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Compliance Management for Public, Private, or Non-Profit Organizations

Compliance Management for Public, Private, or Non-Profit Organizations
Author: Michael G. Silverman
ISBN 13: 9780071496407
ISBN 10: 71496408
Edition: 1
Publisher: McGraw-Hill Education
Publication Date: 2008-04-08
Format: Hardcover
Pages: 304
List Price: $79.00

Understand and mitigate compliance risk in any organization

Compliance Management for Public, Private, and Nonprofit Companies is an expert guide that delivers the strategies and techniques needed to establish, manage, and improve the compliance function within any organization.

Written by FINRA faculty member Michael Silverman, this hands-on resource offers valuable advice for identifying compliance risk and addressing complex ethical issues. It also provides best practices for using the

board of directors, trustees, and senior management to promote compliance. From an

operational standpoint, it covers such critical topics as:

  • Establishing a compliance plan and program
  • Implementing compliance-related technology
  • Spearheading compliance education and training programs
  • Developing effective compliance policies
  • Operating a whistle-blowing program
  • Managing internal control and assessment techniques
  • Securing the appropriate staffing and budgeting requirements
  • Assessing compliance effectiveness

A wealth of case studies taken from both the author’s personal experience as well

as the mainstream media brings to life the application of covered techniques in the

real world.

Michael G. Silverman heads a consulting practice that helps organizations manage risk and compliance, corporate ethics, and corporate governance. He is also on the faculties of Columbia University's School of International and Public Affairs and at the Financial Industry Regulatory

Authority, the largest non-governmental

regulator for all securities firms doing

business in the United States.