Building a World–Class Compliance Program

Foreword xi
<p>Preface xiii</p>
<p>Acknowledgments xvii</p>
<p>About the Author xix</p>
<p>CHAPTER 1 Why Ethics and Compliance Will Always Matter 1</p>
<p>CHAPTER 2 Tone at the Top and Throughout 25</p>
<p>CHAPTER 3 The Growth and Evolution of Compliance 45</p>
<p>CHAPTER 4 Caremark and Sarbanes–Oxley: Enhancing Compliance 71</p>
<p>CHAPTER 5 CA′s Compliance Rebirth: Don′t Lie, Don′t Cheat, Don′t Steal 87</p>
<p>CHAPTER 6 The International Landscape of Compliance 107</p>
<p>CHAPTER 7 Compliance Programs and Anti–Money Laundering Efforts 131<br /> By Marc B. Sherman, Laura Connor, and David Meilstrup</p>
<p>About the Chapter Authors 148</p>
<p>CHAPTER 8 Interview with an Ethics and Compliance Thought Leader 149</p>
<p>CHAPTER 9 Building a World–Class Compliance Program: The Seven Steps in Practice (Part I) 163</p>
<p>CHAPTER 10 Building a World–Class Compliance Program: The Seven Steps in Practice (Part II) 191</p>
<p>CHAPTER 11 Recognizing Compliance Excellence: Premier, Inc. and Winning the Baldrige Award 219</p>
<p>CHAPTER 12 Designing Robust Fraud Prevention Policies: The Airservices Australia Fraud Control Plan 233</p>
<p>CHAPTER 13 The Skunk in the Room 257</p>
<p>Appendix A: Summary of the 2004 Federal Sentencing Guidelines Amendments and Recommended Action Steps 269</p>
<p>Appendix B: Sample Compliance Program Charter 277</p>
<p>Appendix C: Resources for Compliance Professionals 283</p>
<p>Index 291</p>