Expert guidance for a proven compliance framework Governing the Think Factory provides readers with an in-depth look at organizational compliance requirements within three major areas: corporate governance, operational compliance, and global migration/workforce compliance. It then shows how to manage compliance, with a look toward global future trends that will impact the compliance framework, helping businesses establish goals and improvement benchmarks going forward.
The long-awaited guide for modern hedge fund compliance program development Hedge Fund Compliance + Website provides straightforward, practical guidance toward developing a hedge fund compliance program, drawn from the author's experience training financial regulators, consulting with government entities, and analyzing hedge fund compliance structures across the globe. In-depth explanations of compliance principles are backed by illustrative case studies and examples. Highly in-demand templates of popular hedge fund compliance documentation provide actionable illustrations of key compliance policies. Designed to assist investors, fund managers, service providers, and compliance job seekers directly, this book describes the fundamental building blocks of the hedge fund compliance function. Compliance is one of the fastest growing areas in the hedge fund space. This reference book provides an essential foundation in modern hedge fund compliance, reflecting the recent changes of this dynamic field. Design and run a hedge fund compliance program Access templates of core compliance documentation and checklists Discover how investors can evaluate and monitor compliance programs Interviews with hedge fund compliance practitioners A steady stream of regulatory changes, combined with the enhanced enforcement efforts of regulators, ensure that hedge funds' compliance-related expenditures will continue to grow. While hedge fund compliance legislation continues to evolve globally, little practical guidance exists for those tasked with the boots-on-the-ground aspects of developing an actual compliance program to comply with best practices and regulatory guidance from leading hedge fund regulators including the US Securities and Exchange Commission, the National Futures Association, the Commodity Futures Trading Commission and the United Kingdom's Financial Conduct Authority. Hedge fund professionals and investors need a fundamental framework for establishing and evaluating an effective program, and when compliance is the issue, trial and error carries too much risk. Hedge Fund Compliance + Website provides clear guidance and practical tools to meet today's compliance professional needs.
Designed to lead financial managers from initial compliance with the Sarbanes-Oxley Act, through ongoing maintenance and monitoring, Beyond Sarbanes-Oxley Compliance helps readers seize this opportunity to revitalize their business practice, drive greater performance, and transform their finance organization into a key contributor to the business. Focusing on the present and future financial road ahead, Beyond Sarbanes-Oxley Compliance explores how to implement enterprise risk management processes that comply with Sarbanes-Oxley 302/404/409 requirements, ways to build on initial compliance activities that will improve financial management processes and profitability, compliance and quarterly close checklists, timelines, and table summaries to help readers achieve their goals, and much more.
What is the importance of Sections 302 and 404? «Implementing» SOX using COSO and COBIT SOX's impact on foreign companies andnonprofits Achieving cost-effective sustainable compliance The evolving role of the SEC and the PCAOB Praise for ESSENTIALS OF SARBANES-OXLEY «Since its enactment in 2002, the Sarbanes-Oxley Act and its Section 404 internal control requirements have caused many a great deal of 'pain and suffering!' With its emphasis on what Sanjay Anand frequently reminds us is the 'real world,' this book should reduce some of that pain as it provides a practical and very realistic approach for an effective implementation of Sarbanes-Oxley internal control processes. The book has references to the new changes in auditing standards and emphasizes achieving sustainable compliance-practical and realistic approaches.» —Robert R. Moeller, President, Compliance & Control Systems, Inc. «Sanjay Anand has provided what every busy executive needs, a concise overview of Sarbanes-Oxley Act essentials. His book is a terrific reference text that I recommend to anyone who needs to quickly understand the substance of the Act.» —Scott Green, Chief Administration Officer Weil, Gotshal & Manges LLP «If you are looking to put together the various pieces-finance, accounting, audit, legal, IT, ethics-and understand the 'big picture' of the Sarbanes-Oxley Act, there is no other book like this. With 'Tips & Techniques' and 'In the Real World' examples, this book brings lively, practical, tangible, and compressible dimensions to a complex, multifaceted (and often dry) subject. This is essential reading for those new to the process and old hands going into their third and fourth years of SOX. It will also help those in other countries adopting SOX-like internal controls and regulations.» —Dr. Anthony Tarantino, Governance, Risk, and Compliance Center of Excellence, IBM, Financial Services Sector, Silicon Valley and New York City Written by Sanjay Anand, one of the world's leading corporate governance, risk management, and regulatory compliance experts, this simple to use book is designed with appreciation for demanding professional obligations, with information always easy to find and at your fingertips. Essentials of Sarbanes-Oxley equips you with the knowledge you and all your company members need to initiate a SOX project, allocate a budget, and help your company achieve compliance.
Quickly acquire the knowledge and skills you need to utilize the varied assessments frequently used in evaluating autism spectrum disorders With both the detection and awareness of autism spectrum disorders (ASD) on the rise, there is an urgent need for an increasing number of professionals to not only learn about the nature and course of the various autism spectrum disorders, but also to know how to identify, assess, and diagnose the presence of these disorders. Essentials of Autism Spectrum Disorders Evaluation and Assessment addresses the main domains of assessment, defines the purpose of the assessment, suggests test instruments, and discusses the unique clinical applications of each instrument to the diagnosis of ASD. Like all the volumes in the Essentials of Psychological Assessment series, each concise chapter features numerous callout boxes highlighting key concepts, bulleted points, and extensive illustrative material, as well as test questions that help you gauge and reinforce your grasp of the information covered. Providing an in-depth look at ASD evaluation and assessment, this straightforward book includes samples of integrated reports from comprehensive model diagnostic evaluations and prepares clinical and school psychologists, as well as speech and language pathologists, to effectively evaluate and assess ASD. Complete coverage of the identification andassessment of autism spectrum disorders Expert advice on avoiding common pitfalls Conveniently formatted for rapid reference Other titles in the Essentials of Psychological Assessment series: Essentials of Dyslexia Assessment and Intervention Essentials of Assessment Report Writing Essentials of School Neuropsychological Assessment Essentials of Evidence-Based Academic Interventions Essentials of Specific Learning Disability Identification Essentials of Processing Assessment Essentials of Executive Function Assessment Essentials of Cross-Battery Assessment, Second Edition
High-level guidance for implementing enterprise risk management in any organization A Practical Guide to Risk Management shows organizations how to implement an effective ERM solution, starting with senior management and risk and compliance professionals working together to categorize and assess risks throughout the enterprise. Detailed guidance is provided on the key risk categories, including financial, operational, reputational, and strategic areas, along with practical tips on how to handle risks that overlap across categories. Provides high-level guidance on how to implement enterprise risk management across any organization Includes discussion of the latest trends and best practices Features the role of IT in ERM and the tools that are available in both assessment and on-going compliance Discusses the key challenges that need to be overcome for a successful ERM initiative Walking readers through the creation of ERM architecture and setting up on-going monitoring and assessement processes, this is an essential book for every CFO, controller and IT manager.
The Compliance Revolution—Practical, Powerful Changes for Strategic Organizational Value Compliance is absolutely critical in creating a robust and resilient organization, one which is trusted by clients and contributes to market stability. Firms must approach compliance differently in order to meet these standards. Written for compliance staff, regulatory organizations, and senior management, The Compliance Revolution explains how key changes in compliance affect underlying principles, practices, roles, expectations and values. This valuable resource for global practitioners assists in navigating compliance requirements and implementing solid protection for a sound organization. Author David Jackman presents a coherent model for understanding and applying key developments in regulation and compliance. While the model is based on financial services, it can be applied to any sector and industry. It identifies five critical compliance components: Start-up, crises, expansion, sustainability, and outcomes-led focus. You will also discover: Why compliance is worth spending money on What your firm could and should be doing differently The importance of ethics in compliance and regulatory challenges How to create a pro-compliance culture Ten principles of good governance and why good governance matters How to employ judgment-based compliance The features and benefits of corporate maturity The Compliance Revolution is a crucial asset for all those with stakes in compliance—board members, compliance managers, and employees. David Jackman outlines key compliance challenges and reveals the practical tools and techniques required for successful practice. The insight, examples, and strategies in this comprehensive guidebook will help you and your organization achieve increasingly efficient, substantially more effective compliance procedures and practices.
Quickly acquire the knowledge and skills you need to accurately and effectively implement Response to Intervention (RTI) programs As adoption of the RTI model grows, professionals such as educational diagnosticians, school psychologists, general and special education teachers, and school administrators are eager to find resources that describe the theory behind it and provide useful guidelines for its effective implementation. Packaged in the user-friendly Essentials series format, and authored by two RTI experts, Essentials of Response to Intervention provides just that resource. This book offers a concise overview of the features of RTI, instruction for its implementation, and post-implementation guidelines for assessing whether a program has been effective. Like all the volumes in the Essentials of Psychological Assessment series, this book is designed to help busy mental health practitioners, and those in training, quickly acquire the psychoeducational assessment knowledge and skills they need. Each concise chapter features numerous callout boxes highlighting key concepts, bulleted points, and extensive illustrative material, as well as test questions that help you to gauge and reinforce your grasp of the information covered. Complete with a Foreword by Jim Ysseldyke, Essentials of Response to Intervention offers rich and up-to-date information on obtaining meaningful data for decision making, evaluation of the research base for RTI, and clinical applications of RTI. Other titles in the Essentials of Psychological Assessment series: Essentials of WISC-IV Assessment, Second Edition Essentials of Cross-Battery Assessment, Second Edition Essentials of Evidence-Based Academic Interventions Essentials of WJ IIITM Cognitive Abilities Assessment Essentials of WJ IIITM Tests of Achievement Assessment Essentials of WIAT-III and KTEA-II Assessment Essentials of Processing Assessment Essentials of Assessment Report Writing
Quick and easy implementation and maintenance guide for ongoing Sarbanes-Oxley compliance For most companies, achieving compliance to the Sarbanes-Oxley Act (SOX) has proven to be more challenging, and more costly, than initially anticipated. In many cases, initial and second-year compliance efforts were found to have strained company resources, causing a shift of focus away from such areas as internal audit in order to meet SOX requirements. Sarbanes-Oxley Ongoing Compliance Guide: Key Processes and Summary Checklists provides controllers, CFOs, and auditors with step-by-step guidance to setting up an ongoing compliance program for SOX in a quick, easy-to-follow manner. This essential book discusses crucial issues such as who should spearhead Sarbanes-Oxley compliance, how it should be set up, and which SOX issues need to be monitored by function. Highlighting the key issues that need to be addressed, this book provides your organization with practical tools including customizable checklists sorted by function for the SOX implications that correspond to various business functions, such as finance, accounting, IT, and management fields. Today, more than ever, a properly structured internal audit function can be a tremendous benefit to an organization, impacting not only regulatory compliance, but also operational excellence. Concise and clear in presentation, Sarbanes-Oxley Ongoing Compliance Guide: Key Processes and Summary Checklists shows you how to help your organization put in place a successful enterprise risk management program. This important book arms you with the vital components of a detailed compliance plan that makes the most of technology to assist in reducing ongoing compliance costs.
A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.
An executive overview of the new Financial Regulations Act This book provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act. One of the first books to provide an executive summary from a compliance perspective Presents responsibilities of senior level executives regarding this new Act Reveals what has changed within the regulatory environment Provides tips and techniques throughout Describing the government regulation of securities, securities markets, and securities transactions in the United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.
Quickly acquire the knowledge and skills you need to confidently administer, score, and interpret the NEPSY®-II The NEPSY®-II is widely used by school psychologists, neuropsychologists, and research psychologists to assess children, ages three to sixteen, with neurological disorders and developmental disabilities and to develop effective intervention strategies. It provides comprehensive assessment over six functional domains: Attention/Executive Functioning, Language, Sensorimotor Functions, Visuospatial Processing, Memory and Learning, and Social Perception. Professionals need an authoritative source of advice and guidance on how to administer, score, and interpret the test to use it properly. Coauthored by two of the creators of the NEPSY®-II, Essentials of NEPSY®-II Assessment is that source. Like all the volumes in the Essentials of Psychological Assessment series, this book is designed to help busy mental health professionals, and those in training, quickly acquire the knowledge and skills they need to make optimal use of major psychological assessment instruments. Each concise chapter features numerous callout boxes highlighting key concepts, bulleted points, and extensive illustrative material, as well as test questions that help you gauge and reinforce your grasp of the information covered. Essentials of NEPSY®-II Assessment includes vital information about the NEPSY®-II, including the advantage of being able to assess a child across functions and modalities. The authors provide step-by-step guidance on test administration, scoring, and interpretation and valuable advice on its clinical applications. Expert assessment of the test’s relative strengths and weaknesses is also provided in a chapter contributed by Stephen R. Hooper. Other titles in the Essentials of Psychological Assessment series: Essentials of Assessment Report Writing Essentials of School Neurosychological Assessment Essentials of Evidence-Based Academic Interventions Essentials of Response to Intervention Essentials of Processing Assessment Essentials of Conners Behavior AssessmentsTM Essentials of Cross-Battery Assessment, Second Edition Essentials of WISC®-IV Assessment, Second Edition