Legal Risk Management, Governance and Compliance

A Guide to Best Practice from Leading Experts

Stuart Weinstein (Redaktør) ; Charles Wild (Redaktør)

In today's globalised business environment, companies face a complex assortment of new and often contradictory laws and regulations. High-profile corporate scandals involving compliance failures teach us that loss of reputation can have a significant, if not fatal, effect on a company. Les mer
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In today's globalised business environment, companies face a complex assortment of new and often contradictory laws and regulations. High-profile corporate scandals involving compliance failures teach us that loss of reputation can have a significant, if not fatal, effect on a company. International companies recognise this and invest heavily in systems designed to detect and prevent compliance breaches. However, such systems and controls cannot succeed without the development of a strong compliance culture that secures buy-in from executives, managers, employees, contractors and business partners all at levels.

This title offers cutting edge know-how and guidance for the development and management of a sophisticated legal risk management and compliance operation. While identifying risks and regulatory challenges, chapters also explore how professionals can manage processes; implement change; track issues and loss events; screen potential clients, partners, employees and contractors; and implement appropriate remediation. The book features chapters on board structures, corporate governance, fraud and bribery, Sarbanes-Oxley requirements, European capital markets regulation, arbitration and mediation, data protection, offshoring and the cloud, human resources issues for managers, and managing legal risk in China.

Legal Risk Management, Governance and Compliance is a must-have desk reference for in-house corporate counsel and compliance officers, individuals involved in the compliance, audit, legal and risk functions within companies and non-profit organisations, as well as the law firms that service these organisations' needs.

Fakta

Innholdsfortegnelse

Foreword 7
Lord David Gold

Preface 9
Stuart Weinstein
Charles Wild
University of Hertfordshire

Part I: Legal risk management

Developing the right formula for successful legal risk management, governance and compliance 11
Stuart Weinstein
Charles Wild
University of Hertfordshire

The transformation of general counsel: setting the strategic legal agenda 45
Constance E Bagley
Yale University
Mark Roellig
Massachusetts Mutual Life Insurance Company

Using alternative dispute resolution as a tool for containing legal risk 67
Wolf Juergen von Kumberg
Northrop Grumman
Stuart Weinstein
Charles Wild
University of Hertfordshire

Legal risk management and governance in the financial world 111
Boris Georg Hallik
DekaBank

Part II: Governance

An international overview of board structures 125
Jan M Eickelberg
Peter Ries
Berlin School of Economics and Law

Sarbanes-Oxley requirements and the implementation of US corporate governance controls - an overview for non-US corporates 145
Zabihollah Rezaee
University of Memphis

Risk management and the board of directors: lessons to be learned from UBS 165
Roger Barker
Institute of Directors
Stuart Weinstein
Charles Wild
University of Hertfordshire

Understanding the role of the independent director in family-controlled listed enterprises 187
Richard L Narva


Corporate social responsibility 201
Richard Smerdon
CHH Corporate Governance Handbook

'Tone at the top' and corporate governance 129
Peter Giblin
Cass Business School

Part III: Compliance

Bribery and corruption

The Foreign Corrupt Practices Act: compliance to protect business clients globally 229
Aaron Schildhaus
Law Offices of Aaron Schildhaus

The rising tide of a new international phenomenon: carbon-copy prosecutions 247
Andrew S Boutros
United States Attorney's Office for the Northern District of Illinois
T Markus Funk
Perkins Coie LLP

The Bribery Act 2010 273
Paul Feldberg
Willkie Farr & Gallagher LLP
Ian Leist QC
Fulcrum Chambers LLP

Health, safety and environment

Issues relating to health, safety and environment practice 295
Jon Cooper
Bond Pearce LLP

Human resources

Human resources issues for managers 315
Marjorie Hurwitz Bremner
Berg Kaprow Lewis LLP
Thushara Polpitiye
Astute HR Ltd

Information systems

Data privacy: data transfers, offshoring and the cloud 351
Hazel Grant
Mark Watts
Bristows

Corporate information risk management 377
Rita Esen
University of Northumbria

International risks

Managing legal risks in China 393
Fang Ma
University of Hertfordshire

Process management controls

Third parties, agents and supply chain due diligence 409
David Curran
Risk Readiness Corporation
Wolf Juergen von Kumberg
Northrop Grumman
Peter Mancusi
Weber Shandwick

Implementing compliance management systems: an organisational learning process 419
Lutz-Ulrich Haack
German Graduate School of Management and Law, Heilbronn
Robert Nothhelfer
Former head of GRC Lidl International University of Freiburg, Asperg

Regulated industries - the financial sector

European debt capital markets regulation in the context of retail market risks 431
Ferdinando Bruno
University of Lugano, Switzerland

Fraud within the banking sector 453
Nikolay Dobrev
University of Liverpool

About the authors 469