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TABLE OF CONTENTS
About the Editors
About the Contributors
Introduction to the Third Edition
Introduction to the Second Edition
Introduction to the First Edition
Compliance Knowledge Assessment
Quick Compliance Checklist
PART I THE WORLD OF CORPORATE COMPLIANCE
Chapter 1 GENERAL PRINCIPLES BEHIND A COMPLIANCE PROGRAM: THE CASE FOR COMPLIANCE - Theodore L. Banks and Christian E. Liipfert
§ 1.01
What is Corporate Compliance?
§ 1.02
Why Should Corporations Comply with the Law?
§ 1.03
Why Should Individuals Comply with the Law?
§ 1.04
Corporate Compliance Programs
§ 1.05
Conclusion
Chapter 2 AN EFFECTIVE COMPLIANCE PROGRAM UNDER THE SENTENCING GUIDELINES AND THE DEPARTMENT OF JUSTICE COMPLIANCE GUIDANCE - Jeffery M. Cross
§ 2.01
Introduction to the Sentencing Guidelines
§ 2.02
Historical Background of the Sentencing Guidelines
§ 2.03
The Organizational Guidelines
§ 2.04
Introduction to Compliance Guidance from the Department of Justice
§ 2.05
Background to the Compliance Guidance Issued by the Criminal and Antitrust Divisions
§ 2.06
An Effective Compliance Program Under Guidance from the Criminal and Antitrust Divisions
§ 2.07
Indirect Benefits of an Effective Compliance Program
§ 2.08
An International Standard?
§ 2.09
Compliance Program Checklist
Chapter 3 THE SARBANES-OXLEY AND DODD-FRANK ACTS: RULES FOR CORPORATE GOVERNANCE AND COMPLIANCE- Jonathan T. Marks
§ 3.01
Introduction and Overview
§ 3.02
Regulatory Background and Applicability
§ 3.03
The PCAOB
§ 3.04
The Gatekeepers: Auditors and Attorneys
§ 3.05
Independence, Duties and Power of the Audit Committee
§ 3.06
Certification Requirements—Sections 302, 906, and 404
§ 3.07
Management Assessment of Internal Controls Under Section 404
§ 3.08
Measures for Enhanced Financial Disclosure
§ 3.09
Corporate Responsibility Requirements
§ 3.10
Remedies and Enforcement
§ 3.11
Changes to the NYSE and NASDAQ Rules
§ 3.12
Implementation of and Reactions to SOX
§ 3.13
The Financial Crisis of 2008 and the Dodd-Frank Act
§ 3.14
Recent Developments
Chapter 4 CORPORATE ANTITRUST LIABILITY AND COMPLIANCE PROGRAMS - Jeffery M. Cross
§ 4.01
Background
§ 4.02
The Relevance of Compliance Programs to Corporate Criminal Antitrust Liability
§ 4.03
The Relevance of Compliance Programs to Corporate Civil Liability
§ 4.04
The Potential Liability of Directors—The Caremark Decision
Chapter 5 WHO IS THE COMPLIANCE OFFICER?
§ 5.01
Defining the Role of the Chief Compliance Officer
§ 5.02
Qualifications of the Chief Compliance Officer
§ 5.03
Conflicts in the Role of Chief Compliance Officer; Compliance Officer Liability
§ 5.04
Filling the Chief Compliance Officer Role
§ 5.05
Ethical and Fiduciary Obligations of the Compliance Officer
§ 5.06
The Compliance Officer Under U.S. Securities Regulation Laws
Chapter 6 ETHICS AND THE CORPORATION
§ 6.01
Introduction
§ 6.02
Major Components of Effective Compliance Programs
§ 6.03
Implementing Compliance and Ethics Programs
PART II IDENTIFYING YOUR COMPLIANCE RISKS
Chapter 7 ASSESSING YOUR RISKS
§ 7.01
The Compliance Risk Assessment and Analysis
§ 7.02
Looking at Your Company's Activities
§ 7.03
Looking at External Developments
§ 7.04
Assembling the Assessment
§ 7.05
Reputational Risk
Chapter 8 HEALTH CARE COMPLIANCE PLANS - David A. Koenigsberg
§ 8.01
Introduction
§ 8.02
Medicare/Medicaid
§ 8.03
Enforcement
§ 8.04
Federal Sentencing Guidelines
§ 8.05
Health Care Compliance Programs
§ 8.06
OIG Guidance Suggestions
§ 8.07
Employee Education About False Claims Laws Required by the Deficit Reduction Act of 2005
§ 8.08
Publicly Available Compliance Documents
Chapter 9 E-COMPLIANCE - Vincent Polley and Jonathan Rubens
§ 9.01
What Is E-Compliance?
§ 9.02
Advertising
§ 9.03
B2B and Antitrust
§ 9.04
Copyright
§ 9.05
Social Media, Defamation, and Other Electronic Misbehavior
§ 9.06
Domain Names
§ 9.07
E-Mail and Electronic Documents
§ 9.08
Electronic Transactions
§ 9.09
Linking and Crawling
§ 9.10
Privacy and Cybersecurity
§ 9.11
SPAM and Spyware
§ 9.12
Securities Law
§ 9.13
Tax Law
§ 9.14
Information Security and Identity Theft
§ 9.15
Security Breach Notification Laws
§ 9.16
Net Neutrality
§ 9.17
FTC Proposed Online Behavioral Advertising Privacy Principles
Chapter 10 COMPLIANCE PROGRAM FOR MANUFACTURING PLANTS - Donna Bunch Coaxum
§ 10.01
Taking Preventive Measures
§ 10.02
The Type of Program to Establish
§ 10.03
Sample Manufacturing Plant Program and Considerations
§ 10.04
Product Safety and Facility Security After 9/11
§ 10.05
Reaching the Blue-Collar Employee
§ 10.06
Materials Used in Manufacturing
PART III ADDRESSING YOUR COMPLIANCE RISKS
Chapter 11 LEGAL AND PRACTICAL ASPECTS OF RECORDS AND INFORMATION MANAGEMENT - William A. Brandt, Jr.
§ 11.01
Introduction
§ 11.02
Understanding Information Processes
§ 11.03
The Risks of Uncontrolled Information
§ 11.04
Obstacles to the Creation of Records and Information Management Programs
§ 11.05
Developing a Sound Records and Information Management Program
§ 11.06
Conclusion
Chapter 12 USING HOTLINES TO REPORT WRONGDOING—AND IMPROVE THE ORGANIZATION - Alice Peterson
§ 12.01
Introduction
§ 12.02
Purposes Served by Ethics Reporting Mechanisms
§ 12.03
The Value of a Disciplined Process and System for Handling Hotline Issues
§ 12.04
Confidential Employee Communication Options
§ 12.05
Determining How the Hotline Will Work and Who Will Do What
§ 12.06
The Board of Directors' Role in Overseeing the Hotline, Ethical Culture
§ 12.07
Privacy and Data Protection/International Implementation
§ 12.08
Sample Ethics Hotline Policy
Chapter 13 THE CORPORATE OMBUDS—AN INFORMAL AND CONFIDENTIAL ALTERNATIVE FOR RESOLVING DISPUTES AND ADDRESSING CONFLICT IN THE WORKPLACE - Melissa Connell
§ 13.01
History and Distinctions of Ombudsmen
§ 13.02
Independence
§ 13.03
Neutrality and Impartiality
§ 13.04
Confidentiality
§ 13.05
Informality and Other Standards
§ 13.06
The Ombuds Privilege and Other Legal Ramifications
§ 13.07
Functions of the Ombudsman
§ 13.08
Benefits of Establishing the Ombuds Office
§ 13.09
Setting up an OMBUDS Office
§ 13.10
Certification for Certified Organizational Ombudsman Practitioners
Appendix 13-1: References
Chapter 14 INTERNATIONAL ACTIVITIES - John J. Fedele, Crystal R. Jezierski, Sylwia A. Lis, and Alexandre Lamy
§ 14.01
Introduction
§ 14.02
Antiboycott
§ 14.03
Antitrust
§ 14.04
Bribery and Corrupt Practices
§ 14.05
Child and Forced Labor
§ 14.06
Data Security and Privacy
§ 14.07
Export Controls, Trade Sanctions, and Foreign Investment
Chapter 15 CORPORATE CODES, POLICIES AND COMPLIANCE PROGRAMS
§ 15.01
Codes of Conduct and Ethics
§ 15.02
What Should Be in Your Code?
§ 15.03
Going Beyond the Code: The Compliance Program
§ 15.04
Codes for Third Parties
PART IV COMMUNICATIONS AND OTHER PROGRAM COMPONENTS
Chapter 16 TOOLS FOR IMPLEMENTATION
§ 16.01
Introduction
§ 16.02
The Structure of the Compliance Program
§ 16.03
The Carrot and the Stick (Incentives and Discipline)
§ 16.04
Recordkeeping
§ 16.05
Demonstrating an Effective Compliance Program
§ 16.06
The Reporting Path
§ 16.07
The Role of Other Departments
§ 16.08
Getting Help
Chapter 17 COMMUNICATIONS AND TRAINING
§ 17.01
What Is Effective Communication?
§ 17.02
Effective Presentations
§ 17.03
Speaking Skills
§ 17.04
Written Support Materials
§ 17.05
Audiovisual Support
§ 17.06
Media Variety
Chapter 18 (on CD-ROM only) EIGHT STEPS TO SUCCESSFULLY IMPLEMENTING AN ENTERPRISE-WIDE ETHICS AND COMPLIANCE eLEARNING INITIATIVE -
Erica Salmon Byrne and Eric Morehead
§ 18.01
Introduction
§ 18.02
Step One: Determine Training Goals and Estimated Budget
§ 18.03
Step Two: Assemble, Staff, and Meet with the Steering Committee
§ 18.04
Step Three: Create a Code of Conduct Training Plan
§ 18.05
Step Four: Determine a Three- to Five-Year Ethics and Compliance Training Plan
§ 18.06
Step Five: Determine Technology and Deployment Strategy and Preferences
§ 18.07
Step Six: Receive Proposals from Vendors; Analyze, Narrow, and Negotiate Contract
§ 18.08
Step Seven: Customize Programs, Conduct Systems Integration, and Design Communications Plan
§ 18.09
Step Eight: Launch Training Initiative and Drive Completion Rates
Chapter 19 (on CD-ROM only) USING MULTIMEDIA SIMULATIONS FOR COMPLIANCE TRAINING - Kemi Jona, Ph.D.
§ 19.01
Introduction
§ 19.02
Why Compliance Training Can Be Ineffective
§ 19.03
Creating Effective Compliance Training
§ 19.04
Goal-Based Scenarios: A Framework for Developing Effective Computer-Based Learning Environments
§ 19.05
Case Studies of Compliance-Related Learning Systems
§ 19.06
Principles to Improve the Effectiveness of Compliance Training in Your Organization
Chapter 20 USING TECHNOLOGY FOR COMPLIANCE TRAINING AND MONITORING - Christian E. Liipfert
§ 20.01
Introduction
§ 20.02
Training
§ 20.03
Compliance Monitoring Technology
Chapter 21 WRITING FOR UNDERSTANDING - Sarena Green
§ 21.01
The State of Written Compliance Materials
§ 21.02
Ten Writing Tips
§ 21.03
Before and After Example
Chapter 22 USE OF THE “DRAMATIZATION” IN COMPLIANCE TRAINING - Tim Mooney
§ 22.01
Introduction
§ 22.02
Other Ineffectual Compliance Techniques
§ 22.03
What the Theater Brings to Business
§ 22.04
Working with a Writer
§ 22.05
Video Issues
§ 22.06
From Idea to Script: Money Laundering
PART V EVALUATION
Chapter 23 MEASURING YOUR PROGRAM
§ 23.01
Introduction
§ 23.02
Thinking About the Purpose of Compliance Programs
§ 23.03
Risk Analysis
§ 23.04
Benchmarking
§ 23.05
Objective Evaluation
§ 23.06
Subjective Evaluation
§ 23.07
Auditing and Compliance
§ 23.08
Investigations of Wrongdoing
§ 23.09
The Self-Critical Evaluation Privilege
Chapter 24 MAKING THE BEST OF A BAD SITUATION: INVESTIGATING AND DISCLOSING WRONGDOING - Scott R. Lassar
§ 24.01
The Possibility of Wrongdoing
§ 24.02
Conducting an Internal Investigation
§ 24.03
Disclosing Wrongdoing
§ 24.04
Responding to a Government Investigation
§ 24.05
Cooperating with the Government
§ 24.06
Taking the Punishment
Chapter 25 COMPLIANCE WITH GOVERNMENT AGREEMENTS AND DECREES
§ 25.01
Compliance with Government Agreements & Decrees
§ 25.02
Compliance with the Sentencing Guidelines
PART VI KEY LEGAL AREAS
Chapter 26 ABANDONED PROPERTY - Scott J. Heyman
§ 26.01
State Laws
§ 26.02
Failure to Comply with Legal Requirements
§ 26.03
Establishing a Compliance Procedure
Chapter 27 ADVERTISING
§ 27.01
Overview
§ 27.02
FTC Rules
Chapter 28 ANTITRUST
§ 28.01
Background
§ 28.02
Pricing
§ 28.03
Trade Associations and Joint Activity
§ 28.04
Bigness and Badness
§ 28.05
The Freedom to Sell
§ 28.06
Lawsuits and Privilege
§ 28.07
Imposed Antitrust Compliance Programs
§ 28.08
Director Interlocks
Chapter 29 ATTORNEY-CLIENT PRIVILEGE AND ATTORNEY COMPLIANCE PROGRAMS - Mary Robinson
§ 29.01
Background
§ 29.02
Employee Responsibilities
§ 29.03
International Situations
§ 29.04
Attorney Responsibilities
Chapter 30 COMMODITY AND FINANCIAL FUTURES TRADING - Leslie A. Blau and Carl Gilmore
§ 30.01
Overview
§ 30.02
Key Statutes
§ 30.03
Agencies and Organizations
§ 30.04
Who Must Register—Generally
§ 30.05
Major Categories of Registration
§ 30.06
Due Diligence—Obtaining Information on Registrants from NFA
§ 30.07
Futures Exchanges
§ 30.08
Swaps Execution Facility (“SEF”)
§ 30.09
Futures Clearing Organizations
§ 30.10
Negotiating Customer Account Agreements
§ 30.11
Futures Margin
§ 30.12
Segregation of Customer Funds
§ 30.13
Churning
Chapter 31 COMMUNICATIONS AND CRISIS MANAGEMENT - Christopher Beard
§ 31.01
Communications
§ 31.02
Confronting Disasters
Chapter 32 CONFIDENTIAL INFORMATION AND TRADE SECRETS - Charles B. Brown
§ 32.01
Background
§ 32.02
Ethical Guidelines
§ 32.03
What Is a “Trade Secret”?
§ 32.04
Misappropriation and Other Violations
§ 32.05
Federal Defend Trade Secrets Act
Chapter 33 CONSUMER PRODUCT SAFETY - Debra S. Rade
§ 33.01
Corporate Policies
§ 33.02
Federal and Private Standards
Chapter 34 CONTRACTS
§ 34.01
Contract Law Training
§ 34.02
Special Considerations for Sales Employees
Chapter 35 COPYRIGHT
§ 35.01
What a Copyright Does
§ 35.02
Corporate Concerns
§ 35.03
Copyright Treaties and Acts
Chapter 36 CORPORATE GOVERNANCE AND SECURITIES LAW - Krista A. Endres and Talita Ramos Erickson
§ 36.01
Background
§ 36.02
Compliance, Corporate Law, and Corporate Governance
§ 36.03
Securities Laws
Chapter 37 CREDIT AND COLLECTION - John Verscaj
§ 37.01
Overview
§ 37.02
Federal Statute
Chapter 38 DOCUMENTS
Chapter 39 EMPLOYMENT LAW - Suzanne Alexander
§ 39.01
Introduction
§ 39.02
Age Discrimination in Employment Act
§ 39.03
Americans with Disabilities Act
§ 39.04
At-Will Employees and Personnel Handbooks
§ 39.05
Child Labor and the Fair Labor Standards Act
§ 39.06
Civil Rights Act of 1964
§ 39.07
Covenants Not to Compete
§ 39.08
Executive Order 11246 (1965)
§ 39.09
Employee Polygraph Protection Act of 1988 and Background Checks
§ 39.10
Family and Medical Leave Act
§ 39.11
Independent Contractors (Temporary, Contingent Employees)
§ 39.12
Immigration Reform and Control Act of 1986
§ 39.13
Sexual Harassment
§ 39.14
Telecommuting and Employee Supervision
§ 39.15
Uniformed Services Employment and Reemployment Rights Act of 1994
§ 39.16
Worker Adjustment Retraining and Notification Act of 1988 and Similar State Laws
§ 39.17
Whistleblowing
Chapter 40 ENVIRONMENT - Jennifer T. Nijman and Kristen L. Gale
§ 40.01
Introduction
§ 40.02
Background
§ 40.03
Establishing an Environmental Management System
§ 40.04
Maintaining and Improving an EMS
§ 40.05
Available Resources
§ 40.06
Conclusion
Chapter 41 FOOD LAW - Gary Jay Kushner and Brian D. Eyink
§ 41.01
Background: Federal Regulation of Food
§ 41.02
Adulteration: FDA Food Safety Requirements
§ 41.03
Misbranding: FDA Food Labeling Requirements
§ 41.04
Imports
§ 41.05
Inspections, Enforcement, and Recalls
§ 41.06
Special FDA-Regulated Foods
§ 41.07
USDA Regulation of Meat and Poultry Products
§ 41.08
Other Agencies Involved in Regulating Foods
Chapter 42 GOVERNMENT CONTRACTS - Barbara Kinosky
§ 42.01
Overview
§ 42.02
Procurement Integrity Act
§ 42.03
Anti-Kickback Act
§ 42.04
Truthful Cost or Pricing Data
§ 42.05
Conflicts of Interest
§ 42.06
Trade Agreements Act (“TAA”) and Buy American Act (“BAA”)
§ 42.07
Issues Unique to GSA Schedule Contracts
§ 42.08
Labor Laws Unique to Federal Contractors
§ 42.09
False Claims and False Statements Acts
Chapter 43 MERGERS
§ 43.01
Background
§ 43.02
The Merger Review Regime
§ 43.03
The Compliance Standards of the Acquired Company
Chapter 44 MONEY LAUNDERING
Chapter 45 OCCUPATIONAL SAFETY AND HEALTH (OSHA) - Janine Landow-Esser and Adam Falkof
§ 45.01
Introduction
§ 45.02
Background
§ 45.03
Establishing an OSHA Compliance Program
§ 45.04
Maintaining Compliance
§ 45.05
The OSHA Enforcement Program
§ 45.06
Case Example: The 2005 Texas City Disaster
§ 45.07
Potential Future Changes: I2P2
§ 45.08
Available Resources
§ 45.09
Conclusion
Chapter 46 PATENTS - Erik B. Flom
§ 46.01
Introduction
§ 46.02
Patent Enforcement Concerns
§ 46.03
Perfecting Patent Rights or Their Alternatives
Chapter 47 POLITICAL ACTIVITIES - James Portnoy
§ 47.01
Background
§ 47.02
Lobbying Activities
§ 47.03
Political Contributions
§ 47.04
Gifts to and Entertainment of Public Officials
Chapter 48 DATA PRIVACY & SECURITY - Alan Friel, Adam Kardash, and Sarah Pearce
§ 48.01
Background
§ 48.02
United States
§ 48.03
Canada
§ 48.04
Data Protection and Privacy in the European Union
§ 48.05
Compliance Programs
Chapter 49 SERVICE OF PROCESS AND OTHER GOVERNMENT CONTACTS
§ 49.01
Background
§ 49.02
Ex Parte Contacts
§ 49.03
Search Warrants and “Dawn Raids”
§ 49.04
Service of Process
Chapter 50 TRADEMARK - Steven Mandell
§ 50.01
Trademark Advantages
§ 50.02
Protecting a Trademark
§ 50.03
Legal Rights Conferred
§ 50.04
Compliance Indicators
§ 50.05
Domain Names
§ 50.06
Other Resources
Chapter 51 CORPORATE SOCIAL RESPONSIBILITY - Sarah A. Altschuller
§ 51.01
CSR and Compliance: Strategic Responses to Evolving Societal Expectations
§ 51.02
The Value of Integrating CSR and Compliance
§ 51.03
CSR and Compliance: Practical Approaches to Integration
§ 51.04
Conclusion
Table of Cases
Index
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