Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.

Keep me logged in Forgot your password?

Please wait...

Please wait...

Compliance Week e-Books & Special Reports

Compliance Week has made selected e-Books, special reports, articles, and research that have been recently published available for download.

To download the reports, select one below and complete the registration process. Upon completion, you will receive a link to download a single PDF file.

e-Book: The Current State of Dodd-Frank Compliance

This e-Book is produced by Compliance Week in cooperation with Bloomberg Vault. Although the Dodd-Frank Act was signed into existence in July 2010, nearly four years later the Securities and Exchange Commission and other regulators are still completing the rules and regulations to put the law into effect, and much of it remains a work in progress. While we've worked to cover every phase of that rulemaking, from proposal to final rule, we thought it was a good time to step back and consider Dodd-Frank as a whole.
 

e-Book: Trends in Bribery and Corruption Enforcement

This e-Book is produced by Compliance Week in cooperation with NAVEX Global. Global bribery and corruption enforcement agencies have been busy lately. And it's not just the U.S. Department of Justice and the Securities and Exchange Commission that are ramping up enforcement of anti-corruption laws. Enforcement agencies in the United Kingdom, Brazil, China, and many other countries are strengthening their anti-bribery and corruption laws and pursuing violators with a renewed zeal. They are also working together more to share information and pursue cases jointly.
 

e-Book: Top Global GRC Risks

In this e-Book, produced by Compliance Week in cooperation with NAVEX Global, we examine top governance, risk, and compliance trends taking shape, particularly those that will impact international companies based in Europe. First we look at 10 GRC trends developing now, including those related to data security and privacy, anti-corruption and anti-trust enforcement, global tax transparency, and new banking and energy sector regulations.
 

e-Book: New Risks, Strategies in the Fight Against Corruption

This e-Book is produced by Compliance Week in cooperation with BDO and The Network. As global regulators increase enforcement of corruption and bribery laws and new regulations proliferate, the risks for companies are increasing. In response, companies are beefing up their anti-corruption programs and looking for new strategies to ensure they are in compliance.
 

e-Book: Assessing and Influencing Tone From the Middle

This e-Book is produced by Compliance Week in cooperation with SAI Global. Compliance professionals have long appreciated the idea that "tone at the top"—the values espoused and acted upon by the senior management team—is critical to shaping an ethical corporate culture. What's now becoming clearer is that while tone-at-the-top remains important, middle managers play a major role in shaping the culture of the organization and influencing the behavior of their direct reports.
 

e-Book: Rising Global Corruption Risks and Cross-Border Investigations

This e-Book is produced by Compliance Week in cooperation with KPMG. In this e-Book on corruption risks and cross-border investigations we look at what's driving corruption and bribery risks, from the proliferation of new laws in countries like China, Brazil, and Canada to the increased enforcement of anti-bribery laws around the world.
 

e-Book: The Future of Effective Internal Audit

This Compliance Week e-Book, a special publication sponsored by NAVEX Global, offers articles on the role internal audit plays in countering bribery and corruption, how best to monitor and minimize third-party risk, and an examination of how the internal audit profession is slowly adapting a greater focus on strategic risk. Also included is the NAVEX Global white paper, "How Internal Audit and Compliance Can Work Together to Implement a Compliance Program."
 

e-Book: Compliance & Healthcare Reform

This e-Book on healthcare reform is produced by Compliance Week in cooperation with ADP. The e-Book offers various articles from Compliance Week concerning the costs and challenges of the Affordable Care Act, the potential compliance and legal costs it presents, and the effect it is having on both companies and employees. Also included is the ADP white paper, Five Strategies to Help Businesses Navigate Health Care Reform.
 

e-Book: Time to Get Moving on Conflict Minerals Compliance

This e-Book on conflict minerals is produced by Compliance Week in cooperation with PwC. The e-Book offers various articles from Compliance Week regarding the SEC's new rules regarding the use of conflict minerals. It discusses the wide-ranging impacts of the new rules, as well as how to establish a successful conflict minerals program and prepare for the challenges adapting to the new rules will present. Also included is the PwC white paper, "Time to Get Started."
 

Anti-Money Laundering Illustrated: Visualizing an Effective Capability

This e-book is a collection of OCEG's famed illustrations: double-page spreads you can read, review, and consult as you develop and enforce your own AML program. Each is accompanied by a column by OCEG president Carole Switzer and a roundtable discussion with sponsors Ernst & Young, Thomson Reuters, Stephen Platt & Associates, and KYC360.com, who offer expert advice and thought leadership that Compliance Week has published jointly with OCEG. Together, these resources will help identify business risk and guide you toward a successful solution.
 

e-Book: Information Governance: Managing the Lifecycle of Data

This e-Book on information governance is produced by Compliance Week in cooperation with HP Autonomy. The e-Book offers various articles from Compliance Week regarding the importance of data classification, the process of creating an effective data security policy, and how to keep data secure against both internal and external threats. Also included is the HP Autonomy white paper, "New Demands Are Changing the Face of Today's Archive."
 

e-Book: Getting It In Writing: The Art of Policy Management

This Compliance Week e-Book, a special publication sponsored by NAVEX Global, offers articles on managing the policy lifecycle, from drafting and validating to approving and implementing, as well as increasing security and protecting against data breaches. Also included is the NAVEX Global white paper, "Business Case: The ROI of Policy Management."
 

e-Book: Talking to the Cloud: Managing Risks and Improving Data Security

This e-Book on cloud security is produced by Compliance Week in cooperation with Proofpoint. The e-Book offers various articles from Compliance Week regarding the ease and advantages the cloud affords, e-Discovery concerns associated with the move to the cloud, and ways to improve security in response to the rise of cloud computing and mobile devices. Also included is the Proofpoint white paper, "What Every Enterprise Should Know About the Cloud."
 

e-Book: Always On: How Data Analytics and Continuous Auditing and Monitoring Are Evolving

This e-Book on continuous auditing and monitoring is produced by Compliance Week in cooperation with ACL. The e-Book offers various articles from Compliance Week regarding the rise of continuous auditing as a way to better understand and control many business processes. Specifically it examines how continuous auditing provides better, faster insight into where there may be risks that need to be addressed and what steps to take to bring the idea of continuous auditing from goal to reality. Also included is the ACL white paper, Maturing the Use of Data Analytics.
 

e-Book: Policy Management: Visualizing an Effective Capability

This e-book is a compendium of OCEG's famed illustrations: double-page spreads you can print out, stare at, and contemplate as you develop, implement, and enforce your own policies. Each is accompanied by a column by GRC 2020 Research Principal Analyst Michael Rasmussen and a roundtable discussion with sponsors of the illustrations who offer expert advice and thought leadership, that Compliance Week has published jointly with OCEG over the last six months. Together, these resources provide a clear pathway toward successful policy management.
 

e-Book: Focus on Corruption: Sharpening Third-Party Due Diligence

This e-Book on Corruption is produced by Compliance Week in cooperation with Kroll Advisory Solutions. The e-Book offers various articles from Compliance Week on how to minimize, understand, and control third-party risk. Also included are the Kroll Advisory Solutions white papers "Investing in the BRICs: Extra Due Diligence Is Vital" and "Third-Party Compliance: Part of a Comprehensive Compliance Policy."
 

e-Book on e-Discovery: Strategies in a Fast-Changing World

This e-Book on e-Discovery is produced by Compliance Week in cooperation with Autonomy. The e-Book offers various articles from Compliance Week on the challenges surrounding FCPA investigations, merger & acquisition litigation, and the expansion and proliferation of mobile computing. In addition, Autonomy offers the white paper, “Best Practices for Meeting Critical e-Discovery Challenges.”
 

e-Book on Big Data: The Risks and Rewards Locked in Vast Oceans of Data

This Compliance Week e-Book is produced by Compliance Week in cooperation with KPMG. It offers various articles from Compliance Week on navigating the ever-growing sea of data and how to process and make the most of the vast amount of information available. In addition, KPMG offers the white paper, "Creating the Connected Enterprise to Drive Information Insights."
 

e-Book: How to Get the Most From Whistleblower Hotlines

This Compliance Week e-Book is produced by Compliance Week in cooperation with Business Controls, Inc. The e-Book offers various articles from Compliance Week on whistleblowing, the fear and threat of retaliation, and how to promote and maintain an effective compliance hotline. There is also the Business Controls white paper Compliance Professionals Prepare for Big Challenges Ahead.
 

e-Book: Improving Data Security for Mobile and Cloud Computing

This Compliance Week e-Book, a special publication sponsored by PwC and GeoTrust, offers articles on how companies can improve security as they embrace mobile and cloud computing. Articles include "Risks and Benefits of Employee-Owned Devices," "Improving Data Security for Cloud Computing," and more. Also included are exclusive white papers on establishing trust in cloud computing and confidently choosing a cloud provider.
 

e-Book: Closing the Last Mile on XBRL Compliance

This e-Book on XBRL Compliance is produced by Compliance Week in cooperation with IBM. The e-Book offers various articles from Compliance Week on how companies can manage their XBRL compliance challenges. There is also a white paper from our sponsor.
 

e-Book: Anti-Corruption Illustrated: Visualizing an Effective Capability

This e-book is a compendium of OCEG's famed illustrations: double-page spreads you can print out, stare at, and contemplate as you structure your own anti-corruption program. This Anti-Corruption Illustrated Series was sponsored by Ernst & Young, which jointly developed each illustration with OCEG and additional sponsors. Each is accompanied by a column by OCEG President, Carole Switzer and a roundtable discussion with compliance officers and thought leaders, that Compliance Week has published jointly with OCEG over the last six months. Together, these resources provide a clear pathway to understanding and implementing an effective anti-corruption program.
 

e-Book: FCPA Compliance in an Era of Heightened Enforcement

This e-Book on FCPA Compliance is produced by Compliance Week in cooperation with Kroll Advisory Solutions. The e-Book offers various articles from Compliance Week on FCPA investigations, violations and Global Anti-Corruption Programs. There is also the Kroll Advisory Solutions white paper Top-Level Commitment Necessary for Anti-Bribery Compliance.
 

e-Book: New Risks, Compliance Challenges in Pharma & Healthcare

This Compliance Week e-Book, a special publication sponsored by Axentis, Kaplan EduNeering, and Qumas, offers various articles on how healthcare and pharmaceutical companies can manage their compliance. Articles include, "Companies Prep for Health Reform 'Sunshine Rules,'" "False Claims Fines Continue to Amass for Pharma," and more. Also included are three exclusive white papers on mitigating third-party risk, managing global anti-bribery programs, and managing collaboration & outsourcing compliance across life sciences.
 

e-Book: Getting a Handle on Data Security

This Compliance Week e-Book, a special publication sponsored by HP Enterprise Security, offers various articles on how companies can manage their data security. Articles include, "High-Profile Data Breaches Raise Security Alerts," "Mobile Apps: A Godsend or Compliance Headache?" and more. Also included are the results of the Data Breach Survey, published by SC Magazine.
 

e-Book: Guide to Third-Party Risk Management

This Compliance Week e-Book, a special publication sponsored by SAI Global, offers various articles on how companies can manage their third-party risk management. Articles include, "Rethinking Supply Chain Risk Management Strategies," "Third-Party Corruption Risk: What You Should Know" and more. Also included are three exclusive SAI white papers on regulators, third parties, and risk management.
 

e-Book: Compliance in the Age of Social Media

This Compliance Week e-Book, a special publication sponsored by Autonomy, KPMG, and Symantec offers various articles on how companies can manage their social media. Articles include, "Fitting Social Media Into Your e-Discovery Regime," "Monitoring Employees' Use of Social Media," and more. Also included are whitepapers from Autonomy, KPMG, and Symantec.
 

e-Book: Guide to XBRL

This Compliance Week e-Book, a special publication sponsored by Altova and IBM, offers various articles on how companies can integrate XBRL. Articles include, "XBRL Enters the Final Phase," "Extension Tags Threatening XBRL's Usefulness," and more. Also included are whitepapers from Altova and IBM, sharing their expertise and latest thoughts on XBRL Integration.
 

e-Book on ERM: Expanding Your Compliance and Risk Management Efforts Into Successful, Enterprise-Wide Programs

This Compliance Week e-Book, a special publication sponsored by Cura, McAfee and Protiviti, offers various articles on how companies can expand their compliance and risk management efforts into successful, enterprise-wide programs. Articles include, "Using the New COSO Risk Management Guidance," "Improving Risk Assessments and Audit Operations," "Companies Turning to Data Breach Insurance," and more. Also included are several whitepapers from Cura, McAfee and Protiviti, sharing their expertise and latest thoughts on ERM programs.
 

e-Book: Creating Closer Ties Between Internal Audit & Compliance

This Compliance Week e-Book, a special publication sponsored by SAI Global, explores the cooperation between compliance and internal audit departments and how that interaction can be expanded and improved. Articles include, "Compliance and Audit Getting It Together," and "Internal Audit Pulled in Two Directions at Once." Also included are the IIA Research Foundation's global internal audit survey, "Internal Audit Needs to Expand Its Horizons," as well as the thought leadership piece "A Close Collaboration Between Audit and Compliance Key for Effective Risk Management," written by Colin Campbell, SAI global head of GRC product management, and Michael Rasmussen, OCEG fellow.
 

Global Integrity Survey

Published in 2009, this extraordinarily detailed study analyzing corporate practices on matters such as anti-corruption practices, third-party risks, how compensation is tied to ethical performance, and more.
 

Guide to Enterprise Risk Management

Inside this Compliance Week 2009 supplement on Enterprise Risk Management, we cover risk intelligence in a poor economy, as well as the changing role of directors in difficult times. It also includes using XBRL to attack risks in the financial system, and a new column by Richard M Steinberg on what boards should know about Groupthink. We also have Thought Leadership on the New Era of Risk Management and the latest list of the largest risk-management consulting practic
 

Compliance & Technology Report

Published in 2009, Compliance Week's articles and research on maintaining IT control and governance amid recession, making the most of your ERP systems, and the future of XBRL technology.
 

Guide to Enterprise Risk Management

This 2008 Compliance Week supplement aims to be a primer on ERM in all its forms. Inside you will find articles examining the idea of ERM as a whole, from how much board directors worry about it to how companies can establish, staff, and audit their own ERM functions. We also have white papers from accomplished experts and a list of resources that can help you move forward with ERM at your own speed.
 

Compliance & Technology Report

Inside is a 2008 compendium of our recent coverage, ranging from the Securities and Exchange Commission’s looming plan to mandate XBRL to the Byzantine challenges of protecting consumer data to the trench warfare many companies wage to keep spreadsheets, passwords, and user access under control.
 

Fraud Prevention & FCPA Compliance

For most of this decade, Compliance Week has kept a sharp eye on antifraud and FCPA issues, and with this issue we present a special supplement on fraud and FCPA compliance. Inside, you’ll find a recap of our extensive coverage of fraud in the last year: what types of FCPA cases prosecutors are enforcing, how you can assess your risks of fraud, how you can audit your antifraud controls, and more. We also have numerous white papers from consultants and law firms with expertise in FCPA issues to help you understand the fine points of compliance with the law— and, alas, there are many, many fine point
 

Guide to e-Discovery

This special 2008 e-discovery supplement recaps Compliance Week’s extensive coverage of the subject in the last year, and is meant to serve both as a refresher course and a reference guide for those trying to understand the new rules. Inside you will find a simple Q&A cheat sheet on the basics of e-discovery, best practices for records management (including the critical skill of knowing when to destroy records), and a look at various court decisions in the last year that have tried to apply the broad e-discovery rules to specific legal contexts.
 

Survey Says: Consultants In Widespread Use

A Compliance Week analysis of 250 CD&As filed so far this year shows that 78 percent of companies used compensation consultants, mostly to conduct surveys of pay levels or to help prepare proxy disclosures. According to the Compliance Week analysis, just two firms, Towers Perrin and Mercer HR Consulting, were hired by one-third of companies surveyed. Included is a downloadable spreadsheet of companies and their compensation consultants, plus details on the market.
 

Guide to Enterprise Risk Management

This 2007 Compliance Week supplement aims to assist companies as they continue the ERM journey. Inside you will find articles examining the concept of ERM as a whole, from how much board directors need worry about it to how companies can establish their own ERM functions.
 

Rick Steinberg's Five-Part Series on ERM

Lots of people talk about enterprise risk management, but few truly understand how to build an ERM system that really works. Compliance Week columnist Richard Steinberg—principal author of the COSO ERM framework—has written an exclusive, multi-part series examining ERM in detail. He starts with the basics, defining ERM (“a company’s process to identify, assess, and manage risk that could interfere with achieving any of its corporate objectives”) and provides examples of ERM in practice at three very different companies. The remaining columns deal with why a company would want an effective ERM process, including the benefits it brings; some of the more effective techniques for applying ERM; where the responsibilities for ERM are best housed; and what methodologies are most effective for implementing an ERM system, including pitfalls to watch out for.
 

Compliance Week now has a companion group on LinkedIn, where members can network and discuss the compliance and governance news of the day. Open to all compliance professionals, free to join.





Top Global GRC Risks
Sponsored by NAVEX Global


Thought Leadership

Data: The Tail That Wags the Stress Test
Sponsored by Trillium Software


Conflict Minerals Webcast Series
Sponsored by 3e Co., iPoint, Schulte Roth & Zabel and Source Intelligence


Compliance Week Podcasts ...

Every week we chat with leading thinkers in compliance, auditing, risk management, public policy and more. These short (10-15 minutes) interviews are free to all. Follow Compliance Week podcasts on iTunes.