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Governance, Risk, and Compliance Handbook: Technology, Finance, Environmental, and International Guidance and Best Practices


Praise for Governance, Risk, and Compliance Handbook

Technology, Finance, Environmental, and International Guidance and Best Practices

"[This] text provides valuable insights into the major changes in regulatory and risk management coming to the banking and insurance industries with deeper dives into operational risk best practices including Six Sigma and related corporate governance and banking requirements for the major national and regional economies. The sections on IT governance and GRC tools should be very helpful for IT professionals in the financial services sector."
—Gabriel David, Director Financial Services Sector, Global Technology Services, IBM Corporation

"The GRC Handbook provides an outstanding resource to assist today's managers in navigating through the ever-expanding maze of governance and risk-based regulations, technical standards, and best practice frameworks. The text surveys the wide range of issues involved in GRC, and is truly global in scope with corporate governance overviews of the leading economies, regions, industries, and technologies. The volume makes a very effective case for a proactive and holistic approach to GRC."
—Daniel Cooperman, Senior Vice President, Secretary and General Counsel, Apple Computer; former general counsel and secretary to the board of directors, Oracle Corp.

"Governance, risk management, and compliance are the key words for today's successful corporate managers. All three are necessary for navigating the shoals of the complex world of business, finance, and accounting. Comprehensively treated in this book, they all require a mastery of the flow of information. The chapter on XBRL alone, highlighting its capacity for making information serve management's many different purposes, is only one of the rewards of this groundbreaking work."
—Peter J. Wallison, Senior Fellow, American Enterprise Institute

"The growing importance of risk management has brought into focus the need to leverage Six Sigma as a best practice framework. This pioneering work provides introductions to Six Sigma, operational risk best practices, and the quantification of risk management, which is essential reading for any organization needing to meet risk-based regulatory requirements while improving operating effectiveness."
—Dr. James Harrington, Master Black Belt, and founder of the leading Six Sigma training program in the U.S.

"The chapter on Islamic finance is well researched and provides concise theoretical and practical information on the expanding concept of Islamic finance."
—Rateb Wazani, Attorney-at-Law, former judge of the Jordanian Supreme Court and former minister of justice

Anthony Tarantino, PhD, Six Sigma Black Belt, Certified Sarbanes-Oxley Professional (CSOXP), has thirty years of experience in business transformation and compliance on both the consulting and business side. He is the author of the Manager's Guide to Compliance, and his articles have been published in Accounting Today,, Cutter IT Journal, Institute of Supply Management (ISM), SOX Compliance Journal, and Oracle Applications Users Group (OAUG). He is a regular speaker for SOX, Euro-SOX, risk management, and supply chain conferences and events. Dr. Tarantino is currently a Senior Advisor with IBM's Governance, Risk, and Compliance Center of Excellence.



About the Contributors.

Chapter 1. Introduction (By Dr. Anthony Tarantino).

Part One. Corporate Governance.

Chapter 2. A Risk-Based Approach to Assess Internal Control over Financial Reporting ("ICFR") (By Tim J. Leech and Jeffrey C. Thomson).

Chapter 3. Coso ― Is "It" Fit For Purpose (By Tim J. Leech)?

Chapter 4. Time to Rethink the Corporate Tax (By Ann Cullen).

Chapter 5. The Role of Internal Audit (By Frank Edelblut and Dr. Hernan Murdock).

Chapter 6. Outsourced Processes: Risk and Resolution (By Mark Stebelton).

Chapter 7. The Last Mile of Finance (By Eric Keller).

Chapter 8. US Stock Option Backdating Scandals (By Dr. Anthony Tarantino).

Chapter 9. Fraud and Corruption (By Dr. Hrishikesh Vinod).

Chapter 10. Why Fighting Corruption Remains A Loosing Battle (By Anwar Shah)?

Part Two. It Governance.

Chapter 11. IT Governance Overview (By Alan Calder).

Chapter 12. ISO 27001 and ISO 17799 (By Alan Calder).

Chapter 13. CobiT (By Richard Marti).

Part Three. Operational Risk.

Chapter 14. Operational Risk Management (ORM) Best Practices (By Dr. Anthony Tarantino).

Chapter 15. The Use of Six Sigma in Operational Risk and Regulatory Compliance; Reduction in Variability (By Dr. Brett Trusko).

Chapter 16. Operational Risk Management Using Quantitative Methods (By Koti Ancha and Dr. Deborah Cernausksas).

Chapter 17. Operational Risk Management in Financial Services (By Dr. Anthony Tarantino).

Part Four. Technology And Tools.

Chapter 18. What to Look for in Enterprise Content Management for Compliance (By Julia Koo).

Chapter 19. Enterprise Search and Automated Testing (By Scott McElhaney and Saker Ghani).

Chapter 20. What to Look For in Audit Operations Applications (By Julia Koo)

Chapter 21. Automation of Segregation of Duties (By Lindsey Kudo).

Chapter 22. Internal Controls Best Practices (By Ian Rodgers).

Chapter 23. IT Controls Automation and Database Management: Defending Against the Insider Threat (By Harald Collet).

Chapter 24. PLM Technologies: Role and Value in Supporting Product Compliance (By Richard Kubin).

Chapter 25. How XBRL Will Dramatically Improve: Reporting and Control Processes (By Liv Watson, Robert Eccles, and Mike Willis).

Part Five. Environmental Governance.

Chapter 26. The Impact of Environmental Legislation on High Tech Supply Chains (By Thomas Garson and Krishna Gorrepati).

Chapter 27. Environmental Compliance and Enforcement in China (By Dr. Wanxin Li and Krzysztof Michalak).

Chapter 28. The Trajectory of Environmental Regulation: A Strategic Approach for Industry (By Michael Kirschner).

Chapter 29. Environmental Compliance in India (By Prof. Aparna Sawhney).

Chapter 30. Latin American Environmental Compliance: Environmental Biotechnology (By Oneglia Cavalcanti, Dr. Helen de Aguiar Lima, Luiz Lima, and Luiz Gluck Lima).

Chapter 31. Policy Developments in the United States Related to Chemicals and Electronic Waste (By Mike Wilson and Michael Kirschner).

Part Six. Industry Governance.

Chapter 32. Global Homologation: Removing Regulatory Barriers to Trade (By Daniel P. Lawless and Shirley Cui Tarantino).

Chapter 33. Protecting the Innocent: The Information Security and Privacy Battle (By Lane Leskela).

Chapter 34. Compliance in Freight Transportation and Logistics (By David Jacoby).

Chapter 35. Pharmaceutical (By James G. Robertson).

Chapter 36. Public Sector Transparency – How is it regulated in Europe (By Massimiliano Claps)?

Chapter 37. Retail (By Ivano Ortis).

Chapter 38. Supply Chain Compliance (By Michael F. Cox).

Chapter 39. Telecommunications (By Angela Fitts).

Chapter 40. Compliance in Freight Transportation and Logistics (By David Jacoby).

Part Seven. Financial Services Governance.

Chapter 41. Financial Services Regulation and Corporate Governance (By Dennis Cox).

Chapter 42. Insurance Industry and Solvency II (By Dr. Anthony Tarantino).

Chapter 43. Islamic Finance (By Sabah Mahmoud).

Part Eight. Regional And National Guidance.

Chapter 44. Corporate Governance and Risk Management in Africa (Dr. Jackie Young).

Chapter 45. European Union – Regional Guidance (By Michael Mainelli).

Chapter 46. Corporate Governance in Major Islamic Nations (By Dr. Anthony Tarantino).

Chapter 47. Global Compliance Programs in Latin America: Major Challenges and Lessons Learned (By Pedro Fabiano).

Chapter 48. Southeast Asia Corporate Governance (By Dr. Lawrence Wasserman).

Chapter 49. Australian Corporate Governance: The ASX Principles (By Dr. Anthony Tarantino).

Chapter 50. Corporate Governance: Indonesia (By Dr. Lawrence Wasserman).

Chapter 51. Compliance: Brazil (By Prof. L. Nelson Carvalho, Prof. Elionor Weffort, and Prof. Bruno Salotti).

Chapter 52. Canadian SOX (Bill 198) (By Madeleine Ferris Shaw and Sanjay Anand).

Chapter 53. Corporate Governance: China (By Dr. Anthony Tarantino).

Chapter 54. Corporate Governance: France (By Dr. Anthony Tarantino).

Chapter 55. Global Compliance: Germany (By Georg Stadtmann and Markus F. Wissmann).

Chapter 56. The Current and Future States of Corporate Governance Culture and Regulation in India (By Sanjay Anand).

Chapter 57. Corporate Governance: Compliance versus Value Addition (By Sanjay Anand, Prof. C.V. Baxi, and Prof. C.L. Bansal).

Chapter 58. Corporate Governance: An Overview On The Italian Case (By Marco Venturini and Francesca Bevilacqua).

Chapter 59. The Guide to Global Compliance: The national chapter - Japan (By Yamamoto Kouji).

Chapter 60. Compliance in Mexico: Trends, Best Practices and Challenges (By Pedro Fabiano).

Chapter 61. Corporate Governance in Russia (By Dr. Anthony Tarantino).

Chapter 62. Corporate Governance: South Korea (By Dr. Jill Solomon).

Chapter 63. Corporate Governance: Spain (By Dr. Anthony Tarantino).

Chapter 64. Corporate Governance: UK (By Dennis Cox).

Chapter 65. United Kingdom's Combined Code (By Dr. Anthony Tarantino).

Chapter 66. Corporate Governance: United States (By Dr. Anthony Tarantino).

Chapter 67. Sarbanes-Oxley Act (By Sanjay Anand).


(17) Measuring the Effectiveness and Performance of Your Governance, Operational Risk, and Compliance Programs (By Scott L. Mitchell and Carole S. Switzer).

(36) Accounting, Budgeting and Reporting - How is the Regulatory Framework Changing in Public Sector (By Massimiliano Claps)?

(46) Introduction to region China's Banking Sector (By Dr. Anthony Tarantino).

(47) The Key To Malaysian Financial Institutions Compliance and Economic Crime Requirements (By Tommy Seah).

(48) Corporate Governance and Risk Management in the South African Banking Industry

(By Dr. Jackie Young).

(49) Men Behaving Badly in Banking: Revealing the Irrelevance of Best Practices in Corporate Governance (By Dr. Shann Turnbull).