A Strategic Guide to Corporate Governance and Compliance SECOND EDITION

book

A Strategic Guide to Corporate Governance and Compliance SECOND EDITION

£165.00

Paperback£165.00

Digital PDF£125.00

^{A Strategic Guide to Corporate Governance and Compliance}

^{168 pages of articles written by leading compliance officers and in-house counsel about}

^{Corporate Governance and Compliance issues}

^{A unique one stop source of information on how leading in-house counsel are dealing with Corporate Governance issues facing the global counsel community}

By reading this authoritative guide you will:

Find out about:

The new The Siemens Compliance System
Regulatory Compliance in a Multi-National Organization
Fighting Corruption
Implementing Compliance Programs in a Consensus Culture
Synchronizing Anti Mafia Activities in Japan, the U.S., and the World
Corporate Governance in the Financial Services Industry
Use of Six Sigma for Continuous Improvement of Compliance Programs
UK Bribery Act
Compliance Risk Assessment at Siemens
Corporate Manslaughter
Compliance programmes in the Insurance Sector

Learn how to:

To create your own compliance programme
How to keep your company "clean"
Be compliant, locally and internationally
Use technology in corporate governance programmes
Effectively manage corporate governance
Apply the knowledge of experienced in-house counsel
Understand methods used to ensure your company is compliant
Identify weaknesses in your company corporate governance structure
Mitigate the risk of not being compliant
Educate senior management
Develop systems to monitor activity throughout the company to ensure that it is compliant across the world

CONTENTS

International In-house Counsel Journal

A Strategic Guide to Corporate Governance & Compliance

The Siemens Compliance System:

"Prevent - Detect - Respond and Continuous Improvement"

Klaus Moosmayer, Chief Counsel Compliance &

Josef Winter, Chief Compliance Officer (CCO), Siemens, Germany

Regulatory Compliance in a Multi-National Organization

Jack Sorokin, Deputy General Counsel (Retired)

Beckman Coulter, Inc, USA

Communicating to Fight Corruption

Kristin Berglund, Senior Legal Counsel

A.P. Moller-Maersk A/S, Denmark

The Next Governance Reform:

How we create policy for uncertainty by enabling, learning and analysing

Hanne, Melin, Policy Strategy Counsel EMEA

eBay Inc

Implementing Compliance Programs in a Consensus Culture

David Birk, SVP General Counsel

Blackbelt Compliance, USA

Comparative Analysis between the U.S. Executive Order and the Tokyo Prefectural Ordinance against Yakuza –

Synchronization of Anti Mafia Activities in Japan, the U.S., and the World

David N'Guyen, In-house Lawyer, Orange Group, Japan

Daisuke Takahashi, Attorney at Law, Shinwa General Law Offices, Japan

Yasushi Kudo, Attorney at Law, Nagashima, Ohno & Tsunematsu, Japan

Corporate Governance in the Financial Services Industry:

Is there still a Role for Self-Regulation?

Armin Kammel, Head of Legal & International Affairs

Austrian Association of Investment Fund Management Companies, Austria

Compliance:

A Restated Definition

Guido De Clercq, Deputy Secretary General

GDF Suez, France

UK Bribery Act 2010:

Has a Revolution in Corporate Governance Begun?

Matteo Grassani, Legal Counsel

BG Italia Power, Italy

King III:

Under The Governance Tree

Alyson D’Oyley, Company Secretary

African Rainbow Minerals Limited, South Africa

Use of Six Sigma for Continuous Improvement of Compliance Programs

Wes Blumenshine, General Counsel and Secretary of Caterpillar Financial Services Corporation and Deputy General Counsel, Caterpillar Inc. &

Patricia Eastwood, Senior Corporate Counsel

Caterpillar USA, USA

The Corporate Manslaughter Act:

Goals and Expectations?

Simon Daniels, Senior Lecturer in Maritime Law

Warsash Maritime Centre, UK

Compliance Risk Assessment at Siemens

Jan Hansen, Head of Compliance Remediation & Risk Prevention

Siemens, Germany

Due Diligence:

Knowing Who's Under Your Roof

Jonathan Nilsen, Counsel

Spire Corporation, USA

Compliance in the Insurance Sector

Paolo Amato, Legal Counsel

Skandia Vita, Italy

Paperback delivered worldwide free of charge via Royal Mail delivery Royal Mail - Europe 1-2 weeks, Americas and ROW 2-4 weeks

DHL at extra charge 1-6 days Worldwide

Contents

Page 1

The Siemens Compliance System: 'Prevent - Detect - Respond and Continuous Improvement'

The current Siemens Compliance System was developed in 2007 and 2008, initially in response to criminal investigations undertaken by the Office of the Public Prosecutor in Munich, the US Securities...Read more

Klaus Moosmayer

Chief Compliance Officer, Siemens, Germany

Josef Winter

Chief Compliance Officer (CCO), Siemens, Germany

Page 13

Regulatory Compliance in a Multi-National Organization

The regulatory environment has changed substantially over the past sixty years. More countries are adopting what at times are conflicting regulatory programs. In addition, communication among regulators has increased. Companies...Read more

Jack Sorokin

Adjunct Instructor, Fremont College, USA

Page 23

Communicating to Fight Corruption

Maersk Line’s Senior Legal Counsel Kristin Berglund explains the most important features of a successful anti-corruption programme. Amongst them is open disclosure of bribes by employees. That vital information informs...Read more

Kristin Berglund

Senior Legal Counsel, Maersk Line, Denmark

Page 29

The Next Governance Reform: How we create policy for uncertainty by enabling, learning and analysing

In a recent interview, the Swedish Prime Minister described what he saw as the modern approach to governance: legislative reforms rarely turn out exactly as planned, and so the legislator...Read more

Hanne Melin Olbe

Director Global Public Policy, eBay Inc., Australia

Page 41

Implementing Compliance Programs in a Consensus Culture

Growth of “Mandatory” Compliance Requirements Since the publication of the US Federal Sentencing Guidelines in 1991, there has been a growing belief that compliance programs for public companies are “mandatory.” ...Read more

David Birk

Managing Director, Black Belt Compliance, LLC, USA

Page 51

Comparative Analysis between the U.S. Executive Order and the Tokyo Prefectural Ordinance against Yakuza - Synchronization of Anti Mafia Activities in Japan, the U.S., and the World

In July of 2011, the U.S. Executive Order 13581, “Blocking Property of Transnational Criminal Organizations”, listed Japanese Yakuza as one of the significant transnational criminal organizations to whom one must...Read more

David Nguyen

In-House Counsel, Equant SA, France

Daisuke Takahashi

Attorney at Law, Shinwa General Law Offices, Japan

Page 61

Corporate Governance in the Financial Services Industry - Is there still a Role for Self-Regulation?

The financial crisis had a significant impact on the financial services industry from both an economic as well as a regulatory point of view. While the market conditions deteriorated and...Read more

Armin Kammel

Senior Manager, Financial Services Advisory, KPMG Austria GmbH, Austria

Page 72

Compliance: A Restated Definition

It is commonly accepted to state that ethics refers to shared values. It is in essence a values – based approach. . It appeals to one’s sense of ethics,...Read more

Guido De Clerq

Deputy Secretary General, GDF Suez, France

Page 86

UK Bribery Act 2010: Has a Revolution in Corporate Governance Begun?

On 1st July 2011, the UK Bribery Act 2010 (“Bribery Act) has entered into force , thus paving the way for a new stage in the battle to bribery and...Read more

Matteo Grassani

Legal Director of KPO BV, Shell, Trinidad And Tobago

Page 98

King III: Under The Governance Tree

King III[1] came into effect on 1 March 2010 superseding King II.[2] The drafters of King III were convened by the Institute of Directors of Southern Africa to...Read more

Alyson D’Oyley

Company Secretary, African Rainbow Minerals Limited, South Africa

Page 118

Use of Six Sigma for Continuous Improvement of Compliance Programs

Having a compliance program deemed “effective” has many potential benefits for a multinational company. Under some country laws, such a designation stands as an affirmative defense in an enforcement action....Read more

Wes Blumenshine

Group General Counsel and Chief Ethics and Compliance Officer, Caterpillar Inc., USA

Patricia Eastwood

Senior Corporate Counsel, Caterpillar Financial Services Corporation, USA

Page 128

The Corporate Manslaughter Act: Goals and Expectations?

In this paper Dr Simon Daniels provides a critical assessment of the Corporate Manslaughter Act 2007 and why it is struggling to improve on the common law crime of manslaughter....Read more

Simon Daniels

Senior Lecturer in Maritime Law, Southampton Solent University, UK

Page 140

Compliance Risk Assessment at Siemens

What has dental care to do with risk management? Everybody knows that preventive measures like brushing your teeth twice a day, using dental floss daily and going to a dentist...Read more

Jan Hansen

Head of Compliance Strategy & Risk, Siemens AG, Germany

Page 150

Due Diligence: Knowing Who's Under Your Roof

Invariably in international commercial contracts, there comes a time when all of the boilerplate clauses, the indemnification agreements, and liquidated damages provisions don’t anticipate every bump in the road. At...Read more

Jonathan Nilsen

Senior Corporate Counsel, Spire Corporation, USA

Page 158

Compliance in the Insurance Sector

Compliance, as an autonomous concept and with its own implementation rules, is relatively new in the Italian legal framework. The objectives that are assigned to a compliance department nowadays were, in...Read more

Paolo Amato

General Counsel, Old Mutual Wealth Italy SpA, Italy