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Книги з теми "Compliance-risks"

Автор: Grafiati

Опубліковано: 30 травня 2022

Оновлено: 31 травня 2022

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1

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

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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. [Boston, Mass.]: Aspatore Books, 2008.

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3

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. Washington, D.C: The Office, 1998.

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4

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

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5

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

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6

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

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7

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

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8

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

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9

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

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10

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

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11

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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12

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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13

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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14

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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15

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

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16

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

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17

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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18

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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19

Compliance issues and trends: Leading lawyers on evaluating benchmarks, educating clients, and mitigating risks. [Boston, Mass.?]: Aspatore, 2008.

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20

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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Анотація:

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 are the focus of the ultimate section. With contributions by Prof. Dr. Michael Nietsch, Prof. a.D. Dr. Peter Gola, Dr. Birgit Spießhofer, Prof. Dr. Iris H-Y Chiu, Prof. Dr. Jürgen Taschke, Prof. Dr. Frank Saliger, Dr. Horst Ihlas

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21

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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22

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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Анотація:

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. The remainder of the chapter covers risk management principles, the scope of the risk management function, examples of risk scenarios, identification of risks, assessment of risks, monitoring, and control and mitigation.

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23

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. [Boston, Mass.]: Aspatore Books, 2008.

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24

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. [Boston]: MCLE, 2004.

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25

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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Анотація:

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, but sticks can have a multiplication effect); distributive effects (carrots may overcompensate, sticks may undercompensate; individualizing sanctions changes the distributive effect of carrots but not of sticks); activity level effects caused by these distributive effects; the principal's incentives to behave opportunistically; and the agent's incentives to self-report. The article also discusses special types (precompensated, annullable, combined, intra-group financed, reversible, strict liability carrots and sticks) and two extensions (political risks, behavioural effects).

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26

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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Анотація:

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 workers and patients, in compliance with the requirements of the Artificial Optical Radiation directive.

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27

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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Анотація:

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 (and therefore the accrual of large numbers of trial outcomes). Following successful large-scale randomization, it is critical that patients’ compliance with their allocated treatment is maintained, relevant study outcomes are systematically ascertained, and appropriate statistical analyses are performed. There is an urgent need to conduct such trials to address the many important clinical questions in nephrology.

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28

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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Анотація:

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 clients. Rules need to be implemented and applied, which can be a challenging task for an industry above all interested in making money. The authors discuss “slush funds,” the development and infiltration of money laundering, and how the FATF established an action plan to deal with this issue. They evaluate the current status of rules against corruption-money laundering.

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29

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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Анотація:

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 of improving privacy and cybersecurity while safeguarding against protectionist trade risks. The design of these agreements emphasizes binding “soft rules” that allow significant variations in national policy trade-offs while establishing a minimum common baseline of policy through the soft rules. Expert multistakeholder organizations drawn from civil society loom large in the design for implementation of the soft rules through such avenues as mutual recognition schemes for certifying compliance with privacy and security objectives. If trade agreements prove unworkable as a starting point, such agreements could be anchored to other types of binding policy agreements. However, trade is the first best option for consideration before there is any decision to resort to second-best strategies.

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30

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 Food Control Systems (CAC/GL 82-2013) and the General Principles of Food Hygiene (CAC/RCP 1-1969). Table of contents RISK-BASED FOOD INSPECTION MANUAL FOR THE CARIBBEAN | Contributions and Acknowledgement | SECTION 1 - INTRODUCTION | SECTION 2 - GUIDING PRINCIPLES AND TERMINOLOGY | Guiding Principles | Terminology | SECTION 3 - RISK-BASED INSPECTION PLANNING AND REPORTING | National Food Profiles | Risk categorization for food | Risk categorization for food businesses | Risk-based inspection planning | General | Establishing inspection priorities | Developing an annual plan | Risk Based Inspection System Reporting | Delivery of planned activities | Program effectiveness | Conclusion | SECTION 4 - PROCEDURES FOR RISK BASED INSPECTION | Types or categories of food business inspection | General guidance | Preparation for the inspection | INSPECTION GUIDELINES AND PROCEDURES | Opening meeting | Guidance 1: Opening Meeting (Medium to large food businesses) | Guidance 2: Opening meeting (Micro and Small food businesses) | Documentation Review | Guidance 3: Documentation review of food businesses with written food control processes | Outside review | Guidance 4: Food business: Outside exterior inspection | Guidance 5: Food business (without a permanent building) outside inspection | Inside review | Guidance 6: Food business (inside) inspection | Guidance 7: Bakeries | Guidance 8: Bottling drinks | Guidance 9: Eggs | Guidance 10: Fish and Fish products | Guidance 11: Market vendors, bulk sales of fruit, vegetables, spices, rice, pulses | Guidance 12: Milk, Dairy | Guidance 13: Poultry and Meat | Guidance 14: Restaurant/Cooked Food | Guidance 15: Retail | Guidance 16: Street food | Guidance 17: Warehouses, Storage facilities | Closing meeting, reporting and follow up | Guidance 18: Medium to Large Food Businesses | Guidance 19: Small and Micro Food Businesses | APPENDIX | Appendix 1: National food profiles | Appendix 2: Food Risks (Information and examples) | Appendix 3: Food business risk scores (draft) form | Appendix 4: Rating guide | Decision tree for rating level of non-compliance | Appendix 5: Inspection Report and Corrective Action Form | Appendix 6: Guidance on Labelling Review (Generic) | Appendix 7: Planning Example | Appendix 8: Case Studies | Case study 1: Retail | Case study 2: Small manufacturer of condiments | Case study 3: street food (doubles) | GLOSSARY | REFERENCES

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