[PDF] Monitoring And Compliance eBook

Author : John Steiner, Jr.
Publisher :
Page : pages
File Size : 44,96 MB
Release : 2002-01-01
Category :
ISBN : 9780979221019

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This book was prepared to assist compliance officers and compliance committee members with designing and maintaining an effective corporate compliance program by providing an in-depth look at monitoring and auditing strategies and tactics.

Author : Ziba Vaghri
Publisher : Springer Nature
Page : 429 pages
File Size : 31,92 MB
Release : 2022-01-03
Category : Education
ISBN : 3030846474

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This open access book presents a discussion on human rights-based attributes for each article pertinent to the substantive rights of children, as defined in the United Nations Convention on the Rights of the Child (UNCRC). It provides the reader with a unique and clear overview of the scope and core content of the articles, together with an analysis of the latest jurisprudence of the UN Committee on the Rights of the Child. For each article of the UNCRC, the authors explore the nature and scope of corresponding State obligations, and identify the main features that need to be taken into consideration when assessing a State’s progressive implementation of the UNCRC. This analysis considers which aspects of a given right are most important to track, in order to monitor States' implementation of any given right, and whether there is any resultant change in the lives of children. This approach transforms the narrative of legal international standards concerning a given right into a set of characteristics that ensure no aspect of said right is overlooked. The book develops a clear and comprehensive understanding of the UNCRC that can be used as an introduction to the rights and principles it contains, and to identify directions for future policy and strategy development in compliance with the UNCRC. As such, it offers an invaluable reference guide for researchers and students in the field of childhood and children’s rights studies, as well as a wide range of professionals and organisations concerned with the subject.

Author : Rafay, Abdul
Publisher : IGI Global
Page : 374 pages
File Size : 26,61 MB
Release : 2021-04-16
Category : True Crime
ISBN : 179988760X

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During the last few decades, corrupt financial practices were increasingly being monitored in many countries around the globe. The past few decades have been eventful for these issues. Today, tackling money laundering and terrorism financing are considered key issues in developed and developing countries alike. Eradication of money laundering and terrorism financing through a holistic approach of awareness, prevention, and enforcement is a current need. It has enabled the birth of new regulatory regimes based on strict compliance, robust processes, and technology. One of the many problems with this is the lack of general awareness about all these issues among various stakeholders including researchers and practitioners. Money Laundering and Terrorism Financing in Global Financial Systems deepens the discourse about money laundering, terrorism financing, and risk management in a modern-day environment. It provides a fascinating and invaluable guide for understanding the theory, practice, and cases of these topics. Split into two sections, the first being money laundering and terrorism financing and the second being financial governance and risk management, the chapters create comprehensive knowledge on these acts of crime in the financial industry by defining the crimes themselves, the many challenges and impacts, and potential solutions. This book is ideal for government officials, financial professionals, policymakers, academicians, business professionals, managers, IT specialists, researchers, and students.

Author : David M. Stuart
Publisher :
Page : 0 pages
File Size : 28,36 MB
Release : 2015-08-07
Category : Corporation law
ISBN : 9781402424717

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SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.

Author : Robert Beckman
Publisher : Cambridge University Press
Page : 327 pages
File Size : 28,48 MB
Release : 2016-05-19
Category : Law
ISBN : 1316546381

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The reputation and achievement of the ASEAN Community hinges on compliance. This seminal book discusses whether ASEAN's faith in dispute settlement and monitoring mechanisms as a means to better compliance is justified and delves into the extent to which they can facilitate ASEAN Community building. It provides the first comprehensive and systematic analysis of ASEAN's compliance with its instruments, and enables readers to see ASEAN as an organisation increasingly based on law and institutions. Readers will also learn how ASEAN balances a thin line between law and institutions on the one hand and diplomacy and realism on the other. Scholars of adjudicatory mechanisms will find this book a fascinating addition to the literature available, and it will serve as a 'go-to' reference for ASEAN state agencies. The book will also interest academics and practitioners working on comparative and cross-disciplinary studies of dispute settlement, monitoring mechanisms, compliance, and international and regional organisations.

Author : Sidney Blum
Publisher : OUP USA
Page : 0 pages
File Size : 43,46 MB
Release : 2010-03-18
Category : Law
ISBN : 9780195388633

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Lawyers involved in high-tech licensing deals typically pay close attention to the financial terms of a business relationship, but too often neglect critical provisions related to monitoring, reporting and auditing. These poorly crafted terms and conditions are often not discovered until a royalty audit or litigation, at which point it may be too late to undo the damage, leaving the licensor with no choice but to accept pennies on the dollar of owed royalties. Financial Elements of Contracts: Drafting, Monitoring and Compliance Audits helps lawyers avoid such pitfalls by presenting both the financial nuances of contracting and demonstrating how proper monitoring and auditing should occur once a deal is in place.

Author : Helmut Reimer
Publisher : Springer Science & Business Media
Page : 278 pages
File Size : 38,39 MB
Release : 2013-10-11
Category : Computers
ISBN : 3658033711

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This book presents the most interesting talks given at ISSE 2013 – the forum for the inter-disciplinary discussion of how to adequately secure electronic business processes. The topics include: - Cloud Security, Trust Services, eId & Access Management - Human Factors, Awareness & Privacy, Regulations and Policies - Security Management - Cyber Security, Cybercrime, Critical Infrastructures - Mobile Security & Applications Adequate information security is one of the basic requirements of all electronic business processes. It is crucial for effective solutions that the possibilities offered by security technology can be integrated with the commercial requirements of the applications. The reader may expect state-of-the-art: best papers of the Conference ISSE 2013.