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In-Depth Reports

The Compliance Week bookstore offers in-depth reports on topics relevant to compliance, audit, and risk executives in the corporate compliance community. Reports are available as digital and hard copy, please see individual title listings for available formats.

(Scroll down to see the complete library)

 

2016 – The Year in Corporate FCPA Enforcement   2016 – The Year in Corporate FCPA Enforcement Tom Fox
 

Late Filings: 2000-2015, Descriptive Statistics and Analysis

Audit Analytics & Compliance Week's Data Research Division
 

2015 Financial Restatements, A Fifteen Year Comparison

Audit Analytics & Compliance Week's Data Research Division
 

A Guide to Effective Internal Investigations

Tom Fox
  Internal Controls in an FCPA Compliance Program Tom Fox
 

Adopting Effective Data Privacy Controls

Compliance Week
 

Audit Analytics' Annual Audit Fees, and Non-Audit Fees Report

Audit Analytics & Compliance Week's Data Research Division
 

CCO 2.0 | Internal Marketer and Soft Skills Required

Tom Fox
 

Segregation of Duties & Sensitive Access: Leveraging System-Enforced Controls

Larry Carter
 

Doing Compliance: Design, Create, and Implement an Effective Anti-Corruption Compliance Program

Tom Fox

 

Late Filings: 2000-2015, Descriptive Statistics and Analysis

By Audit Analytics                                   

May 2016

20 pps

NEW TO THE LIBRARY: Audit Analytics recently published a new report titled “Late Filings: 2000-2015, Descriptive Statistics and Analysis”. This report looks at trends in Non-Timely notifications for Form 10-Ks over the 16-year sample period for Large Accelerated Filers, Accelerated Filers, and Non-Accelerated Filers.

Pricing:

  • Hard copy: $145

                      

  


 

2015 Financial Restatements, A Fifteen Year Comparison

By Audit Analytics                                   

April 2016

20 pps

NEW TO THE LIBRARY: The annual Audit Analytics report on financial restatement trends is now available. This report, which includes data from the full year 2015, provides a detailed analysis and comparison of trends in financial restatements over a fifteen-year period.

Pricing:

  • Hard copy: $145

                      

  


 

A Guide to Effective Internal Investigations

By Tom Fox                                   

October 2015

29 pps

The call, e-mail, or tip comes into your office: An employee is reporting suspicious activity somewhere across the globe. A company should have a detailed written procedure for handling any complaint or allegation of bribery or corruption, regardless of how that allegation is communicated. The mechanism could include the internal company hotline, anonymous tips, or a report directly from the business unit involved. This in-depth report is designed to provide compliance officers, audit executives, and other practitioners with all the steps needed to move forward.

Pricing:

  • Hard copy: $69.99

                      

  


 

Internal Controls in an FCPA Compliance Program

By Tom Fox                              

October 2015

45 pps

Internal controls have long been an overlooked requirement under the U.S. Foreign Corrupt Practices Act (FCPA). The volume of regulations and lack of clarity has created a barrier between compliance officers and the enterprise. Published by Compliance Week, this report offers a guide to navigating the complexities of internal controls and deconstructs the hotly debated topic by taking a closer look at the law itself and how it fits as a “critical component” of a best practices anti-corruption program.

Pricing:


 

Adopting Effective Data Privacy Controls

By Compliance Week 

September 2015

26 pps

Cyber-security is taking a new twist this year, as companies begin to assess risks posed by sales and marketing activities that rely on digital channels and social media. For the compliance officer, there are many challenges associated with data management. This in-depth report takes a closer look at how compliance officers and audit executives are dealing with this new breed of data that can easily spiral out of control and lead to regulatory trouble.

Pricing:

  • Hard copy: $69.99

                     

 

Audit Analytics' Annual Audit Fees, and Non-Audit Fees Report

Produced by Audit Analytics & Compliance Week’s Data Research Division 

August 2015

31 pps

Audit Analytics' annual report analyzing audit and non-audit fees paid by accelerated filers since 2002. This year’s analysis also looks at audit fees surrounding a financial restatement. A review of non-audit fees as compared to audit fees is of interest for many reasons, one of which being that the SEC considers high non-audit fees to be an auditor independence concern. For in-depth research and more information on audit fee and non-audit fee trends over the last thirteen years, purchase your copy of the full report today.

Pricing:

  • Hard copy: $169

                        

    (Interested in custom reports? Visit the Data Research Division for details)

 


 

CCO 2.0 | Internal Marketer and Soft Skills Required

By Tom Fox

June 2015

33 pps; 5.75 x 8.25 in.

CCO 2.0 provides the compliance practitioner with some of the most current ideas on the types of skills that a compliance officer might need and how to market the compliance function within the corporate environment.

Pricing:

      


 

Segregation of Duties & Sensitive Access: Leveraging System-Enforced Controls

By Larry Cartsegregation of dutieser

May 2015

73 pps; 5.75 x 8.25 in.

This report begins with a review of segregation of duties and sensitive access controls, and reasons why both subjects are often misunderstood by the audit and compliance community. It then offers an 11-step method for assessing business processes to find gaps where SoD and SA controls are necessary, establishing those controls, testing them for effectiveness, and documenting the process for outside review. The book includes (as appendices) several Excel spreadsheets giving examples of SoD and SA rules, and of capability listings to help assess control risks in key business processes.

Pricing:

 


 

Doing Compliance: Design, Create, and Implement an Effective Anti-Corruption Compliance Program

By Tom Fox

October 2014

157 pps; 5.75 x 8.25 in.

Compliance Week columnist Tom Fox shares his considerable anti-corruption expertise in this book that walks the reader through the requirements to build, and execute, a modern compliance program. With a focus on anti-bribery and anti-corruption issues, the book first reviews the basic building blocks a compliance officer needs (code of conduct, policies and procedures, internal controls), moves on to address the proper role and autonomy of a chief compliance officer, delves into the most important CCO duties (risk assessment, training, investigations), and always offers practical examples and advice for how a compliance program should work.

Pricing: