Governance, Risk Management, and Compliance / Wiley Corporate F&A (PDF)

Foreword. Preface. Acknowledgments. Chapter 1: What Is GRC, and Why Does It Matter? What Is GRC? Why GRC Matters. Chapter 2: Culture, the Critical Driver. What Is Culture? More Cultural Failures. Companies That Got It Right. Being Legal, Honest, Candid, and . . . Integrity versus Spin. Talking the Same Language. Note. Chapter 3: Cost-Effective Compliance Programs. The Back-Breaking Costs. Beyond the Direct Costs. Major Mistakes at Platinum-Branded Companies. How Companies Got Where They Are. Keys to Getting it Right. The Compliance Office. Making it Happen. The Rewards. Notes. Chapter 4: Ethics Programs: Another Foundational Block. Tone at the Top. Problems at Daimler. Elements of an Ethics Program. Setting the Tone at the Top: Hewlett Packard. Chapter 5: Risk Management and the Financial System Near Meltdown. What Went So Terribly Wrong. The Regulatory System. Merrill Lynch. Where Were the Boards? Did CEO's See it Coming? Note. Chapter 6: What Is Risk Management About? Risk. Risk Management. Enterprise Risk Management. Is It Really Worth the Effort? ERM Application Techniques. Key Risk Indicators. BP. Notes. Chapter 7: Implementing ERM. Drivers for ERM. Pitfalls. Effective Implementation. Roles and Responsibilities. Chapter 8: Does Internal Control Really Matter? Impact of SOX 404 on Financial Reporting. Responsibility for SOX 404. Other Relevant SOX Provisions. Do Effective Financial Reporting Controls Really Prevent Fraudulent Financial Reporting? Real Life in the C-Suite. Chapter 9: Control over Operational Performance. Société Générale. Washington Mutual. Countrywide Financial Corporation. The Foreclosure Fiasco. Chapter 10: Boards of Directors' Focus. A Focus on the Rules. Truly Effective Boards. A Public Watchdog? Societal Responsibility. Potential Pitfalls. Note. Chapter 11: Overseeing Strategy and Risk Management. Strategy. Risk Management. Notes. Chapter 12: CEO Compensation, Succession Planning, and Crisis Management. CEO Compensation. Succession

RICHARD M. STEINBERG is founder and CEO of Steinberg Governance Advisors, Inc. He is a nationally recognized expert on governance, risk, and control, and advises boards of directors of major multinational, large, and middle-market companies. He is a former senior partner of PricewaterhouseCoopers (PwC) and the leader of its corporate governance advisory practice. As an expert in internal control and risk management, Steinberg served as the lead project partner in developing the Committee of Sponsoring Organizations of the Treadway Commission's (COSO's) Internal Control--Integrated Framework, and led development of COSO's Enterprise Risk Management--Integrated Framework, the landmark reports recognized as standards for effective internal control and risk management. He has been featured on CNBC's Morning Call and Bloomberg TV's Bloomberg on the Markets and The Bloomberg Report; has guest-lectured at leading business schools including Columbia, MIT, and NYU; has been quoted in publications such as BusinessWeek, Fortune, the Wall Street Journal, Dow Jones MarketWatch, CNN Money, and the Financial Times; and is a monthly columnist for Compliance Week.

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