well as COBIT can be used with COSO internal controls Other titles by Robert Moeller: IT Audit, Control, and Security, Executives Guide to IT Governance Under the Sarbanes-Oxley Act, every corporation has to assert that their internal controls are adequate and public accounting firms certifying those internal controls are attesting to the adequacy of those same internal controls, based on the COSO internal controls framework. Executive's Guide to COSO Internal Controls thoroughly considers improved risk management processes as part of the new COSO framework; the importance of IT systems and processes; and risk management techniques.

The Challenger Sale

Kunden herausfordern und erfolgreich überzeugen

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Author: Matthew Dixon,Brent Adamson

Publisher: Redline Wirtschaft

ISBN: 3864147239

Category: Business & Economics

Page: 288

View: 4747

Gibt es ein Rezept für Verkaufserfolg? Die meisten Führungskräfte im Vertrieb verweisen hier zuerst auf eine gute Kundenbeziehung – und sie liegen falsch damit. Die besten Verkäufer versuchen nicht nur einfach eine gute Beziehung zu ihren Kunden aufzubauen – sie stellen primär die Denkweisen und Überzeugungen ihrer Kunden in Frage. Basierend auf einer umfassenden Studie mit mehreren tausend Vertriebsmitarbeitern in unterschiedlichen Branchen und Ländern, zeigt "The Challenger Sale", dass das klassische vertriebliche Vorgehen mit dem Aufbau von Beziehungen immer weniger funktioniert, je komplexer die Lösungen sind. Doch wie unterscheiden sich Fertigkeiten, Verhaltensweisen, Wissen und Einstellung der Spitzenverkäufer vom Durchschnitt? Die Studie zeigt deutlich, dass die Verhaltensweisen, die den Challenger so erfolgreich machen, replizierbar und strukturiert vermittelbar sind. Die Autoren erklären, wie fast jeder Verkäufer, ausgestattet mit den richtigen Werkzeugen, diesen Ansatz erfolgreich umsetzen kann und so höhere Kundenbindung und letztendlich mehr Wachstum generiert. Das Buch ist eine Quelle der Inspiration und hilft dem Leser, sein Profil als Vertriebler zu analysieren und gezielt zu verändern, um am Ende kreativer und besser zu sein.

Let's Play Shess

Succeed in Your Game of Life and Business by Playing Chess: from Pawn to Queen

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Author: Wendy Oliveras

Publisher: AuthorHouse

ISBN: 1477216812

Category: Business & Economics

Page: 188

View: 7122

Let's Play SHESS is written to inspire and shake up women of all ages and backgrounds to take a chance, learn something new and believe in their abilities. This book provides a fresh entertaining approach to exploring every woman's inquisitive mind and entrepreneurial passion by playing chess. The fascinating and realistic correlation between transferring the chess-playing skills into your real life is revealed, as well as the invaluable rewards and benefits you gain as a result. SHESS is an all-encompassing term which represents "your game of life." All of the circumstances which exist in your life, including challenges relevant to business development represent your individual "battlefield." Whether on a personal or professional level, SHESS relates how you think, react, analyze and solve problems, and make decisions. While this book is dedicated to women, everyone is certainly welcome to explore this wisdom.

The New Hipaa Guide for 2010: 2009 Arra ACT for Hipaa Security and Compliance Law & Hitech ACT Your Resource Guide to the New Security & Privacy Req

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Author: Mike Murphy,Mark Waterfill

Publisher: AuthorHouse

ISBN: 1449089380

Category: Business & Economics

Page: 264

View: 9194

Michael Murphy, Compliance Professional, is an international training and consulting specialist with 25 years of experience. Mike is President/CEO of Premier Consulting Services Inc, PCSThis guide is the second Mike along with his co-author, Mark Waterfill on complying with the requirements of HIPAA Privacy and Security Rules. Mark Waterfill, Attorney-At-Lawspecializes his practice in business and employment law. Mark is a share holder and senior partner with DannPecarNewman & Kleimanlocated in Indianapolis IN. In addition to his law practice Mark is an international speaker and author on various topics related to both business & employment law.

Organizational Compliance and Ethics

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Author: Babak Boghraty

Publisher: Aspen Publishers

ISBN: 1454893451

Category: Law

Page: 820

View: 6551

Organizational Compliance and Ethics is designed to provide the theoretical and practical foundations for a career in global compliance, addressing the full range of subject matters that a lawyer may encounter in managing legal risk for a multinational enterprise. While the book explores this new field through the prism of the FCPA, it imparts a skill-set that is broadly applicable to different industries and compliance-related functions. In particular, students learn how to tailor a compliance program to an enterprise’s specific operations and business strategy. Professors and students will benefit from: Clear and coherent presentation of compliance as a distinct field of practice Combination of statutory and regulatory analysis with contextual discussion of history and evolution of the field Extensive discussion of organizational culture and the role of corporate leaders in setting the right tone Hypotheticals involving real-world scenarios that present students with the practical realities of being a compliance lawyer in a global economy “Test Your Knowledge” sections following each Part, which provide comprehensive assessment tools Detailed treatment of corporate social responsibility and ethical obligations of multinational enterprises operating in emerging markets Teaching materials include: A Comprehensive Teacher’s Manual derived from the author’s practical and teaching experience, and designed to offer a “plug-and-play” teaching experience through the inclusion of: A complete set of slides used to teach the included 4-credit course, featuring: Extensive multimedia aids (charts, graphs, illustrations) Slide-by-slide guidance, including detailed talking points, analysis, and answers to questions and hypotheticals, drawn from 50+ hours of transcribed time spent teaching from those same slides A sample course requirements memo Sample syllabi for 2-, 3- and 4-credit course Online appendices Numerous sample exams, with grading rubrics

Corporate Integrity

A Toolkit for Managing Beyond Compliance

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Author: Donna Kennedy-Glans,Robert Schulz

Publisher: John Wiley & Sons

ISBN: 9780470739662

Category: Business & Economics

Page: 288

View: 3259

How good companies build a culture of integrity In the present environment of corporate governance brought on by high-profile executive scandals, this book makes a strong case for encouraging business leaders to manage beyond compliance. Achieving the bare minimum of compliance isn't enough. By making corporate responsibility and integrity a strategic priority-rather than something companies are forced to comply with-companies can realize tangible financial returns and benefits. This book provides practical advice, effective tools, and time-tested best practices for approaching corporate integrity strategically and managing an integrity program on a day-to-day basis. There is a growing realization that compliance with the rules is only a minimum standard of performance, and an increasing demand from stakeholders at every level — shareholders, employees, customers along the entire supply chain, consumers, advocacy groups, and the local community at large — for more transparency and accountability from corporations. But most businesses have little experience and few tools to deal with the urgent demand to increase corporate responsibility. Corporate Integrity provides practical tools and proven processes to manage complex integrity dilemmas and support implementation: Explains how to create a culture of integrity in your organization and how to motivate the appropriate corporate behaviors. Coverage includes: How to assess and measure integrity; how to align corporate integrity commitments and actions; how to design and implement dependable and strategic corporate accountability systems and processes; how to develop corporate integrity standards and report on them, and much more. Includes a wealth of practical business tools and best practices that readers can apply to improve the level of corporate integrity in their own company. Features three detailed case studies and numerous other examples that illustrate corporate integrity dilemmas and solutions in action. Shows how managing corporate responsibility strategically and proactively can go beyond a mere public relations exercise to foster a corporate "win" in the court of popular opinion and in the marketplace. Bridges the gaps between corporations, governments, employees, interest groups, and consumers. Offers tools and solutions that apply to both for-profit corporations and non-profit organizations.

The Manager’s Guide to Cybersecurity Law

Essentials for Today's Business

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Author: Tari Schreider, SSCP, CISM, C|CISO, ITIL Foundation

Publisher: Rothstein Publishing

ISBN: 1944480307

Category: Business & Economics

Page: 164

View: 3427

In today’s litigious business world, cyber-related matters could land you in court. As a computer security professional, you are protecting your data, but are you protecting your company? While you know industry standards and regulations, you may not be a legal expert. Fortunately, in a few hours of reading, rather than months of classroom study, Tari Schreider’s The Manager’s Guide to Cybersecurity Law: Essentials for Today’s Business, lets you integrate legal issues into your security program. Tari Schreider, a board-certified information security practitioner with a criminal justice administration background, has written a much-needed book that bridges the gap between cybersecurity programs and cybersecurity law. He says, “My nearly 40 years in the fields of cybersecurity, risk management, and disaster recovery have taught me some immutable truths. One of these truths is that failure to consider the law when developing a cybersecurity program results in a protective façade or false sense of security.” In a friendly style, offering real-world business examples from his own experience supported by a wealth of court cases, Schreider covers the range of practical information you will need as you explore – and prepare to apply – cybersecurity law. His practical, easy-to-understand explanations help you to: Understand your legal duty to act reasonably and responsibly to protect assets and information. Identify which cybersecurity laws have the potential to impact your cybersecurity program. Upgrade cybersecurity policies to comply with state, federal, and regulatory statutes. Communicate effectively about cybersecurity law with corporate legal department and counsel. Understand the implications of emerging legislation for your cybersecurity program. Know how to avoid losing a cybersecurity court case on procedure – and develop strategies to handle a dispute out of court. Develop an international view of cybersecurity and data privacy – and international legal frameworks. Schreider takes you beyond security standards and regulatory controls to ensure that your current or future cybersecurity program complies with all laws and legal jurisdictions. Hundreds of citations and references allow you to dig deeper as you explore specific topics relevant to your organization or your studies. This book needs to be required reading before your next discussion with your corporate legal department.

Money Laundering, Asset Forfeiture and Recovery and Compliance – A Global Guide

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Author: William H. Byrnes,Robert J. Munro

Publisher: LexisNexis

ISBN: 0327170840

Category: Law

Page: N.A

View: 9497

This eBook is designed to provide the reader with accurate analyses of the AML/CTF Financial and Legal Intelligence, law and practice in the nations of the world with the most current references and resources. The eBook is organized around five main themes: 1. Money Laundering Risk and Compliance; 2. The Law of Anti-Money Laundering and Compliance; 3. Criminal and Civil Forfeiture; 4. Compliance and 5. International Cooperation. Each chapter is made up of five parts. Part I, "Introduction," begins with the analysis of money laundering risks and compliance with the recommendations of the Financial Action Task Force (FATF), and then concludes with the country's rating based on the International Narcotics Control Strategy Report (INCSR) of the U.S. State Department. Part II, "Anti-Money Laundering and Combating Terrorist Financing (AML/CTF)" and Part III, "Criminal and Civil Forfeiture," evaluate the judicial and legislative structures of the country. Given the increasing global dimension of AML/CTF activities, these sections give special attention to how a country has created statutes, decisions, policies and the judicial enforcement procedures needed to combat money laundering and terrorist financing. Part IV, "Compliance," examines the most critical processes for the prevention and detection of money laundering and terrorist financing. This section reflects on the practical elements that should be in place so that financial institutions can comply with AML/CTF requirements; these are categorized into the development and implementation of internal controls, policies and procedures. Part V, "International Cooperation," reviews the compilation of international laws and treaties between countries working together to combat money laundering and terrorist financing. As these unlawful activities can occur in any given country, it is important to identify the international participants who are cooperating to develop methods to obstruct these criminal activities.

Building a World-Class Compliance Program

Best Practices and Strategies for Success

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Author: Martin T. Biegelman

Publisher: John Wiley & Sons

ISBN: 9780470278406

Category: Business & Economics

Page: 336

View: 7152

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.

The Sustainability Handbook

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Author: William R. Blackburn

Publisher: Earthscan

ISBN: 1849773297

Category: Business & Economics

Page: 822

View: 9024

The Sustainability Handbook covers all the challenges, complexities and benefits of sustainability for businesses, governments and other organizations. It provides a blueprint for how organizations can reach or exceed economic, social and environmental excellence. It offers a host of practical approaches and tools including a model sustainability policy for organizations, summaries of sustainability codes and tips on selecting them, an extensive collection of metrics and a wealth of supplementary reference material. This is the essential reference for every organization in pursuit of sustainability.

Bribery

A Compliance Handbook

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Author: Raj Chada,Christopher Sallon,Sam Tate

Publisher: Bloomsbury Professional

ISBN: 9781780433288

Category: Law

Page: 426

View: 3214

"One of the great strengths of this book is the way the authors blend good practical legal advice, genuine insight about the attitude and approach of the authorities in the UK, and off-the-shelf policies to help corporate bodies navigate their way through these often difficult waters. The game has changed and those who ignore the practical advice offered in this book do so at their own peril." Sir Keir Starmer KCB QC, Director of Public Prosecutions 2008-13 (from the foreword to the book) Bribery: A Compliance Handbook is a practical guide to regulation in relation to corrupt practices. The book considers the safeguards and practical measures that organisations should put in place to prevent prosecution or regulatory action. It is a compliance text focussing on the requisite measures to be put into place by company directors and compliance officers to avoid liability. This book is a reference point for those concerned with regulation of potentially corrupt activities. It covers the current bribery legislation in the UK and the domestic and international context within which it was enacted and reviews each of the principle offences and considers some case studies and issues that affect particular sectors. The emphasis of the book is on preventative matters rather than defending subsequent prosecutions and will appeal not just to lawyers, but to compliance officers, non executive directors and others who are required to be aware of the provisions. Bribery: A Compliance Handbook is essential reading for in-house and private practice lawyers advising clients in this area and for compliance officers or Board members, who post Bribery Act are ever more likely to be engaged with the difficult practical issues the new legislation gives rise to. Contents: 1 Introduction; 2 Global context including the FCPA; 3 Background the British bribery legislation; 4 Giving and taking of bribes; 5 Small bribes and facilitation payments; 6 Bribery of a foreign public official; 7 Failure of commercial organisations to prevent bribery; 8 Adequate procedures; 9 Internal company investigations; 10 Self-reporting; 11 Deferred prosecution agreements; 12 What to do if you are being investigated; 13 Corporate hospitality; Appendix 1 Small bribes management discussion; Appendix 2 Red flags; Appendix 3 Ministry of Justice Guidance on the Bribery Act 2010; Appendix 4 Sentencing Council Definitive Guideline on fraud, bribery and money laundering: corporate offenders; Appendix 5 Crime and Courts Act 2013 Schedule 17: Deferred prosecution agreements; Appendix 6 Criminal Procedure Rules Part 12: Deferred Prosecution Agreements; Appendix 7 Deferred Prosecution Agreements Code of Practice; Appendix 8 Transparency International Corruption Perception Index 2013.

Yes!

Andere überzeugen - 50 wissenschaftlich gesicherte Geheimrezepte

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Author: Noah J. Goldstein,Steve J. Martin,Robert B. Cialdini

Publisher: N.A

ISBN: 9783456847399

Category:

Page: 211

View: 9887

Starting and Managing a Nonprofit Organization

A Legal Guide

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Author: Bruce R. Hopkins

Publisher: John Wiley & Sons

ISBN: 1118520629

Category: Business & Economics

Page: 384

View: 5096

Nuts-and-bolts guidance on the laws, rules, and regulationsgoverning the nonprofit sector—from leading nonprofit lawexpert, Bruce R. Hopkins Nonprofits must comply with stringent federal and state laws dueto their special tax-exempt status; the government's ultimatethreat is revocation of a nonprofit's tax-exempt status, whichusually means the nonprofit's demise. Written in plain English, not"legalese," Starting and Managing a Nonprofit Organization: ALegal Guide, Sixth Edition, provides essential guidance forthose interested in starting nonprofits, as well as valuable advicefor leaders of established organizations. Revised and expanded to include updated information on changesin laws, rules, and regulations governing the nonprofit sector Covers federal tax law, nonprofit, governance, the annualinformation return (Form 990), charitable giving rules, and currentIRS ruling policy Presents essential, practical legal information ineasy-to-understand English Explains the applications and implications of corporate, tax,and fundraising laws for nonprofits This easy-to-read resource contains essential information onvirtually every legal aspect of starting and operating a nonprofitorganization from receiving and maintaining tax-exempt status totips for successful management practices.

The Compliance Response to Misconduct Allegations

Playbook

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Author: John D. Thompson

Publisher: Elsevier

ISBN: 012416563X

Category: Business & Economics

Page: 90

View: 6108

The Compliance Response to Misconduct Allegations playbook is a step-by-step guide for what to do—and what not to do—in performing an investigation into claims of violations of employee policies. It has been created for corporate professionals who are often the first to be contacted during a suspected employee-related claim, and who may not have investigative training. Sections of this playbook address the decision whether to investigate, the naming of investigators, investigation planning, interview techniques and issues, the importance of taking notes and written statements, investigations in union settings, and much more. Also included are a series of checklists and templates to aid the investigative team before, during, and after an investigation. This playbook is an excellent risk management resource for audit professionals, human resources managers, site or facility managers, small business owners, or anyone who may be the first to receive reports of wrongdoing, regulatory violations, or prohibited workforce behavior. The Compliance Response to Misconduct Allegations is a part of Elsevier’s Security Executive Council Risk Management Portfolio, a collection of real world solutions and "how-to" guidelines that equip executives, practitioners, and educators with proven information for successful security and risk management programs. Describes the ethical and legal reasons for a company to follow up on and take every employee complaint seriously Provides a framework of best practices the investigative team can use to prepare for and conduct workplace investigations Includes a series of checklists and templates to aid the investigative team before, during, and after the investigation