Title The Business Guide to Effective Compliance and Ethics
Subtitle Why Compliance Isn’t Working - and How to Fix It
Author Andrew Hayward, Tony Osborn
ISBN 9780749482978
List price GBP 34.99
Price outside India Available on Request
Original price
Binding Paperback
No of pages 376
Book size 153 x 235 mm
Publishing year 2019
Original publisher Kogan Page Limited
Published in India by .
Exclusive distributors Viva Books Private Limited
Sales territory India, Sri Lanka, Bangladesh, Pakistan, Nepal, .
Status New Arrival
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“The ‘masters and apprentices’ book of compliance - practical insights for the professional and lay person alike.”

Christopher Wright, Head of Compliance, LafargeHolcim


“The authors of this book succeeded in explaining precisely, pleasantly and in an easily understandable way what everybody should know and practice in compliance and ethics. Nobody may say anymore: ‘I didn’t know how to do it’.”

François Vincke, Member of the Brussels Bar, Vice-Chair ICC Commission Corporate Responsibility and Anti-corruption


“The engaging style of this book will take its audience beyond the word ‘compliance’ - seen as so negative by so many demonstrates how to win over hearts and minds. The stories are a useful and practical way to make learning more memorable and therefore effective. The authors are to be commended for their approach in delivering a must read for every CECO... A seminal textbook for those teaching business ethics at universities and business schools.”

Philippa Foster Back CBE, Director, Institute of Business Ethics


“Just as importantly, the work provides the right balance between ethics and values on the one hand and compliance programme elements on the other in discussing what works and what hasn’t. Brilliantly written and easy to understand, it provides meaningful insight for both the experienced compliance professional and newcomers to the field. It masterfully weaves real stories and anecdotes into the materials in an entertaining way, bringing the discussion to life. Destined to become a classic in the compliance literature, it is required reading for anyone on the compliance journey.”

Keith M. Korenchuk, VP & Chief Compliance Officer, Diagnostic Platform, Danaher Corporation/Beckman Coulter Inc. and former partner, Arnold & Porter LLP


Across the world organizations continue to be damaged and brought down by systemic non-compliance or the misdeeds of a few, and newspapers abound with examples of corporate and NGO scandals and crimes. This despite the increasing ethical demands stakeholders are making of business, the exposing power of social media, the proliferating requirements of compliance laws and regulations, and the burgeoning numbers of policies, procedures and compliance officers which have been put in place in response. So what’s going on? Why isn’t compliance working? The Business Guide to Effective Compliance and Ethics examines how rules-based, tick-box, defensible compliance continues to fail, and lays out a new approach for organizations seeking to flourish and succeed.

Written for any organization and businesses large and small, it provides clear, thorough and practical guidance for practitioners and decision-makers. It explains in layman’s terms the skills, tools and mindset needed to develop and deliver a best practice compliance and ethics programme - one that meets the requirements made by law, stakeholders and society, and protects your organization from risk of fines, penalties and reputational damage. But this is also a book for all those interested in how to build employee engagement and motivation. The Business Guide to Effective Compliance and Ethics demonstrates the value - including competitive advantage, career satisfaction, employee and customer loyalty, and brand enhancement - that a truly effective compliance and ethics programme can bring when it is working hand in hand with a values-based culture of shared ownership.


Key Features:

  • Discusses compliance in broader terms than other books in the market, considering social, psychological, global and cultural factors in order to better understand how to collaborate, communicate and engage others in the organization
  • Provides precision, but also allows non-specialist readers to access the information provided, including expertise on the typical traps to be aware of, policy and process and how to develop an ethics and compliance strategy
  • Provides an ideal self-development toolkit that readers can access on a day-to-day basis, offering a clear, simple route to quickly find and apply expertise
  • Gives professionals clear guidance to key issues, using accessible language and cutting through jargon to define ethics and compliance and offer practical advice and ideas
  • Uses storytelling and scenarios to help readers apply theory to real-life situations, bringing issues to life in the human, social and political contexts relevant to the workplace


List of figures and tables



How to use this book

Part One

Chapter 1: Why compliance isn’t working • Fatal flaws and collateral damage • Culture • How to be ineffective • ‘Defensible compliance’ • Compliance as impediment: doing the legal minimum • The Age of Damage • Making compliance effective • What creates effective compliance? • Zero harm • Compliance, culture and ethics • In a nutshell • 10 reasons why compliance fails • Note

Chapter 2: The meaning, origins and role of compliance and ethics • Why have compliance? • Compliance: a short history • What is ‘compliance’? • What are ‘ethics’? • What about ‘business ethics’? • What is ‘integrity’? • Compliance and ethics in practice • So, what is a ‘compliance and ethics programme’? • The consequences of failure • The rewards of success • Notes

Chapter 3: Barriers to success • ‘Here be dragons’ • The dragon of doubt • Three attitudes: The sceptic, the champion and the in-betweener • So... who is responsible for compliance? • Psychology and human nature • Nudge theory • Danger? What danger? Burning platforms • Silence • Incentives • Culture • Resources: ‘The cuckoo in the nest’ • Management time and attention • Poor skills, bad approaches • Short-termism • Notes

Chapter 4: Looking for answers • Mission impossible? • So is it all about culture? • The art of persuasion • One size doesn’t fit all • Personal versus business values • Simplicity • Storytelling • Hire the right people • Compliance: with us, not against us • Bureaucracy can be good! • Integrated compliance and ethics • A culture of responsible accountability • Incentivizing accountability • What’s in it for me? • A little nudge can deliver big change... • Technology: friend or foe? • What if doing the ‘right thing’ ethically looks like the ‘wrong thing’ commercially? • In it for the long term • Stop saying ‘compliance’! • Keep it alive • Notes

Part Two

Chapter 5: The anatomy of a compliance and ethics programme • The road to compliance • Starting points • What about small and medium-sized enterprises? • Key programme components • The nine components used in this book • The role of Compliance and Ethics Committees • ‘Hanging in the balance’ • Useful sources of guidance • Across the minefield: compliance and ethics meets real life • Notes

Chapter 6: Top-level commitment • Introduction • Tone at the top... • … and everywhere else • What senior leadership commitment looks like • Looking for champions – and working with them • What makes top-level commitment? • Why • Top-level commitment as an ‘enabler’ • Top-level commitment through ‘enforcement’ • In conclusion • Across the minefield: compliance and ethics meets real life • Note

Chapter 7: Risk assessment and due diligence • Before we begin • The psychology of risk • The problem with assessing risk • Why risk assess? • What is ‘reasonable risk management’? • When risk assess? • Risk assessment in compliance and ethics programme planning and design • Third parties’ compliance programmes • In summary • Across the minefield: compliance and ethics meets real life • Notes

Chapter 8: Code of conduct and policies • We the people • What is a code – and what is it for? • The beginning, not the end • How to create an effective code of conduct • Corporate policies • How much detail should a code provide? • ‘Never mind the supplier’s own code – make them comply with ours’ • Some common but problematic policy areas • When there’s a conflict between your minimum standards and local culture or laws • Across the minefield: compliance and ethics meets real life • Notes

Chapter 9: Communication, education and training • La grande illusion • Communication versus education and training • Creating awareness • Training versus education • Making training land with your audience • Making e-learning more effective • Communication • Collective action – including communication with governments, ministries, local communities, NGOs, embassies • Always remember... • Across the minefield: compliance and ethics meets real life • Notes

Chapter 10: Whistle-blowing hotline and speak-up culture • The importance of whistle-blowing • The problem with whistle-blowing • The importance of creating a process people can trust • Regional and cultural differences • Anonymity • Investigation and remediation of whistle-blowing cases • What types of cases should be regarded or treated as ‘whistleblowing’? • Why use an external whistle-blowing helpline? • Making it live and work • Branding • The importance of communicating success • The characteristics of a speak-up culture • Across the minefield: compliance and ethics meets real life • Notes

Chapter 11: Procedures and controls • What are ‘procedures and controls’, and what are they for? • Identifying where procedures are necessary • How procedures can help • Types of procedure and controls • The dreaded compliance clause • Some key procedures and controls specific to compliance and ethics • Across the minefield: compliance and ethics meets real life • Notes

Chapter 12: Investigations, remediation and enforcement • When the need for an investigation arises • The importance of enforcement • Being fair, consistent and even-handed • Having the right skills and guidance • Managing investigations: Some good practice guidance • The investigator’s perspective and the pitfalls to beware • Across the minefield: compliance and ethics meets real life • Note

Chapter 13: Assurance and continuous improvement • The need for assurance • Monitoring and auditing • Implementing a compliance and ethics assurance framework • Quantitative versus qualitative assurance • An independent compliance monitor • Measurement and reporting • The road to continuous improvement • Across the minefield: compliance and ethics meets real life

Chapter 14: Implementation: The Compliance and Ethics function – and everyone else • Hammers and nails • The position of the Compliance and Ethics function in the organization • Structuring the Compliance and Ethics function • Examples of how Compliance and Ethics might be structured • Centralized versus decentralized Compliance and Ethics function • Centralized versus decentralized compliance and ethics programme • Implementing a compliance programme in JVs, fiercely autonomous subsidiaries and conglomerates • Deploying the right skills and resources • The (very) ideal model of a chief ethics and compliance officer • Role description for a chief ethics and compliance officer • ‘Mind the gap’ • Other specialist functional responsibilities • The role of management • The role of employees • So in the end, who is responsible for effective compliance? • Across the minefield: compliance and ethics meets real life • Note

A final word: So what’s the future of compliance and ethics?


About the Authors:

Andrew Hayward is a lawyer with more than a dozen years’ experience of compliance roles in three sectors. Having previously worked for AstraZeneca and Balfour Beatty, he is now Head of Compliance and Ethics at Subsea 7, an engineering, construction and services contractor to the offshore energy industry. He also worked with the British Standards Institute on the development of the first
anti-bribery standard (BS10500) and was part of the UK delegation on the development of the International Anti-Bribery Standard (BS ISO 37001:2016).

Tony Osborn is an award-winning writer, creative consultant and content developer. He has worked with leading corporations around the world to help them find and tell their stories and connect with stakeholders, and has also worked extensively in broadcast media and for major public events. He helped to shape and write Serco’s online and printed Code of Conduct, and, with Andrew Hayward, the award-winning Balfour Beatty Code of Conduct.

Target Audience:

It is a seminal textbook for those teaching business ethics at universities and business schools. It is the ‘masters and apprentices’ book of compliance - practical insights for the professional and lay person alike. A must read for every Chief Ethics and Compliance Officer (CECO).


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