Compliance Deskbook

The ABA Compliance Officer Desk Book is a user-friendly, practical, and real-world focused desk book written for today's compliance professional. Whether working in a big or small, private or public, established or rapidly growing organization, the Book's aim is to empower compliance professionals to better understand the regulatory and enforcement landscapes in which they operate. The Book issue spots compliance pitfalls and challenges across industries, subject matters, and corporate infrastructures and recommends practical solutions today's most high-profile, hot-button compliance topics. In doing so, the Book covers the waterfront of topics such as: - The Role of the Compliance Professional in today's Organization; - Labor Exploitation and CSR;- The Foreign Corrupt Practices Act ("FCPA") and U.S. Travel Act;- Dodd-Frank and Sarbanes-Oxley Financial Regulation;- Health Care;- Pharmaceutical, Medical, and Food Products;- Product Safety;- Environmental Regulation;- Government Contracts;- Nonprofit Entities; and- Privacy and Data Security;- Preserving Legal Privilege;- Addressing Law Enforcement Activities;- Immunity Issues in Corporate Compliance;- Crimes of False Certification;- International Transactions Compliance: OFAC Sanctions;- The Corporate Whistleblower;- Corporate Voluntary Disclosures;- Department of Justice Pilot Program for Cooperation;- Deferred Prosecution Agreements, Non-Prosecution Agreements, and Corporate Integrity Agreements; and - Structuring Compliance Programs to Meet and Exceed Statutory Obligations. . Whether a new or seasoned compliance professional, in-house lawyer, outside counsel, regulator, or member of management, The ABA Compliance Officer Desk Book covers key compliance concepts in a manner that is both thorough and easily-digestible.

Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues provides that necessary information. Stocked with easy-to-follow checklists, the Deskbook shows you how to carry out internal investigations that spot and stop legal problems, protect the rights of employees when they're subject to investigation or prosecution, and cooperate with government investigators in ways that help reduce legal and financial damage if wrongdoing is proved.

Expanded and completely reorganized to meet the needs of today's increasingly prescriptive environment, Public Company Deskbook: Complying with Federal Governance and Disclosure Requirements is your one-stop center for expert counsel on how to deal effectively with the overlapping legislative, regulatory and private initiatives to reform public company governance and disclosure practices over the past decade. The enhanced Deskbook provides in-depth practical guidance centered around each of the following areas: Board Structure & Governance; Shareholder Meetings; Audit Committee, Auditor Policy & Auditor Disclosure; Compensation Committee, Compensation Policy & Compensation Disclosure; Public Company Reporting & Compliance; and Corporate Investigations & Whistleblowing. Included are numerous sample forms, checklists and documents, such as sample committee charters, director and officer questionnaires and annual meeting timelines for both NYSE- and Nasdaq-listed companies. Also addressed are current shareholder relations, including the prevalence, SEC-profile and outcome of common shareholder proposals, an analysis of proxy-advisor withhold recommendations and a comprehensive activist update. Written by three partners with Sullivan & Cromwell LLP, Public Company Deskbook: Complying with Federal Governance & Disclosure Requirements, Third Edition is an indispensable resource for securities practitioners, compliance officers, directors, officers, accountants, auditors, and research analysts, and an important reference for securities regulators.

The Circular 230 Deskbook from PLI helps tax practitioners comply with complex Circular 230 amendments more easily-- and avoid costly penalties and sanctions.

The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.

Corporate Political Activities Deskbook provides a thorough grounding in the current state of the law on federal and state campaign finance, pay-to-play, lobbying, and gift compliance. It serves as a practical manual for in-house attorneys who advise corporations about involvement in the political process.After describing the impact of the U.S. Supreme Court decisions in Citizens United--that began the expansion of permitted corporate speech in the political realm--and McCutcheon v. FEC--that expanded the exemption further, the book examines thoroughly the Federal Election Campaign Act (FECA) requirements, federal lobbying and gift rules, the Foreign Agents Registration Act, and practice and appearances before the FEC. The Deskbook includes an overview of state lobbying, gift, placement agent rules and pay-to-play rules as well as the federal pay-to-play rules (MSRB Rule G-37, SEC Rule 206(4)-5 and FINRA's proposed pay-to-play rule).Appendices include model documents, such as sample PAC bylaws, a PAC contribution card, a resolution for establishing a PAC, as well as a summary chart of the corporate, PAC and individual contribution limits in each of the 50 states.Corporate Political Activities Deskbook provides practical examples of best practices and "dos and don'ts." In many cases, the suggestions go beyond the black letter requirements to incorporate advice that can help corporations utilize the available avenues of interacting with the government while avoiding negative press, and public as well as legal regulatory attention.

In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations