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企業コンプライアンス実務ガイド 全2巻

Corporate Compliance Practice Guide: The Next Generation of Compliance

Carole Basri (General Editor)

2 vols. Looseleaf., 2009 to date.(追録年1回)

Matthew Bender (LexisNexis), USA. ISBN: 9781422429761

特価 ¥92,382

在庫あり

米国量刑委員会委員、弁護士、コンサルタントなど多様な分野の寄稿者を迎え、企業コンプライアンスのベスト・プラクティスを解説。各章は、プログラム策定にあたっての戦略上のポイント、注意事項、参照すべき制定法・判例などを明らかにする実践的な解説編、チェックリスト、プログラム事例、関連条文等を収めた資料編から構成されています。

【主な構成】

◆第1巻:コンプライアンスを構築する上での全般的な論点

危機評価/グローバルな行動準則/コンプライアンス組織、連絡網の立ち上げ/トレーニング/監査・監視・報告/倫理規定/インセンティブと罰則/継続的な評価と更新/外部コンサルタントの利用/取締役会の役割/訴追延期・免除合意(DNA)/内部調査/弁護士・依頼者間の秘匿特権/記録管理/クライシス・マネジメント/CSR/予算管理、等

◆第2巻:分野/業種ごとのプログラムの策定

反トラスト、反資金洗浄(AML)、海外汚職防止法(FCPA)、知的財産権、広告、データセキュリティ、雇用、役員報酬、証券、関税、環境、政府契約、製造物責任(PL)、保険、金融ファンド、製薬、医療、食品、建設、等

【Table of Contents】

1. What is Corporate Compliance?

2 .Creating a Basic Compliance Program

3. Risk Assessment

4. Global Codes of Conduct

5. Setting up the Compliance Office and Defining the Role of the Compliance Officer

6. Background Checks and Their Importance for the Compliance Program

7. Training on the Compliance Program

8. Auditing, Monitoring and Reporting

9. Setting up an Ethics and Compliance Hotline/Helpline

10. Incentives and Disciplinary Procedures to Promote and Protect the Compliance Program

11. Continually Reevaluating and Updating the Compliance Program

12. CEO Leadership and Compliance

13. Creating Ethics Awareness and Laying the Groundwork with the Board of Directors, Officers, and Employees

14. Working with Consultants and Outside Counsel to Start and/or Refocus and Update Your Compliance Program

15. Ethics and Compliance Programs: Creating a Strong Ethical Culture

16. Corporate Governance and the Role of the Board of Directors in Corporate Compliance

17. Corporate Compliance Programs in the context of Deferred and Non-Prosecution Agreements

18. Corporate Compliance and Internal Investigations

19. Corporate Compliance and Attorney Client Privilege

20. Corporate Compliance and Records Management

21. Corporate Compliance and Crisis Management

22. Corporate Compliance Program Coverage of Subcontractors, Subsidiaries, and Consultants

23. Corporate Social Responsibility

24. Budgeting and Cost Control Strategies and the Compliance Program

25. Marketing the Compliance Program Internally (Examples and Checklists)

26. The Global Compliance Perspective

27. Specific Corporate Compliance Challenges by Practice Area: Antitrust/Competition

28. Specific Corporate Compliance Challenges by Practice Area: Anti-Money Laundering

29. Specific Corporate Compliance Challenges by Practice Area: FCPA/Antibribery

30. Specific Corporate Compliance Challenges by Practice Area: IP

31. Specific Corporate Compliance Challenges by Practice Area: Advertising

32. Specific Corporate Compliance Challenges by Practice Area: Data Privacy and Information Security

33. Specific Corporate Compliance Challenges by Practice Area: Employment

34. Specific Corporate Compliance Challenges by Practice Area: Executive Compensation

35. Specific Corporate Compliance Challenges by Practice Area: ERISA

36. Specific Corporate Compliance Challenges by Practice Area: Immigration

37. Specific Corporate Compliance Challenges by Practice Area: Securities

38. Specific Corporate Compliance Challenges by Practice Area: Customs

39. Specific Corporate Compliance Challenges by Practice Area: Export Controls

40. Specific Corporate Compliance Challenges by Practice Area: Environmental

41. Specific Corporate Compliance Challenges by Practice Area: U.S. Government Contracting

42. Specific Corporate Compliance Challenges by Practice Area: Products Liability

43. Specific Corporate Compliance Challenges by Practice Area: Insurance

44. Specific Corporate Compliance Challenges by Industry: Insurance Regulation

45. Specific Corporate Compliance Challenges by Industry: Banking

46. Specific Corporate Compliance Challenges by Industry: The Compliance Committee Option

47. Specific Corporate Compliance Challenges by Industry: The Pharmaceutical Industry

48. Specific Corporate Compliance Challenges by Industry: Healthcare

49. Specific Corporate Compliance Challenges by Industry: Food

50. Specific Corporate Compliance Challenges by Industry: Extractive Industry - Energy

51. Specific Corporate Compliance Challenges by Industry: Regulated Energy (FERC and NERC)

52. Specific Corporate Compliance Challenges by Industry: Construction

53. Specific Corporate Compliance Challenges by Industry: Asset Management for Hedge Funds, Investment Advisors and Registered Funds

54. Specific Corporate Compliance Challenges by Industry: Hedge Funds

55. Export Compliance Issues in Mergers and Acquisitions

56. Cutting Edge Issues in Corporate Compliance

57. Ethical Issues in Corporate Compliance

58. Behavioral Economics and Corporate Compliance

59. The Future of Corporate Compliance