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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

ISBN: 978-0-471-79257-4
336 pages
April 2006
Manager
Compliance requirements are here to stay.

Prepare your company for the growing challenge.

A Wall Street Journal/Harris poll revealed that two thirds of investors express doubts in the ability of corporate boards of directors to provide effective oversight. In the shadow of recent global scandals involving businesses such as Parmalat and WorldCom, Manager's Guide to Compliance: Best Practices and Case Studies is essential reading for you, whether your organization is a major corporation or a small business.

This timely handbook places U.S. and global regulatory information, as well as critical compliance guidance, in an easy-to-access format and helps you make sense of all the complex issues connected with fraud and compliance.

"Wide perspectives and best practices combined deliver a punch that will knock your 'SOX' off! The author has blended together a critical mix necessary for effectively handling the requirements of SOX."
—Rob Nance, Publisher, AccountingWEB, Inc.

"Robust compliance and corporate governance is an absolute necessity in today's business environment. This new book by Anthony Tarantino is an authoritative guide to understanding and implementing compliance and regulatory requirements in the United States and around the world. From SOX to COSO to ERM, this book covers them all."
—Martin T. Biegelman, Certified Fraud Examiner, Fellow and Regent Emeritus of the Association of Certified Fraud Examiners, and coauthor of Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance

"If compliance wasn't difficult enough, now companies are faced with a barrage of technology vendors claiming to automate compliance as if it were a project. In his new book, Dr. Tarantino paints the reality of the situation: companies need to embrace the broader tenets of governance and use technology to embed governance policies and controls into their daily business processes. Only then can they gain business value from their compliance investments."
—Chris Capdevila, CEO and cofounder, LogicalApps

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PREFACE.

ACKNOWLEDGMENT.

Chapter 1: U.S. SOX Section 401: Off-Balance Sheet Arrangements.

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 Material Changes.

Chapter 5: U.S. SOX Impact on Privately Held Companies and Nonprofits.

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: OMB Circular A-123.

Chapter 9: U.S. Healthcare Efforts to Improve Internal Controls: U.S. HIPAA.

Chapter 10: Bankers’ and Insurers’ Efforts to Improve Internal Controls.

Chapter 11: Australia, Canada, and UK Efforts to Improve Internal Controls.

Chapter 12: EU Efforts to Improve Internal Controls: OECD Principles.

Chapter 13: Global GAAP (IFRS) and Global Reporting Language (XBRL).

Chapter 14: Compliance and Internal Controls Impact on Outsourcing.

Chapter 15: Civil and Criminal Penalties for Noncompliance.

Chapter 16: Business Penalties for Noncompliance: A Material Weakness.

Chapter 17: Revenue Recognition Requirements: U.S. SAB 101 and 104.

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 Risk Management.

Chapter 22: Best Practices in Internal Controls: IT Risk Management & SDLC (NIST 800-30).

Chapter 23: Best Practices in Internal Controls: Mapping COBIT to COSO I, COSO II, & PCAOB.

Chapter 24: Best Practices in Internal Controls: COBIT IT Control Objectives.

Chapter 25: Best Practices in Compliance and Internal Controls: ASX 10 Principles.

Chapter 26: Best Practices in Internal Controls: Segregation of Duties (SOD).

Chapter 27: Best Practices in Internal Controls: Case Studies.

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.

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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.
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"Wide perspectives and best practices combined deliver a punch that will knock your 'SOX' off! The author has blended together a critical mix necessary for effectively handling the requirements of SOX."
—Rob Nance, Publisher, AccountingWEB, Inc.

"Robust compliance and corporate governance is an absolute necessity in today's business environment. This new book by Anthony Tarantino is an authoritative guide to understanding and implementing compliance and regulatory requirements in the United States and around the world. From SOX to COSO to ERM, this book covers them all."
—Martin T. Biegelman, Certified Fraud Examiner, Fellow and Regent Emeritus of the Association of Certified Fraud Examiners, and coauthor of Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance

"If compliance wasn't difficult enough, now companies are faced with a barrage of technology vendors claiming to automate compliance as if it were a project. In his new book, Dr. Tarantino paints the reality of the situation: companies need to embrace the broader tenets of governance and use technology to embed governance policies and controls into their daily business processes. Only then can they gain business value from their compliance investments."
—Chris Capdevila, CEO and cofounder, LogicalApps

See More
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