Elgar Compliance Guides – serie

With Determann’s Field Guide to Artificial Intelligence Law, readers can navigate a complex field traversing new technologies, business models, risks, rights, and legal issues. The author presents practical recommendations in a user-friendly and accessible format, designed to help organizations build and maintain their AI compliance and risk mitigation programs. A leading voice on data and technology law, Lothar Determann discusses existing and new laws pertaining to AI around the world and examines distinct advantages of different governance models.Key Features:Roadmap on how to identify, prioritize, and address risks and compliance obligationsChecklists, action items, and sample protocolsA-to-Z list of risks and mitigation measuresExamples of jurisdiction-specific legal requirementsGuidance on governance and accountability mechanismsPractitioners in corporate legal departments and private practice, compliance officers, programmers, privacy officers, data scientists, human resources (HR) specialists, and other professionals who must address AI and related legal compliance issues will find the guidance on risk assessments and mitigation, data law compliance, intellectual property, and other AI-related topics a vital resource.

With Determann’s Field Guide to Artificial Intelligence Law, readers can navigate a complex field traversing new technologies, business models, risks, rights, and legal issues. The author presents practical recommendations in a user-friendly and accessible format, designed to help organizations build and maintain their AI compliance and risk mitigation programs. A leading voice on data and technology law, Lothar Determann discusses existing and new laws pertaining to AI around the world and examines distinct advantages of different governance models.Key Features:Roadmap on how to identify, prioritize, and address risks and compliance obligationsChecklists, action items, and sample protocolsA-to-Z list of risks and mitigation measuresExamples of jurisdiction-specific legal requirementsGuidance on governance and accountability mechanismsPractitioners in corporate legal departments and private practice, compliance officers, programmers, privacy officers, data scientists, human resources (HR) specialists, and other professionals who must address AI and related legal compliance issues will find the guidance on risk assessments and mitigation, data law compliance, intellectual property, and other AI-related topics a vital resource.

Companies, lawyers, privacy officers, compliance managers, as well as human resources, marketing and IT professionals are increasingly facing privacy issues. While plenty of information is freely available, it can be difficult to grasp a problem quickly, without getting lost in details and advocacy. This is where Determann’s Field Guide to Data Privacy Law comes into its own – identifying key issues and providing concise practical guidance for an increasingly complex field shaped by rapid change in international laws, technology and society.New to this Edition:Practical tips for compliance automation, data protection impact assessmentsExpanded and additional checklists for CCPA, GDPR, and general complianceUpdated guidance regarding protecting privacy and data of children and youthsStrategic tips regarding jurisdictional nexus, corporate structures, and “one stop shop” benefitsCybersecurity and data breach notification trends, requirements, and incident preparedness checklistArtificial intelligence systems development and deployment approaches, risks, and mitigation measuresGuidance based on new U.S. state privacy laws, GDPR enforcement, EU AI and Digital Regulations, and other new lawsUpdated comparison of pros and cons of cross-border transfer compliance mechanisms, including the new EU–U.S. Data Privacy FrameworkOperationalizing considerations regarding dark patterns, anonymization, tracking, information selling and sharing, and automated decision-makingKey Features:Direction on geographical and topical prioritizationA–Z of data privacy provides snapshot of key topicsClear structure and comprehensive Index facilitate quick referenceGlossaries of key acronyms and terms help navigation through the fieldPractical guide to starting, maintaining and auditing compliance programsConcise overview of practical requirements of data privacy law compliance worldwideAdvice on drafting documentation and tools to complete an end-to-end process, including sample documentation and checklists

Companies, lawyers, privacy officers, compliance managers, as well as human resources, marketing and IT professionals are increasingly facing privacy issues. While plenty of information is freely available, it can be difficult to grasp a problem quickly, without getting lost in details and advocacy. This is where Determann’s Field Guide to Data Privacy Law comes into its own – identifying key issues and providing concise practical guidance for an increasingly complex field shaped by rapid change in international laws, technology and society.New to this Edition:Practical tips for compliance automation, data protection impact assessmentsExpanded and additional checklists for CCPA, GDPR, and general complianceUpdated guidance regarding protecting privacy and data of children and youthsStrategic tips regarding jurisdictional nexus, corporate structures, and “one stop shop” benefitsCybersecurity and data breach notification trends, requirements, and incident preparedness checklistArtificial intelligence systems development and deployment approaches, risks, and mitigation measuresGuidance based on new U.S. state privacy laws, GDPR enforcement, EU AI and Digital Regulations, and other new lawsUpdated comparison of pros and cons of cross-border transfer compliance mechanisms, including the new EU–U.S. Data Privacy FrameworkOperationalizing considerations regarding dark patterns, anonymization, tracking, information selling and sharing, and automated decision-makingKey Features:Direction on geographical and topical prioritizationA–Z of data privacy provides snapshot of key topicsClear structure and comprehensive Index facilitate quick referenceGlossaries of key acronyms and terms help navigation through the fieldPractical guide to starting, maintaining and auditing compliance programsConcise overview of practical requirements of data privacy law compliance worldwideAdvice on drafting documentation and tools to complete an end-to-end process, including sample documentation and checklists

In the minds of some, complying with the U.S. Foreign Corrupt Practices Act and related laws is easy: 'you just don't bribe.' The reality, as sophisticated professionals should know, is not so simple. This book is for professionals across various disciplines who can assist in risk management and want to learn strategies for minimizing risk under aggressively enforced bribery laws. Written by a leading expert with real-world practice experience, this book elevates knowledge and skills through a comprehensive analysis of all legal authority and other relevant sources of information. It also guides readers through various components of compliance best practices from the fundamentals of conducting a risk assessment, to effectively communicating compliance expectations, to implementing and overseeing compliance strategies. With a focus on active learning, this book allows readers to assess their acquired knowledge through various issue-spotting scenarios and skills exercises and thereby gain confidence in their specific job functions. Anyone seeking an informed and comprehensive understanding of the modern era of enforcement of bribery laws and related risk management strategies will find this book to be a valuable resource including in-house compliance personnel, FCPA and related practitioners, board of director members and executive officers.

In the minds of some, complying with the U.S. Foreign Corrupt Practices Act and related laws is easy: 'you just don't bribe.' The reality, as sophisticated professionals should know, is not so simple. This book is for professionals across various disciplines who can assist in risk management and want to learn strategies for minimizing risk under aggressively enforced bribery laws. Written by a leading expert with real-world practice experience, this book elevates knowledge and skills through a comprehensive analysis of all legal authority and other relevant sources of information. It also guides readers through various components of compliance best practices from the fundamentals of conducting a risk assessment, to effectively communicating compliance expectations, to implementing and overseeing compliance strategies. With a focus on active learning, this book allows readers to assess their acquired knowledge through various issue-spotting scenarios and skills exercises and thereby gain confidence in their specific job functions. Anyone seeking an informed and comprehensive understanding of the modern era of enforcement of bribery laws and related risk management strategies will find this book to be a valuable resource including in-house compliance personnel, FCPA and related practitioners, board of director members and executive officers.

Anti-Money Laundering Regulation and Compliance: Key Problems and Practice Areas is a comprehensive treatment of the anti-money laundering/combatting the financing of terrorism (AML/CFT) and sanctions compliance programs, recordkeeping and reporting requirements, and the best practices under the Bank Secrecy Act (BSA) and sanctions regulatory regimes. AML/CFT and sanctions provisions are highly interrelated. Onboarding and customer due diligence requirements generate the data entered into transaction monitoring and screening systems.This book is unique in placing the prescriptive and program elements within the 'risk-based approach'that is foundational to AML/CFT compliance and the related risk management systems. Relatedly, the book describes corporate governance best practices and the 'three lines of defense' model that hold management accountable for exposure to money laundering and terrorist financing risks created by their business strategies. The book includes practical guidance on AML/CFT and sanctions model risk management, reflecting firms' growing reliance on machine learning and AI compliance solutions and the compliance risk of firms that adhere to Federal Reserve model risk management expectations. Also unique in the literature, it identifies a 'compliance paradox' that arises from the sharp tension between firms' modes of generating revenue and the law enforcement focus of AML/CFT and sanctions regulation and explains how this tension can compromise compliance.Anti-Money Laundering Regulation and Compliance also serves as a go-to guide for practitioners and beginners in the field or as a required text in graduate, certificate, and law school programs.

Anti-Money Laundering Regulation and Compliance: Key Problems and Practice Areas is a comprehensive treatment of the anti-money laundering/combatting the financing of terrorism (AML/CFT) and sanctions compliance programs, recordkeeping and reporting requirements, and the best practices under the Bank Secrecy Act (BSA) and sanctions regulatory regimes. AML/CFT and sanctions provisions are highly interrelated. Onboarding and customer due diligence requirements generate the data entered into transaction monitoring and screening systems.This book is unique in placing the prescriptive and program elements within the 'risk-based approach'that is foundational to AML/CFT compliance and the related risk management systems. Relatedly, the book describes corporate governance best practices and the 'three lines of defense' model that hold management accountable for exposure to money laundering and terrorist financing risks created by their business strategies. The book includes practical guidance on AML/CFT and sanctions model risk management, reflecting firms' growing reliance on machine learning and AI compliance solutions and the compliance risk of firms that adhere to Federal Reserve model risk management expectations. Also unique in the literature, it identifies a 'compliance paradox' that arises from the sharp tension between firms' modes of generating revenue and the law enforcement focus of AML/CFT and sanctions regulation and explains how this tension can compromise compliance.Anti-Money Laundering Regulation and Compliance also serves as a go-to guide for practitioners and beginners in the field or as a required text in graduate, certificate, and law school programs.

This indispensible book offers step-by-step guidance to small and mid-sized companies and non-profit organizations in managing corruption risks in overseas markets. It covers how and why to build a culture of integrity, develop a risk-based anti-corruption compliance programme, and engage with other industry players in collective action against shared corruption challenges. The focus on culture, compliance and collective action helps resource-stretched companies to build a strong foundation for a healthy and flourishing organization, as well as contribute towards raising standards of integrity across their industry.Key features include: Guidance for creating and contributing to collective actionQuick definitions, tips and practical tools such as checklistsA hands-on approach with an emphasis on culture and leadershipCase studies and real-life examples of both corruption risks and the importance of a strong compliance culture.Anti-Corruption Compliance will be an invaluable resource for senior managers of small and mid-sized organizations in minimizing exposure to corruption risks in international markets. It will also prove useful to corporate lawyers and others involved with compliance functions in larger companies, as well as to academics and students of corporate law with an interest in anti-corruption and compliance.

This indispensible book offers step-by-step guidance to small and mid-sized companies and non-profit organizations in managing corruption risks in overseas markets. It covers how and why to build a culture of integrity, develop a risk-based anti-corruption compliance programme, and engage with other industry players in collective action against shared corruption challenges. The focus on culture, compliance and collective action helps resource-stretched companies to build a strong foundation for a healthy and flourishing organization, as well as contribute towards raising standards of integrity across their industry.Key features include: Guidance for creating and contributing to collective actionQuick definitions, tips and practical tools such as checklistsA hands-on approach with an emphasis on culture and leadershipCase studies and real-life examples of both corruption risks and the importance of a strong compliance culture.Anti-Corruption Compliance will be an invaluable resource for senior managers of small and mid-sized organizations in minimizing exposure to corruption risks in international markets. It will also prove useful to corporate lawyers and others involved with compliance functions in larger companies, as well as to academics and students of corporate law with an interest in anti-corruption and compliance.

Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.