The New Era of Regulatory Enforcement: A Comprehensive Guide for Raising the Bar to Manage Risk

by Richard H. Girgenti, Timothy P. Hedley

Overview

"Essential guidance for understanding and navigating the current enforcement environment. The New Era of Regulatory Enforcement should be required reading for all corporate executives and others responsible for meeting the challenges in this new era."

--Lanny A. Breuer, Vice Chair, Covington & Burling LLP, and former Assistant Attorney General for the Criminal Division at the U.S. Department of Justice

"A brilliant tour de force! Hedley and Girgenti offer readers insight into the dramatic changes in regulatory enforcement as well as the tools they need to manage this brave new world. It is an invaluable resource for executives, advisors, and scholars. The framework offered is compelling and actionable."

--Batia Mishan Wiesenfeld, Ph.D., Andre J. L. Koo Professor of Management and Chair of the Department of Management and Organizations, Leonard N. Stern School of Business, New York University

"Corporate managers face a daunting task complying with the tectonic changes in the regulatory landscape over the past few years. This book provides a detailed road map for how to operate within the letter and spirit of the law."

Product Details

ISBN-13:	9781259584602
Publisher:	McGraw Hill LLC
Publication date:	05/20/2016
Sold by:	Barnes & Noble
Format:	eBook
Pages:	336
File size:	3 MB

About the Author

Richard H. Girgenti, J.D., has more than 40 years of experience investigating fraud and misconduct and helping clients manage their risk of these occurrences. Rich leads KPMG LLP’s Forensic Services. He is a former KPMG board member, a veteran state prosecutor, and a previous Commissioner and Director of Criminal Justice for New York State.

Timothy P. Hedley, Ph.D., has extensive experience in helping companies prevent, detect and respond to allegations of fraud and misconduct. He leads KPMG LLP’s Fraud Risk Management Services. Tim is a frequent speaker on fraud risk topics and is a member of the NY State Society of CPAs and the AICPA.

Table of Contents

About the Editors/Authors v
Contributors vii
Authors’ Acknowledgments ix

Introduction xi
Richard H. Girgenti
Chapter 1: The New Era of Regulatory Enforcement 1
Richard H. Girgenti
Chapter 2: Raising the Bar: A Framework for Managing Risk 27
Timothy P. Hedley
Richard H. Girgenti
Chapter 3: Bribery and Corruption 67
Pamela J. Parizek
Chapter 4: Money Laundering 101
Teresa A. Pesce
John F. Caruso
Chapter 5: Economic and Trade Sanctions 117
Charles M. Steele
Chapter 6: Market Manipulation and Insider Trading 135
Richard J. Bergin
Nathan B. Ploener
Timothy P. Hedley
Chapter 7: Financial Reporting Fraud 159
Howard A. Scheck
Timothy P. Hedley
Chapter 8: Unfair, Deceptive, and Abusive Consumer Finance Practices 183
Amy S. Matsuo
Chapter 9: Offshore Tax Evasion 207
Laurence Birnbaum-Sarcy
Chapter 10: Fraud and Misconduct in Healthcare 225
Glen E. Moyers
Chapter 11: Fraud and Misconduct in Life Sciences 237
Mark C. Scallon
Regina G. Cavaliere
Richard L. Zimmerer

Endnotes 255
Index 297