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Policymakers and program managers are continually seeking ways to improve accountability in achieving an entity's mission. A key factor in improving accountability in achieving an entity's mission is to implement an effective internal control system. An effective internal control system helps an entity adapt to shifting environments, evolving demands, changing risks, and new priorities. As programs change and entities strive to improve operational processes and implement new technology, management continually evaluates its internal control system so that it is effective and updated when necessary. Section 3512 (c) and (d) of Title 31 of the United States Code (commonly known as the Federal Managers' Financial Integrity Act (FMFIA)) requires the Comptroller General to issue standards for internal control in the federal government.
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.
Use the information presented in this book to implement an end-to-end compliance program in your organization using Office 365 tools. You will learn the features available in Office 365 and best practices and common pitfalls. IT professionals will benefit from the author’s approach of introducing each topic within a practical business context and scenarios behind the “whys” of compliance. Compliance managers will understand how to implement their requirements in Office 365. Compliance and risk management is often a board- or CEO-level issue. The risks of hefty fines and bad PR from non-compliance are severe. IT is usually responsible for implementing compliance controls and for working with compliance and legal officers to manage the day-to-day risk in an organization. After reading Office 365 Compliance, you will be prepared to have a well-informed conversation with your compliance and legal officers to determine how to work together to identify specific compliance requirements for your organization and the tools you will need. You will be able to implement those requirements yourself using Office 365 features. Author Erica Toelle helps you build a solid compliance foundation by teaching you about topics including retention, data residency, defensible content disposal, auditing, compliance with standard regulations, managing insider risks, monitoring and reporting, complying with data subjects and freedom of information requests, and eDiscovery. What You Will Learn Understand typical business scenarios and requirements for an Office 365 compliance program Fulfill these compliance scenarios and requirements using Office 365 features and functionality Ensure that your Office 365 content meets standard compliance regulations, such as HIPAA and GDPR Be aware of best practices and things to know when implementing an Office 365 compliance program Explore specific Office 365 features, including retention labels and retention policies, permissions management, and machine learning for Office 365 compliance Manage risks from insiders, including communications monitoring and automatic surfacing of risky behavior Who This Book Is For IT professionals, records managers, compliance officers, risk managers, internal audit, CIOs, and anyone who would like to learn more about Office 365 Compliance