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Building a World-Class Compliance Program: Best Practices and Strategies for Success Hardcover – March 28, 2008

ISBN-13: 978-0470114780 ISBN-10: 0470114789 Edition: 1st

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Building a World-Class Compliance Program: Best Practices and Strategies for Success + Compliance 101 -- How to build and maintain an effective compliance and ethics program + Governance, Risk Management, and Compliance: It Can't Happen to Us--Avoiding Corporate Disaster While Driving Success
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Product Details

  • Hardcover: 320 pages
  • Publisher: Wiley; 1 edition (March 28, 2008)
  • Language: English
  • ISBN-10: 0470114789
  • ISBN-13: 978-0470114780
  • Product Dimensions: 6.4 x 1.2 x 9.2 inches
  • Shipping Weight: 1.2 pounds (View shipping rates and policies)
  • Average Customer Review: 3.5 out of 5 stars  See all reviews (6 customer reviews)
  • Amazon Best Sellers Rank: #50,254 in Books (See Top 100 in Books)

Editorial Reviews


"For those who benefited from reading Martin’s first book, Executive Roadmap to Fraud Prevention and Internal Control, you now have the ‘Atlas’ on ethics and compliance. The compliance insights, poignant case studies, and best practices provide a significant value-added for executives who must set the ‘tone at the top’ and for those who struggle day-to-day to establish and maintain ethical and compliant behavior within their organizations. A must-read for faculty and particularly students, for whom the lessons so expertly presented here will shape the ethical compass of future careers."—George E. Curtis, J.D. Associate Professor and former Director of Economic Crime Programs, Utica College

"Building a World-Class Compliance Program is essential reading for in-house executives of all stripes. Boards, management, legal counsel, HR, and compliance officers all will find this ‘how to’ guide filled with practical advice and tips. For all people interested in how to avoid their company becoming the next Enron, this book is a must-read. It chronicles real-life examples of corporate malfeasance ripped from the headlines and offers sage measures to enhance corporate compliance programs so as to detect and deter such conduct. Given the expertise of the author—with years of experience in both law enforcement and in-house compliance—this is the preeminent guide to corporate fraud prevention."—Andrew Weissmann, Partner, Jenner & Block and former director, U.S. Department of Justice Enron Task Force

From the Inside Flap

Building A World-Class Compliance Program

If you want to ensure that your organization is doing everything possible to prevent misconduct and follow laws, rules, and regulations, this book is for you.

The devastating accounting scandals and corporate frauds at Enron, WorldCom, Tyco, Adelphia, and numerous other companies reinforced the importance of compliance programs. Effective compliance programs prevent and detect misconduct and protect the interests of shareholders, employees, and the public. Authoritative, comprehensive, and insightful, Building a World-Class Compliance Program covers:

  • Building the business case for ethics and compliance in an organization

  • "Tone at the top" and throughout the organization

  • Case studies and best practices of world-class companies and those emerging from compliance failures

  • History, growth, and evolution of corporate compliance

  • Detailed discussion of the Federal Sentencing Guidelines for Organizations and the Seven Steps to an effective compliance program

  • U.S. Department of Justice's McNulty Memorandum and the revised principles of federal prosecution of business organizations

  • SEC's Seaboard Criteria in mitigating enforcement actions

  • The importance of the Sarbanes-Oxley Act and the Caremark case

  • Globalization of business, the risk of corruption, and the expanding reach of the Foreign Corrupt Practices Act

  • Anti–money laundering enforcement and the USA PATRIOT Act

  • Why every organization needs a "Skunk in the Room"

Written by a long-standing practitioner in the field, this is a timely and critical work put forth in a very readable and impactful fashion. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program. Interviews with thought leaders and experts in compliance along with recommended action steps give a unique, firsthand perspective. Also included are fraud prevention policies and plans to implement. Compliance insights throughout the book detail case studies, strategies for success, sample programs, and survey findings.

Embracing and implementing corporate compliance policies and procedures is the only option. True corporate responsibility and accountability require all companies, public or private, large or small, foreign or domestic, to have effective compliance programs. Whether you're a CEO, CFO, compliance officer, manager, auditor, risk management professional, or a student, Building a World-Class Compliance Program is your best source for understanding all the complex issues and requirements associated with corporate compliance.

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Customer Reviews

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Most Helpful Customer Reviews

7 of 7 people found the following review helpful By JJMI on July 6, 2009
Format: Hardcover Verified Purchase
Having been involved in compliance issues and internal auditing for quite sometime as an international management consultant, I found this book up-to-date and with very good explanation and descritions of compliance issues. Good starter book for all those involved in risk, governance and compliance issues.Building a World-Class Compliance Program: Best Practices and Strategies for Success
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3 of 3 people found the following review helpful By ccdny21 on January 25, 2012
Format: Hardcover Verified Purchase
And still nothing terribly valuable. I dont particularly like it when these books have so much filler. Thus far, there is very little substance. The title of the book is Building a World Class Compliance Program. A history lesson doesnt help, nor does repeating the same thing over and over again chapter after chapter as if the people charged with the task of building a compliance program arent capable of getting the point the first, second, third, tenth time around. As far as I'm concerned this book needs to either be renamed, or completely overhauled. I'm hoping that this book, at some point soon, gets to the part that the name of this book suggests it will cover.
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2 of 2 people found the following review helpful By Investigations Director on March 6, 2011
Format: Hardcover Verified Purchase
Very pleased with this book. Very comprehensive, well written and applicable. It was everything I had hoped for and more. I don't understand the expensive price tag as I would think it could sell for less even though it is a great book. However, the great information in this book is well worth the price either way. So, I guess I really can't complain about the high initial price tag. I thouroughly enjoyed this book and will keep and use it as a reference for a long time.
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