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コンプライアンス・プログラムと企業に対する米国連邦量刑指針 2017-18年版

Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability, 2017-18 Edition

Jeffrey M. Kaplan, Joseph E. Murphy

1 vol. Paper., 2017年11月刊行予定(年1回刊行)

Thomson Reuters (CBC), USA. ISBN: 9780314849298

予価 ¥150,834

在庫あり

連邦量刑指針(Federal Sentencing Guideline)に基づく企業コンプライアンス・プログラム構築の手引書。効果的なプログラムを構成する様々な要素−行動準則規定、当局対策、監督・監視機能、トレーニング、告発者保護、違反行為の公開・調査等−について、関連する量刑指針規定を参照しながら構築・実施の際の留意点を提示し、詳解しています。

【Table of Contents】

Part I Compliance Programs Under the Sentencing Guidelines

1. Sentencing Guidelines: In General

2. Corporate Sentencing Guidelines: Drafting History

3. Corporate Sentencing Guidelines: Overview

4. An Effective Compliance and Ethics Program

Part II Establishing An Effective Compliance Program

5. Threshold Considerations

6. Compliance Risk Assessment

7. Corporate Culture and Compliance Programs

8. Codes of Conduct

9. Assigning Compliance Responsibility

10. Board Oversight of the Corporate Compliance Function

11. Care in Delegating Authority

12. Training and Other Communications

13. Auditing, Monitoring and Other Internal Controls

14. Retaliation, Whistleblowers, and Reporting Systems

15. Response to Problems: Investigations, Disclosure of Violations, and Crises Response

17. Measuring the Effectiveness of Compliance and Ethics Programs

18. Ethics and Compliance Surveys

19. Industry Practice: The Defense Industry Experience

20. Labor and Employment Issues

21. Globalizing the Compliance Program: Why and How

22. Implementing a Compliance and Ethics Program in China

Part III Compliance Programs In Court And Beyond

23. Compliance Programs and Criminal Law

24. Impact of Corporate Compliance Outside the Criminal Process

Appendices

A. United States Sentencing Commission Guidelines Manual: Sentencing of Organizations

B. U.S. Department of Justice-Factors in Decisions on Criminal Prosecutions for Environmental Violations in the Context of Significant Voluntary Compliance or Disclosure Efforts by the Violator

C. Model Compliance Plan for Clinical Laboratories

D. Good Practice Guidance on Internal Controls, Ethics, and Compliance

E. Glossary

F. US Attorneys Manual, section 9-28.800 Corporate Compliance Programs

Table of Laws and Rules

Table of Cases

Index