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Author: David M. Stuart Publisher: ISBN: 9781402424717 Category : Corporation law Languages : en Pages : 0
Book Description
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: David M. Stuart Publisher: ISBN: 9781402424717 Category : Corporation law Languages : en Pages : 0
Book Description
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: Benjamin van Rooij Publisher: Cambridge University Press ISBN: 1108754139 Category : Law Languages : en Pages : 1559
Book Description
Compliance has become key to our contemporary markets, societies, and modes of governance across a variety of public and private domains. While this has stimulated a rich body of empirical and practical expertise on compliance, thus far, there has been no comprehensive understanding of what compliance is or how it influences various fields and sectors. The academic knowledge of compliance has remained siloed along different disciplinary domains, regulatory and legal spheres, and mechanisms and interventions. This handbook bridges these divides to provide the first one-stop overview of what compliance is, how we can best study it, and the core mechanisms that shape it. Written by leading experts, chapters offer perspectives from across law, regulatory studies, management science, criminology, economics, sociology, and psychology. This volume is the definitive and comprehensive account of compliance.
Author: Richard Schulz Publisher: CRC Press ISBN: 9780789026101 Category : Medical Languages : en Pages : 254
Book Description
Improve your patient’s health through a fresh view of their behaviors Patients who use over-the-counter (OTC) and prescription medicine often do not take the drugs as intended, sometimes to the detriment to their health and well-being. These widespread problems cause health professionals to agonize over how to try to make sure patients comply with medication instructions. Patient Compliance with Medication: Issues and Opportunities tackles this tough issue by exploring in detail the range of noncompliance behavior, the negative impacts the behavior has on patients as well as society at large, and practical ways to influence people to take their medicine for optimum health. Respected pharmacist and author Jack Fincham and other noted experts provide insights, surprising data, and effective solutions to a challenge nearly all health professionals encounter. Patients often use drugs they get from a multitude of sources, making the capability of monitoring drug use difficult. Other problems can also interfere with a patient’s health, such as a patient borrowing drugs from family or friends—or even not taking them at all simply because he or she are unable to pay for them. Patient Compliance with Medication: Issues and Opportunities goes beyond the standard pat explanations and mostly ineffective quick solutions usually offered for the complicated noncompliance issue. Leading authorities describe the range of reasons for a patient’s behavior and provide practical strategies that strike at the root of the problem. Helpful tables, figures, and extensive references are also included. Topics in Patient Compliance with Medication: Issues and Opportunities include: the prevalence of noncompliance costs of noncompliance drug therapies that lead to noncompliance measuring compliance models to evaluate patient compliance evaluation methods ethical considerations health professionals’ roles in compliance disease state management future considerations much more Patient Compliance with Medication: Issues and Opportunities is insightful, crucial information for health professionals, educators, and students.
Author: LORI L. DESAUTELS Publisher: ISBN: 9781948018890 Category : Languages : en Pages : 312
Book Description
The developing brains of our children need to "feel" safe. Children who carry chronic behavioral challenges are often met with reactive and punitive practices that can potentially reactivate the developing stress response systems. This book deeply addresses the need for co-regulatory and relational touch point practices, shifting student-focused behavior management protocols to adult regulated brain and body states which are brain aligned, preventive, and relational discipline protocols. This new lens for discipline benefits all students by reaching for sustainable behavioral changes through brain state awareness rather than compliance and obedience.
Author: Catherine Kramarczuk Voulgarides Publisher: Teachers College Press ISBN: 0807759015 Category : Education Languages : en Pages : 177
Book Description
This book asks a question that many educators may think, but won’t say out loud: Does compliance with IDEA legislation matter? The author acknowledges that, while compliance with IDEA (Individuals with Disabilities Education Act) is important, it can also be an administrative burden that detracts from practitioners’ capacity to adequately serve students with disabilities. Using data collected from three suburban school districts, Voulgarides helps us to understand how compliance with IDEA intersects with decades of evidence of racial inequities in student outcomes. This timely and thought-provoking book unpacks the civil rights history of IDEA, examines the impact of its procedural focus on educational practice, and questions why racial inequities in special education persist despite good intentions by policymakers, educators, and school personnel. Book Features: Uses empirical evidence to examine the common assumption that compliance with IDEA leads to educational equity. Focuses on the different dimensions of the equity concern that lie at the intersection between race, disability, and educational policy. Challenges practitioners to think about the roles they play in both the production and the disruption of educational inequities.
Author: Stewart Room Publisher: BCS, The Chartered Institute ISBN: 9781902505787 Category : Business & Economics Languages : en Pages : 274
Book Description
Large-scale data loss continues to make headline news, highlighting the need for stringent data protection policies, especially when personal or commercially sensitive information is at stake. This book provides detailed analysis of current data protection laws and discusses compliance issues, enabling the reader to construct a platform on which to build internal compliance strategies. The author is chair of the National Association of Data Protection Officers (NADPO).
Author: Richard M. Steinberg Publisher: John Wiley & Sons ISBN: 1118024303 Category : Business & Economics Languages : en Pages : 339
Book Description
An expert's insider secrets to how successful CEOs and directors shape, lead, and oversee their organizations to achieve corporate goals Governance, Risk Management, and Compliance shows senior executives and board members how to ensure that their companies incorporate the necessary processes, organization, and technology to accomplish strategic goals. Examining how and why some major companies failed while others continue to grow and prosper, author and internationally recognized expert Richard Steinberg reveals how to cultivate a culture, leadership process and infrastructure toward achieving business objectives and related growth, profit, and return goals. Explains critical factors that make compliance and ethics programs and risk management processes really work Explores the board's role in overseeing corporate strategy, risk management, CEO compensation, succession planning, crisis planning, performance measures, board composition, and shareholder communications Highlights for CEOs, senior management teams, and board members the pitfalls to avoid and what must go right for success Outlines the future of corporate governance and what's needed for continued effectiveness Written by well-known corporate governance and risk management expert Richard Steinberg Governance, Risk Management, and Compliance lays a sound foundation and provides critical insights for understanding the role of governance, risk management, and compliance and its successful implementation in today's business environment.
Author: Martin T. Biegelman Publisher: John Wiley & Sons ISBN: 0470278404 Category : Business & Economics Languages : en Pages : 320
Book Description
Written by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. 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.
Author: David M. Stuart
Author: David M. Stuart
Author: Benjamin van Rooij
Author: 
Author: Richard Schulz
Author: LORI L. DESAUTELS
Author: Howard L. Dorfman
Author: Catherine Kramarczuk Voulgarides
Author: Stewart Room
Author: Richard M. Steinberg
Author: Martin T. Biegelman