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Books on the topic 'Compliance-risks'

Author: Grafiati

Published: 30 May 2022

Last updated: 31 July 2025

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1

Berson, Susan W., and Ellen J. Flannery. Health care 2010: Managing risks in the new compliance and enforcement environment. Practising Law Institute, 2010.

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2

Inc, Aspatore, ed. It's role in successfully managing Sarbanes-Oxley compliance: Leading CTOs and CIOs on communicating with management, reducing risks, and controlling the cost of compliance. Aspatore Books, 2008.

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3

Inc, Aspatore, ed. Updating your company's corporate governance policies: Leading lawyers on analyzing compliance programs, evaluating possible risks, and tailoring policies to fit the needs of various companies. Aspatore Books, 2008.

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4

Steinhardt, Bernice. Blood plasma safety: Plasma product risks and manufacturers' compliance : statemant of Bernice Steinhardt, Director Health Services Quality and Public Health Issues, Health, Education, and Human Services Division, before the Subcommittee on Human Resources, Committee on Government Reform and Oversight, House of Representatives. The Office, 1998.

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5

Korolev, Vitaliy, Dmitriy Berdnikov, Aleksandr Geller, et al. Antimonopoly and tariff regulation in the system of state control of the Russian Federation. INFRA-M Academic Publishing LLC., 2023. http://dx.doi.org/10.12737/1862723.

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The textbook extensively covers the most pressing issues of antimonopoly and tariff regulation. The basics of antimonopoly and tariff regulation are outlined, the main activities of the Federal Antimonopoly Service as a state regulator, its functions, powers and responsibilities in the implementation of state antimonopoly control and tariff policy, as well as issues of sectoral tariff regulation and control over economic concentration are considered. Separate chapters are devoted to: types of unfair advertising and measures of responsibility for its placement; control of procuremen

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6

Colorado. Office of State Auditor. Division of Risk Management, Department of Personnel dba General Support Services: Performance and compliance audit. Office of State Auditor, 1995.

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7

Scharfman, Jason A. Hedge Fund Compliance: Risks, Regulation, and Management. Wiley & Sons, Incorporated, John, 2016.

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8

Scharfman, Jason A. Hedge Fund Compliance: Risks, Regulation, and Management. Wiley & Sons, Limited, John, 2017.

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9

Scharfman, Jason A. Hedge Fund Compliance: Risks, Regulation, and Management. Wiley & Sons, Incorporated, John, 2016.

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10

Scharfman, Jason A. Hedge Fund Compliance: Risks, Regulation, and Management. Wiley & Sons, Limited, John, 2016.

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11

Scharfman, Jason A. Private Equity Compliance: Analyzing Conflicts, Fees, and Risks. Wiley & Sons, Incorporated, John, 2018.

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12

Scharfman, Jason A. Private Equity Compliance: Analyzing Conflicts, Fees, and Risks. Wiley, 2018.

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13

Scharfman, Jason A. Private Equity Compliance: Analyzing Conflicts, Fees, and Risks. Wiley & Sons, Incorporated, John, 2018.

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14

Scharfman, Jason A. Private Equity Compliance: Analyzing Conflicts, Fees, and Risks. Wiley & Sons, Limited, John, 2018.

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15

Kalaba, Mr Kunda Emmanuel. Financial Crime Risks Challenges Management & Compliance: The African Perspective. Createspace Independent Publishing Platform, 2016.

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16

Sparrow, Malcom K. Regulatory Craft: Controlling Risks, Solving Problems, and Managing Compliance. Brookings Institution Press, 2011.

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17

The Regulatory Craft: Controlling Risks, Solving Problems, and Managing Compliance. Brookings Institution Press, 2000.

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18

Mariscotti, Eduardo Esteban. Corporate Risks and Leadership: What Every Executive Should Know about Risks, Ethics, Compliance and Human Resources. Productivity Press, 2020.

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19

Mariscotti, Eduardo Esteban. Corporate Risks and Leadership: What Every Executive Should Know about Risks, Ethics, Compliance and Human Resources. Productivity Press, 2020.

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20

Mariscotti, Eduardo Esteban. Corporate Risks and Leadership: What Every Executive Should Know about Risks, Ethics, Compliance and Human Resources. Productivity Press, 2020.

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21

Mariscotti, Eduardo Esteban. Corporate Risks and Leadership: What Every Executive Should Know about Risks, Ethics, Compliance and Human Resources. Productivity Press, 2020.

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22

Corporate compliance in home health: Establishing a plan, managing the risks. Aspen Publishers, 1998.

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23

Cloud Security and Privacy: An Enterprise Perspective on Risks and Compliance. O'Reilly, 2009.

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24

Cloud Security and Privacy: An Enterprise Perspective on Risks and Compliance. O'Reilly, 2009.

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25

Mather, Tim, Subra Kumaraswamy, and Shahed Latif. Cloud Security and Privacy: An Enterprise Perspective on Risks and Compliance. O'Reilly Media, Incorporated, 2009.

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26

Mather, Tim, Subra Kumaraswamy, and Shahed Latif. Cloud Security and Privacy: An Enterprise Perspective on Risks and Compliance. O'Reilly Media, Incorporated, 2009.

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27

Mather, Tim, Subra Kumaraswamy, and Shahed Latif. Cloud Security and Privacy: An Enterprise Perspective on Risks and Compliance. O'Reilly Media, Incorporated, 2009.

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28

Sergi, Bruno S., and Fabian M. Teichmann. Compliance in Multinational Corporations: Business Risks in Bribery, Money Laundering, Terrorism Financing and Sanctions. Emerald Publishing Limited, 2018.

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29

Sergi, Bruno S., and Fabian M. Teichmann. Compliance in Multinational Corporations: Business Risks in Bribery, Money Laundering, Terrorism Financing and Sanctions. Emerald Publishing Limited, 2018.

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30

Compliance issues and trends: Leading lawyers on evaluating benchmarks, educating clients, and mitigating risks. Aspatore, 2008.

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31

Ellis, Matteson. The FCPA in Latin America: Common Corruption Risks and Effective Compliance Strategies for the Region. BookBaby, 2016.

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32

Singh, Nitish, and Thomas J. Bussen. Compliance Management. ABC-CLIO, LLC, 2015. http://dx.doi.org/10.5040/9798400629822.

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This practical guide shows how to build an effective compliance and ethics program that will lower a business's risks and improve productivity. Research increasingly supports the notion that ethical, compliant businesses see increased productivity across a range of measurements. This practical guide tells business professionals, business and law students, and other interested parties exactly how that goal can be achieved. The book covers an extensive range of ethics-compliant laws and regulations impacting businesses today and identifies critical factors for successful compliance programs. Goi

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33

Nietsch, Michael, ed. Compliance und soziale Verantwortung im Unternehmen. Nomos Verlagsgesellschaft mbH & Co. KG, 2019. http://dx.doi.org/10.5771/9783845292380.

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The 4th edition of Wiesbaden’s Compliance Day discusses current topics of corporate governance and compliance. Issues regarding the implementation of the General Data Protection Regulation (GDPR) into corporate systems are the foremost topic. These are followed by an update on the rising CSR legislation in Germany. Furthermore, a look is taken at directors’ duties with respect to compliance management and their criminal liability resulting as a lack thereof. This refers to the offence of breach of fiduciary duties. Reflections on the underwriting of compliance risks through D&O insurances

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34

Praxis des Non-Financial Risk-Managements Im Finanzsektor: In 25 Jahren Von ,,Other Risks Zu Compliance, Conduct, Cyber and Co. Springer Fachmedien Wiesbaden GmbH, 2023.

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35

Zuckerman, Edward L. HIPAA help: A compliance toolkit for psychotherapists for maintaining records' privacy and security, managing risks and operating ethically and legally under HIPAA. Three Wishes Press, 2003.

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36

Mabbun, Richard, and Julian Makas. Red Flags: Recognize and eliminate the risks in your RIA firm’s Disaster Recovery, IT Compliance, and Cyber Security processes to safeguard your reputation and client trust. Createspace Independent Publishing Platform, 2014.

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37

Roger, Mccormick, and Stears Chris. Part IX Legal and Conduct Risk Management, 29 The Essentials of Legal and Conduct Risk Management. Oxford University Press, 2018. http://dx.doi.org/10.1093/law/9780198749271.003.0030.

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This chapter first discusses the general approach of regulators to risk management. Regulators often claim that they take a risk-based approach to the regulation of banks and other financial institutions. What matters to the regulator is compliance with the substance of its enunciated principles, not merely with their form. ‘Creative compliance’ and trying to find ‘ways round’ a clearly stated regulatory principle are not options. However, legal and conduct risk can be affected simply by a change of attitude on the part of the regulator without there being any change in rules or regulations. T

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38

Environmental risks and compliance obligations in business transactions: Assessing environmental liabilities and negotiating contract terms to resolve them, as part of mergers, acquisitions, financing, and other business transactions. MCLE, 2004.

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39

Dari-Mattiacci, Giuseppe, and Gerrit DeGeest. Carrots vs. Sticks. Edited by Francesco Parisi. Oxford University Press, 2017. http://dx.doi.org/10.1093/oxfordhb/9780199684267.013.41.

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This article draws a general picture of the differences between the metaphors of carrots and sticks. It discusses incentive effects (in principle, a $100 carrot creates the same incentives as a $100 stick, but there are exceptions); transaction costs (carrots are paid upon compliance, sticks upon violation, therefore sticks have lower transaction costs if the majority complies); risks (probabilistic carrots create risks for compliers, probabilistic sticks for violators); wealth and budget constraints (the maximum carrot depends on the principal's wealth, the maximum stick on the agent's wealth

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40

Sparrow, Malcolm K. Imposing Duties. Greenwood Publishing Group, Inc., 1994. http://dx.doi.org/10.5040/9798400669040.

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Policing, environmental protection, and tax administration have much more in common than practitioners in these areas often recognize. Their cultures and traditions have, for the past few decades, incorporated a classic enforcement mentality, based on the underlying assumption that a ruthless and efficient investigative and enforcement capability would produce compliance through the mechanisms of deterrence. In these fields, and perhaps in many other enforcement or compliance oriented professions, Sparrow believes the traditional enforcement approach is under stress. There are too many violato

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41

Taylor, David K. Non-coherent optical radiation sources. Oxford University Press, 2015. http://dx.doi.org/10.1093/med/9780199655212.003.0022.

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Optical radiation is ubiquitous, and intense artificial sources find many applications in clinical practice, including zone illumination, diagnosis, and therapy. Its effects on humans are strongly wavelength-dependent, its hazards sometimes overlooked due to familiarity or masking by other wavelengths. This chapter examines non-laser sources of ultraviolet, visible, and infrared radiations, the risks likely to be encountered in clinical settings, the calculations needed to assess commonly encountered optical radiation sources, and the measures that can be taken to minimize the hazards to worke

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42

Haynes, Richard, Martin J. Landray, William G. Herrington, and Colin Baigent. Clinical trials. Edited by Christopher G. Winearls. Oxford University Press, 2015. http://dx.doi.org/10.1093/med/9780199592548.003.0019.

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Randomized trials are the best method for identifying and quantifying the benefits and risks of interventions in clinical practice. Nephrology lags behind most specialties in medicine in its evidence base. Many commonly used therapies are untested and may be ineffective or even cause harm. For trials to provide reliable answers to important clinical questions they must first avoid two sources of error. Firstly, systematic error (or bias) can only be removed by proper randomization. Secondly, random error (the play of chance) can only be removed by the randomization of large numbers of patients

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43

Guide to Safety and Health Requirements for Industrial Painting Projects. AMPP, 2008. https://doi.org/10.5006/sspc-pa_guide_10-2008.

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Scope It is generally recognized that facility owners and specifiers should consider construction risks as part of their overall risk management programs. This document provides guidance for facility owners and project specifiers who have a mandate to incorporate appropriate requirements for safety and health program submittals and associated acceptance criteria in contract documents. It also alerts contractors to their responsibilities to protect workers as required by the US. Occupational Safety and Health Administration (OSHA). Both owners and contractors should be familiar with the OSHA Co

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44

Pieth, Mark. Finance and the “Shadow Economy”. Oxford University Press, 2017. http://dx.doi.org/10.1093/oso/9780190458331.003.0009.

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This chapter focuses on corruption in the banking and finance industry, and the steps that have been taken to combat the problem. Overall the financial services industry carries a heavy responsibility for large-scale corruption. Financial intermediaries and banks are used typically in grand corruption schemes by corporations, let alone by kleptocratic regimes, and frequently, they are fully aware of what they are involved in. To prevent them from being inadvertently used for such purposes, compliance systems need to be in place reacting to the specific risks related to graft and corruption by

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45

Cowhey, Peter F., and Jonathan D. Aronson. Creating an International Governance Regime for the Digital Economy. Oxford University Press, 2017. http://dx.doi.org/10.1093/acprof:oso/9780190657932.003.0009.

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The concluding chapter lays out a strategy for creating an international governance regime for the digital economy. It identifies a core “club” of nations that could champion new digital trade agreements linked to stronger international agreements to advance a trusted digital environment—the Digital Economy Agreement. This agreement would revamp trade policy to adjust to the impact of the information and production disruption by improving rules for digital market integration and would create a foundation that simplifies and strengthens the ability to forge significant pacts advancing the goals

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46

Wales, Kim. Peer-to-Peer Lending and Equity Crowdfunding. ABC-CLIO, LLC, 2017. http://dx.doi.org/10.5040/9798400695902.

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Written by an industry pioneer who has hands-on experience in the brave new world of peer-to-peer lending and equity crowdfunding, this book serves as a resource for investors and entrepreneurs alike and investigates how these alternative mechanisms will increase the financial and operational capacity of borrowers, lenders, buyers, and sellers in the private markets. More than 60 governments across the globe have established financial inclusion as a policy priority and are vying for access to and use of financial services by households and firms to boost economic growth. A thought leader on se

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47

Risk-based food inspection manual for the Caribbean. Organización Panamericana de la Salud, 2019. http://dx.doi.org/10.37774/9789275121238.

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[Introduction] This manual contains guidance for risk-based inspections of food processing, preparation, retail and restaurants that countries can consult and adapt/adopt in developing a risk-based food business inspection program for their specific context. It is intended to help countries implement risk-based inspection systems that are consistent with international standards. This document builds on the FAO Risk Based Food Inspection manual (2008) and draws on the more recent guidance developed for governments by Codex Alimentarius, in particular, the Principles and Guidelines for National

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