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	July 12, 2005 Seven Habits Of Highly Effective Compliance Programs by Michael Rasmussen with Robert Markham, Laurie M. Orlov, Michael Hudson, Samuel Bright	Average: 8  (1 rating)

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Executive Summary

Today, compliance is a daunting challenge to organizations because they are faced with a mountain of regulatory obligations. In the past, organizations tackled compliance as islands of projects scattered throughout the organization, leading to inconsistent approaches and a duplication of efforts. To achieve sustainable compliance, firms must develop a process and management function. In line with government guidance, sustainable compliance must encompass and sustain seven habits.

TABLE OF CONTENTS

• A Process — Not A Project Or Technology
• Seven Habits Sustain A Highly Effective Compliance Program
• Habit No. 1: Document The Policy And Control Environment
• Habit No. 2: Assign Appropriate Oversight Of Compliance Management
• Habit No. 3: Require Personnel Screening And Access Control
• Habit No. 4: Ensure Compliance Through Training And Communication
• Habit No. 5: Implement Regular Control Monitoring And Auditing
• Habit No. 6: Consistently Enforce The Control Environment
• Habit No. 7: Prevent And Respond To Incidents And Gaps In Controls

RECOMMENDATIONS

• Compliance Involves Policy, People, Process, And Technology

WHAT IT MEANS

• Architect For Sustainable Compliance

ALTERNATIVE VIEW

• Why You Can't Just Scrape By
• Related Research Documents

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