Essentials of Enterprise Compliance

Table of contents

1. Copyright
2. Preface
3. Foreword
   1. Notes
4. I. Introduction
   1. 1. Compliance: Law and Society
      1. 1.1. Defining the Scope
      2. 1.2. Governance Point of View
      3. 1.3. Starting a Compliance Program
      4. 1.4. Structuring Compliance
      5. 1.5. Chapter Summary
      6. 1.6. Notes
   2. 2. Global Perspective
      1. 2.1. Influencing Governance Structures
      2. 2.2. Thinking Global Compliance
      3. 2.3. United States—Compliance Notes
      4. 2.4. U.S. Public Sector
      5. 2.5. Canada—Compliance Notes
      6. 2.6. Australia—Compliance Notes
      7. 2.7. Australia Public Sector
      8. 2.8. United Kingdom—Compliance Notes
      9. 2.9. Japan—Compliance Notes
      10. 2.10. Germany—Compliance Notes
      11. 2.11. Mexico or Other Latin American Country—Compliance Notes
      12. 2.12. Chapter Summary
      13. 2.13. Notes
5. II. Framework for Governance
   1. 3. A Framework for Governance
      1. 3.1. Introduction
      2. 3.2. Do As I Say—Providing Continuous Guidance
      3. 3.3. Business Rules and Structure Are the Foundation of an Enterprise
         1. 3.3.1. Step 1: Governance Policy
         2. 3.3.2. Step 2: Fostering a Compliance Culture
         3. 3.3.3. Step 3: Managing the Information Flow
      4. 3.4. Building a Compliance Model
      5. 3.5. Optimized Compliance Management (OCM)
      6. 3.6. Chapter Summary
      7. 3.7. Notes
   2. 4. Exploring the Potential
      1. 4.1. Driving Influence: How Can Organizations Establish or Foster a Culture of Compliance that Fosters Transparency and Objectivity?
      2. 4.2. Looking at New Practices
      3. 4.3. Technologies Can Help Achieve the Vision
      4. 4.4. Supporting Regulation through Technology Enablement
      5. 4.5. Chapter Summary
      6. 4.6. Notes
6. III. Looking For the High Ground
   1. 5. Compliance at the Desktop
      1. 5.1. Auditing and Logging
      2. 5.2. Performing Tasks for Auditing
      3. 5.3. Viewing Reports for Auditing
      4. 5.4. Workflow Management
      5. 5.5. Digital Signatures
      6. 5.6. Signing a Document
      7. 5.7. E-Signatures Streamline Paper-Bound Processes
      8. 5.8. Signature Criteria
      9. 5.9. Records Management
      10. 5.10. Pretagging Content
          1. 5.10.1. Reaping the Benefits
          2. 5.10.2. E-mail Message Record Management
      11. 5.11. Classifying E-mail
      12. 5.12. Litigation Support
      13. 5.13. Managing Holds
      14. 5.14. Spreadsheet Management
      15. 5.15. Bar Codes and Labeling
      16. 5.16. Information Rights Management
      17. 5.17. Using Document Information
      18. 5.18. Portal Search
      19. 5.19. Improving Compliance with Technology
          1. 5.19.1. Viewing Item-Level Audit History
          2. 5.19.2. Managing Instant Messaging History to a Records Management
          3. 5.19.3. Signing of Documents
          4. 5.19.4. Using Information Rights Management with Classifications for Advanced E-mail Protection
          5. 5.19.5. Tracking of Changes to Document
      20. 5.20. Mapping Opportunities Summary
      21. 5.21. Chapter Summary
      22. 5.22. Notes
   2. 6. Powering Compliance
      1. 6.1. Recapping Key Compliance Regulations
      2. 6.2. Common Compliance Requirements
         1. 6.2.1. Procedural Rigor
         2. 6.2.2. Auditing and Logging
      3. 6.3. The Compliance Technology Landscape
         1. 6.3.1. Looking at Solutions
         2. 6.3.2. Utilizing Existing Technology Investments
            1. 6.3.2.1. Building an Integrated, Long-Term Compliance Solution
            2. 6.3.2.2. Industry Partner Support
      4. 6.4. Summary
      5. 6.5. Managing the Cost of Compliance
      6. 6.6. Chapter Summary
      7. 6.7. Notes
7. A. Sarbanes-Oxley Act of 2002—Effective Compliance and Ethics Program
   1. A.1. §8B2.1. Effective Compliance and Ethics Program
   2. A.2. Commentary Application Notes:
8. B. Description of the Technology Features Relevant to Compliance