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Manager's Guide to Compliance: Sarbanes-Oxley, COSO, ERM, COBIT, IFRS, BASEL II, OMB's A-123, ASX 10, OECD Principles, Turnbull Guidance, Best Practices and Case Studies Hardcover – Apr 21 2006

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Product Details

  • Hardcover: 336 pages
  • Publisher: Wiley; 1 edition (April 21 2006)
  • Language: English
  • ISBN-10: 0471792578
  • ISBN-13: 978-0471792574
  • Product Dimensions: 16 x 2.8 x 23.6 cm
  • Shipping Weight: 621 g
  • Average Customer Review: Be the first to review this item
  • Amazon Bestsellers Rank: #1,371,616 in Books (See Top 100 in Books)
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Product Description


"Wide perspectives and best practices combined deliver a punch that will knock your 'SOX' off! The author has blended together a critical mix necessary for effectively handling the requirements of SOX."
—Rob Nance, Publisher, AccountingWEB, Inc.

"Robust compliance and corporate governance is an absolute necessity in today's business environment. This new book by Anthony Tarantino is an authoritative guide to understanding and implementing compliance and regulatory requirements in the United States and around the world. From SOX to COSO to ERM, this book covers them all."
—Martin T. Biegelman, Certified Fraud Examiner, Fellow and Regent Emeritus of the Association of Certified Fraud Examiners, and coauthor of Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance

"If compliance wasn't difficult enough, now companies are faced with a barrage of technology vendors claiming to automate compliance as if it were a project. In his new book, Dr. Tarantino paints the reality of the situation: companies need to embrace the broader tenets of governance and use technology to embed governance policies and controls into their daily business processes. Only then can they gain business value from their compliance investments."
—Chris Capdevila, CEO and cofounder, LogicalApps

From the Inside Flap

Scandals have always acted as an effective catalyst to force improved corporate governance and transparency. Worldwide scandals such as the Enron, WorldCom, Parmalat, and Ahold incidents exposed the lack of integrity in those entrusted with good corporate governance. Manager's Guide to Compliance: Best Practices and Case Studies is essential reading for professionals facing the growing challenge to improve internal controls in the information technology, operations, finance, and supply chain fields. This timely resource places critical compliance guidance as well as U.S. and global regulatory information at your fingertips.

Adding value beyond a reference, author Anthony Tarantino, a leading authority on the implementation of internal controls, shares best practices tools and offers real-world case studies to show managers how compliance can be achieved at maximum value to their organization. In addition, this handbook provides a high-level overview of the many compliance and governance initiatives underway throughout the world.

Whether companies or industries are based in the United States, the European Union, Russia, China, or other nations, investors demand a level playing field in comparing financial results. Manager's Guide to Compliance: Best Practices and Case Studies prepares professionals to "clean house" with detailed discussion of:

  • U.S. Sarbanes-Oxley Sections 401a, 404, 406, and 409 and the impact of SOX on small and foreign filers, privately held businesses, and nonprofits
  • SOX-like legislation coming to Australia, Canada, and the U.K.
  • Efforts to improve internal controls in the health, banking, and insurance industries
  • The movement to create principles-based guidelines by the OECD
  • A comparison of the global GAAP by the IFRS to U.S. SOX and U.S. GAAP
  • The impact on outsourcing with discussion of¿the SAS 70 audit process
  • Best practices in internal controls, accompanied by¿several case studies
  • A cost versus benefits analysis
  • Mapping COBIT to COSO I, COSO II, & the PCAOB
  • Best practices in internal controls–Enterprise Risk Management (ERM)
  • The U.S. government's version of U.S. SOX: OMB Circular A-123
  • Best practices in compliance and internal controls: ASX 10 Principles

A useful introductory handbook for internal and external auditors as well as for regulators, Manager's Guide to Compliance: Best Practices and Case Studies is the guide for current global compliance regulations to keep your company moving forward in challenging times.

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Most Helpful Customer Reviews on (beta) HASH(0x9bf32774) out of 5 stars 10 reviews
6 of 6 people found the following review helpful
HASH(0x9b8e118c) out of 5 stars Outstanding Jan. 23 2007
By dcarp54 - Published on
Format: Hardcover Verified Purchase
Prior to reading this book I knew almost nothing about compliance. The book is well written and easy to understand for anyone that has formal accounting education. The book provided a tremendous amount of insight, and was very practical. The book has helped out at work tremendously.
4 of 4 people found the following review helpful
HASH(0x9ba8da14) out of 5 stars Reference only July 3 2007
By George Z. Marootian - Published on
Format: Hardcover Verified Purchase
Useful as a reference guide, but not something that I would recommend as the first or last read on Compliance. Have kept it around as a great reference document.
2 of 2 people found the following review helpful
HASH(0x9bb28f3c) out of 5 stars Kindle edition has some problems Feb. 11 2012
By MaryLynn - Published on
Format: Kindle Edition Verified Purchase
This review is actually about the Kindle version of this book. I'm disappointed that the table of contents only has chapter headings. There is no table of figures or breakdown of chapters. In addition, many of the diagrams are too tiny to read and can't be magnified. I paid for the book, not 97% of the book, with the rest being sized for fairies to read, not humans. :-)

I'm using this book as a text in a graduate class. The professor and some other students have the paper version of the book and make reference to it by page numbers, which we Kindle users don't have. This is a problem. I would think that page numbers of some sort would be useful to all Kindle users, too. Granted that different editions of a book have different page numbers, but giving the page numbers for one edition would help us get close to particular text based on a page number. If my friend is reading a paper edition, we would find it hard to discuss something in a book with long chapters unless I have some sort of page numbers in my Kindle edition.

3 of 4 people found the following review helpful
HASH(0x9b4d0f90) out of 5 stars Essential Reading for My US and Chinese Businesses April 29 2006
By Xilan Sun - Published on
Format: Hardcover
Dr. Tarantino's book was exactly what I needed to understand the many regulations facing my businesses in the US and China. It will be required reading for my various managers and directors.
HASH(0xa47b2aec) out of 5 stars Compliance April 14 2010
By JJMI - Published on
Format: Hardcover Verified Purchase
Interesting reading on compliance from a US point-of-view. Its a good basic reading. Would have liked more case studies. Otherwise, good guidance on Compliance issues.