Der professionelle Aufsichtsrat: Prüfen Sie Ihr Wissen! Das betriebswirtschaftliche Know-how für Ihre Überwachungskompetenz (German Edition)

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Die Anforderungen an den Aufsichtsrat sind vielfältig und anspruchsvoll und lassen sich doch in einer Formel zusammenfassen: „Sie/er muss überwachen können.”

Die Vereinigung der Aufsichtsräte in Deutschland e.V. (VARD) hat die Anforderungen an den professionellen Aufsichtsrat in verbindliche Berufsgrundsätze. Dehnen und seine Mitautoren nehmen diese als Ausgangspunkt für die Reise durch die überwachungsrelevanten Themen Strategie, Finanzierung, Rechnungswesen, Bilanz, Risikomanagement und Compliance. Das Buch bietet die relevanten Einblicke in die betriebswirtschaftliche Perspektive der Aufsichtsratstätigkeit und leitet zum vertiefenden Selbststudium an.

Jedes Kapitel wird mit zehn Fragen eingeleitet, die jeder professionelle Aufsichtsrat beantworten können muss. So kann der Leser direkt prüfen, ob er über die notwendigen Fachkenntnisse verfügt oder wo es noch Lücken gibt.

Kompetent und praxisnah wird anschließend jedes Thema anschaulich erklärt und der Weg für eine Vertiefung spezieller Fragen aufgezeigt. Abgerundet wird das Buch mit dem aktuellen Deutschen Corporate Governance Kodex und den Berufsgrundsätzen für den Deutschen Aufsichtsrat der Vereinigung der Aufsichtsräte in Deutschland e.V. (VARD).

The Compliance Revolution: How Compliance Needs to Change to Survive (Wiley Finance)

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The Compliance Revolution Practical, Powerful Changes for Strategic Organizational Value Compliance is absolutely critical in creating a robust and resilient organization, one which is trusted by clients and contributes to market stability. Firms must approach compliance differently in order to meet these standards. Written for compliance staff, regulatory organizations, and senior management, The Compliance Revolution explains how key changes in compliance affect underlying principles, practices, roles, expectations and values. This valuable resource for global practitioners assists in navigating compliance requirements and implementing solid protection for a sound organization. Author David Jackman presents a coherent model for understanding and applying key developments in regulation and compliance. While the model is based on financial services, it can be applied to any sector and industry. It identifies five critical compliance components: Start-up, crises, expansion, sustainability, and outcomes-led focus. You will also discover: * Why compliance is worth spending money on * What your firm could and should be doing differently * The importance of ethics in compliance and regulatory challenges * How to create a pro-compliance culture * Ten principles of good governance and why good governance matters * How to employ judgment-based compliance * The features and benefits of corporate maturity The Compliance Revolution is a crucial asset for all those with stakes in compliance board members, compliance managers, and employees. David Jackman outlines key compliance challenges and reveals the practical tools and techniques required for successful practice. The insight, examples, and strategies in this comprehensive guidebook will help you and your organization achieve increasingly efficient, substantially more effective compliance procedures and practices.

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AWS Risk and Compliance (AWS Whitepaper)

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January 2016
This document intends to provide information to assist AWS customers with integrating AWS into their existing control framework supporting their IT environment. This document includes a basic approach to evaluating AWS controls and provides information to assist customers with integrating control environments. This document also addresses AWS-specific information around general cloud computing compliance issues.

Is Your Compliance Team Failing To Prepare Senior Management For The Future?

The Financial Conduct Authority will put firms senior managers “through their paces” with the introduction of the Senior Manager’s Regime in 2018, …

… and regulatory professionals need to ensure that the board takes its compliance responsibilities seriously“, the owner of “Compliance Consultant“, Lee Werrell has warned.

“Although the industry had yet to see the regulator take a senior management “scalp”, the FCA will, as now, expect Directors, Chief Executives, Some Non-Executive Directors and their boards along with other Senior Management to be fully conversant with day-to-day compliance and risk issues. Boards must be well informed through relevant and pertinent MI”, he added.

The FSA’s Enforcement Guide 8.2 states ‘The FCA will proceed on the basis that a firm (together with its directors and senior management) is primarily responsible for ensuring the firm conducts its business in compliance with the Act [FSMA], the [FCA] Principles and other rules.’

Despite the fact that it would not be reasonable to expect the chief executive of a large company to deal with this level of detail on a daily basis, whenever any issue of compliance or risk arises, the regulator would typically ….

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Regulatory Risk and the Cost of Capital: Determinants and Implications for Rate Regulation

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Austrian Controller Award 2005 This book develops a comprehensive concept of regulatory risk integrating existing theoretical and empirical research. The focus is on explaining how the design of the regulatory system influences the risk of a rate-regulated firm, as well as on elaborating appropriate methods for the determination of the regulatory rate base and the allowed rate of return. Regarding the regulatory rate base, the question of whether market value of capital or book value of assets should be employed and the choice of the depreciation scheme are at the center of the discussion. Specific methodical issues concerning cost of capital assessment for rate-regulated firms are analyzed, i.e. the circularity of rate regulation, the sharing of risks between capital owners and rate payers, the length of the regulatory review period, the regulation of the capital structure as well as the conversion of a post-tax to pre-tax weighted average cost of capital.