The Controller's Toolkit

PART 1
 
Chapter 1 About This Toolkit
 
Chapter 2 Defining the Role of a Controller
 
Introduction
 
Governance, Risk Management and Compliance (GRC).
 
Controller Job Responsibilities
 
The Controller as Business Partner
 
SECTION 1 - CORPORATE AND REPUTATIONAL RISK
 
Section Introduction
 
Chapter 3 The Controller and Risk Management
 
Introduction
 
Risk Management Process Flow
 
Risk Management Defined
 
Risk Management Models
 
Risk Management Table of Controls
 
Risk Management Risk and Controls Matrix
 
Chapter 4 The Controller and Ethics
 
Introduction
 
Ethics Program Process Flow
 
What is "Tone at the Top?"
 
Example Code of Conduct: MCI
 
Code of Conduct and Ethical Violations
 
Controllers and the Code of Conduct
 
The Reaction to Unethical Behavior
 
A Comparison of Sarbanes Oxley Section 302 and Section 404
 
Sox and Whistleblower Protection
 
Ethics Training Programs
 
Key Considerations for an Ethics Hotline
 
How to Manage an Ethics Hotline
 
How Do We Know That "Tone at the Top" Is Effective?
 
"Tone at the Top" and the "Tone in the Middle"
 
"Tone at the Top" and the U.S. Sentencing Guidelines
 
"Tone at the Top" and the Foreign Corrupt Practices Act (FCPA)
 
Anti-Bribery Provisions of the FCPA
 
Record Keeping Requirements of the FCPA
 
Guidelines for FCPA Compliance
 
The Dodd-Frank Act
 
The Whistleblower Protection Act of 1989
 
The False Claims Act
 
Table of Controls
 
Table of Risks and Controls
 
Chapter 5 The Controller and Corporate Governance
 
Introduction
 
Corporate Governance Process Flow
 
Corporate Governance for Small Business
 
Corporate Governance for Private Companies
 
The Financial Aspects of Corporate

CHRISTINE H. DOXEY, CAPP, CCSA, CICA, CPC, is president of Doxey, Inc., a consultancy that has brought vast improvements to the finance departments of leading organizations worldwide. Doxey is on the Advisory Boards of The Exchange Summit and The Institute for Internal Controls. Previously, Christine was a financial executive at Hewlett Packard and Verizon Business. She has authored several books and speaks on a range of financial processes and internal controls best practices at global conferences.