Manager's Guide to Compliance
Sarbanes-Oxley, COSO, ERM, COBIT, IFRS, BASEL II, OMB's A-123, ASX 10, OECD Principles, Turnbull Guidance, Best Practices and Case Studies
Published on 21. April 2006
336 pages
978-1-118-42946-4 (ISBN)
Description
Compliance requirements are here to stay.
Prepare your company for the growing challenge.
A Wall Street Journal/Harris poll revealed that two thirds ofinvestors express doubts in the ability of corporate boards ofdirectors to provide effective oversight. In the shadow of recentglobal scandals involving businesses such as Parmalat and WorldCom,Manager's Guide to Compliance: Best Practices and Case Studies isessential reading for you, whether your organization is a majorcorporation or a small business.
This timely handbook places U.S. and global regulatoryinformation, as well as critical compliance guidance, in aneasy-to-access format and helps you make sense of all the complexissues connected with fraud and compliance.
"Wide perspectives and best practices combined deliver a punchthat will knock your 'SOX' off! The author has blended together acritical mix necessary for effectively handling the requirements ofSOX."
--Rob Nance, Publisher, AccountingWEB, Inc.
"Robust compliance and corporate governance is an absolutenecessity in today's business environment. This new book by AnthonyTarantino is an authoritative guide to understanding andimplementing compliance and regulatory requirements in the UnitedStates and around the world. From SOX to COSO to ERM, this bookcovers them all."
--Martin T. Biegelman, Certified Fraud Examiner, Fellow andRegent Emeritus of the Association of Certified Fraud Examiners,and coauthor of Executive Roadmap to Fraud Prevention andInternal Control: Creating a Culture of Compliance
"If compliance wasn't difficult enough, now companies are facedwith a barrage of technology vendors claiming to automatecompliance as if it were a project. In his new book, Dr. Tarantinopaints the reality of the situation: companies need to embrace thebroader tenets of governance and use technology to embed governancepolicies and controls into their daily business processes. Onlythen can they gain business value from their complianceinvestments."
--Chris Capdevila, CEO and cofounder, LogicalApps
Reviews / Votes
"Wide perspectives and best practices combined deliver a punch thatwill knock your 'SOX' off! The author has blended together acritical mix necessary for effectively handling the requirements ofSOX." --Rob Nance, Publisher, AccountingWEB, Inc. "Robust compliance and corporate governance is an absolutenecessity in today's business environment. This new book by AnthonyTarantino is an authoritative guide to understanding andimplementing compliance and regulatory requirements in the UnitedStates and around the world. From SOX to COSO to ERM, this bookcovers them all." --Martin T. Biegelman, Certified Fraud Examiner, Fellow andRegent Emeritus of the Association of Certified Fraud Examiners,and coauthor of Executive Roadmap to Fraud Prevention andInternal Control: Creating a Culture of Compliance "If compliance wasn't difficult enough, now companies are facedwith a barrage of technology vendors claiming to automatecompliance as if it were a project. In his new book, Dr. Tarantinopaints the reality of the situation: companies need to embrace thebroader tenets of governance and use technology to embed governancepolicies and controls into their daily business processes. Onlythen can they gain business value from their complianceinvestments." --Chris Capdevila, CEO and cofounder, LogicalAppsMore details
Other editions
Additional editions
Anthony Tarantino
Manager's Guide to Compliance
Sarbanes-Oxley, COSO, ERM, COBIT, IFRS, BASEL II, OMB's A-123, ASX 10, OECD Principles, Turnbull Guidance, Best Practices, and Case Studies
Book
06/2006
1st Edition
Wiley
€79.00
Shipment within 10-20 days
Person
Anthony G. Tarantino, PhD, has thirty years of business management experience, is the author of over a dozen published articles and white papers on compliance, and is a frequent speaker to professional associations. He held a CPM and CPIM designation for twenty years and is preparing for his black belt in Six Sigma. He has led over a dozen compliance initiatives including designing and implementing compliance software tools, leading internal audit, conducting 404 readinesses, and implementing internal controls best practices for U.S., European,and Asian companies.
Content
PREFACE.
ACKNOWLEDGMENT.
Chapter 1: U.S. SOX Section 401: Off-Balance SheetArrangements.
Chapter 2: U.S. SOX Section 404: Internal Controls.
Chapter 3: U.S. SOX Section 406: Code of Ethics.
Chapter 4: U.S. SOX Section 409: Real-Time Reporting of MaterialChanges.
Chapter 5: U.S. SOX Impact on Privately Held Companies andNonprofits.
Chapter 6: U.S. SOX Impact on Small U.S. Companies.
Chapter 7: U.S. SOX Impact on Foreign Companies.
Chapter 8: U.S. Government's Version of U.S. SOX: OMBCircular A-123.
Chapter 9: U.S. Healthcare Efforts to Improve Internal Controls:U.S. HIPAA.
Chapter 10: Bankers' and Insurers' Efforts toImprove Internal Controls.
Chapter 11: Australia, Canada, and UK Efforts to ImproveInternal Controls.
Chapter 12: EU Efforts to Improve Internal Controls: OECDPrinciples.
Chapter 13: Global GAAP (IFRS) and Global Reporting Language(XBRL).
Chapter 14: Compliance and Internal Controls Impact onOutsourcing.
Chapter 15: Civil and Criminal Penalties for Noncompliance.
Chapter 16: Business Penalties for Noncompliance: A MaterialWeakness.
Chapter 17: Revenue Recognition Requirements: U.S. SAB 101 and104.
Chapter 18: Data Retention Requirements.
Chapter 19: Compliance and Internal Control Software.
Chapter 20: Auditing Internal Controls.
Chapter 21: Best Practices in Internal Controls: Enterprise RiskManagement.
Chapter 22: Best Practices in Internal Controls: IT RiskManagement & SDLC (NIST 800-30).
Chapter 23: Best Practices in Internal Controls: Mapping COBITto COSO I, COSO II, & PCAOB.
Chapter 24: Best Practices in Internal Controls: COBIT ITControl Objectives.
Chapter 25: Best Practices in Compliance and Internal Controls:ASX 10 Principles.
Chapter 26: Best Practices in Internal Controls: Segregation ofDuties (SOD).
Chapter 27: Best Practices in Internal Controls: CaseStudies.
Chapter 28: Best Practices in Compliance Project Management.
Chapter 29: Best Practices in Governance and Ethics.
Chapter 30: Costs versus Benefits and the Business Reaction.
Appendix A: Frequently Asked P2P Questions.
Appendix B: Links to Referenced Organizations and Documents.
GLOSSARY.
INDEX.
