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• Intro; Vorwort zur
• 2. Auflage; Vorwort zur
• 1. Auflage; Inhaltsverzeichnis; Abkürzungsverzeichnis; „Sucht am Arbeitsplatz": Betriebliche Suchtprävention in Österreich; Arbeitsrechtliche Verbote und Kontrollmöglichkeiten in Bezug auf Drogen- bzw Alkoholkonsum; Die Auswirkungen von drogen- und alkoholbedingten Arbeitsausfällen auf arbeitsrechtliche Ansprüche und Kündigungsschutz; Die Entlassung des Arbeitnehmers im Zusammenhang mit Drogen- bzw Alkoholkonsum

• Arbeitsrechtliche Rechte und Pflichten sowie Beendigungsmöglichkeiten im Fall von Drogen- bzw Alkoholkonsum bei Lehrlingen und jugendlichen ArbeitnehmerInnenDrogen- bzw Alkoholkonsum im Lichte der Sozialversicherung; „blauPAUSE"
• Kreative Zugänge zur betrieblichen Suchtprävention mit Hilfe interaktiven Theaters; Autorenverzeichnis

Legal Method Essentials is an invaluable study guide for students. It provides up-to-date, concise and comprehensive coverage of Legal Method and is the ideal text for students who come new to the subject and for those preparing for exams. This book is also an excellent resource for those who need to refresh or update their knowledge.
(source: Nielsen Book Data)

• Preface
• Chemical Assessments: Agencies Coordinate Activities, but Additional Action Could Enhance Efforts
• Chemicals Management: Observations on Human Health Risk Assessment & Management by Selected Foreign Programs
• The Toxic Substances Control Act (TSCA): A Summary of the Act & Its Major Requirements
• Index.
• (source: Nielsen Book Data)

With thousands of chemicals in commercial use in the United States, decision makers rely on toxicity assessment information to examine the risks these substances may pose. Several key federal agencies -- including the Agency for Toxic Substances and Disease Registry (ATSDR), the Environmental Protection Agency (EPA), the National Institute for Occupational Safety and Health (NIOSH), the National Toxicology Program (NTP), and the Occupational Safety and Health Administration (OSHA) -- as well as state agencies, assess the toxicity of chemicals. This book describes the chemical toxicity assessment activities selected federal and state agencies undertake; assesses the extent to which these federal agencies chemical toxicity assessment activities are fragmented, overlapping, or duplicative; and assesses the extent to which these federal and state agencies coordinate their chemical toxicity assessment activities and challenges in doing so.
(source: Nielsen Book Data)

For many knowledge-intensive or technology-based start-up companies, the professional management of intellectual property (IP) is critically important. In fact, IP may be the main asset by which the value of a young company is determined and on which decisions to invest in the company are based - and so IP needs to be considered very early in the planning process. The Commercialising Intellectual Property series of ebooks provides a detailed grounding for innovators and researchers. The eighth ebook in the series, Commercialising Intellectual Property, looks at developing an IP strategy, which in turn decides the levels and range of IP protection required by the business / research institution. The a detailed technology evaluation leads to the development of a comprehensive technology transfer package for a licensing partner / IP sale or preparation for a campus company spin-out, as appropriate.

For many knowledge-intensive or technology-based start-up companies, the professional management of intellectual property (IP) is critically important. In fact, IP may be the main asset by which the value of a young company is determined and on which decisions to invest in the company are based - and so IP needs to be considered very early in the planning process. The Commercialising Intellectual Property series of ebooks provides a detailed grounding for innovators and researchers. The fifth ebook in the series, Due Diligence and Intellectual Property, looks at due diligence as a process that establishes the integrity, strength and value of IP. In particular, it looks at the key elements of due diligence, considering both the legal basis for IP and the level of IP protection.

• List of Case Studies xiii Preface xv How to Use This Book xviii Disclaimer xix Internal Revenue Service Circular 230 Disclosure xx Acknowledgments xxiii
• CHAPTER 1 So You Want to Be a Global Nonprofit? 1 1.1 What Do You Really Want to Accomplish? 1 1.2 Spectrum of International Activities 2 1.3 Overview of International Grantmaking 3 1.4 Directly Operating Foreign Programs 12 1.5 Global Fundraising 17 1.6 Legal Considerations: A Basic Framework 17 1.7 The Importance of Vigilance 25 1.8 So, You Still Want to Be a Global Nonprofit? 27
• CHAPTER 2 International Grantmaking by Public Charities 29 2.1 Public Charity or Private Foundation: Why Does It Matter? 30 2.2 What Is a Public Charity? 30 2.3 Basic Rules for Foreign Grantmaking 32 2.4 American Friends of Organizations 39 2.5 Special Rules for Donor-Advised Funds 39 2.6 Other U.S. Intermediaries 40 2.7 Review and Further Considerations 40
• CHAPTER 3 International Grantmaking by Private Foundations 43 3.1 What Is a Private Foundation? 43 3.2 Should a Private Foundation Make Cross-Border Grants? 45 3.3 Permitted Grants and Disbursements 45 3.4 International Grantmaking: Special Requirements for Private Foundations 48 3.5 U.S. Withholding Tax on Disbursements of Grant Funds 52 3.6 Review and Further Considerations 52
• CHAPTER 4 Going Deeper: Operating a Foreign Program 55 4.1 Are You Determined to Move Beyond Grantmaking? 55 4.2 Is Anybody Else Doing It? 56 4.3 Are You Sure You Will Be Allowed to Do What You Want to Do? 58 4.4 Alternative Models for Operating a Foreign Program 59 4.5 Establishing a Foreign Office 60 4.6 Do You Need to Do It Alone? 66 4.7 Staffing a Foreign Office: Consequences to the Organization 69 4.8 Will Your U.S. Organization Be Taxed by a Foreign Country? 70 4.9 What Happens If Your Organization Conducts Business Activities in a Foreign Country? 76 4.10 Foreign Reporting Requirements 79 4.11 U.S. Reporting Requirements 79 4.12 Review and Further Considerations 79
• CHAPTER 5 Forming and Operating through a Foreign Legal Entity 85 5.1 Establishing a Foreign Legal Entity 85 5.2 How Hard Will It Be to Form a Foreign Legal Entity? 93 5.3 What Kind of Legal Entity Should You Create, and Why Should You Care? 94 5.4 Do You Want a Model of Control or Collaboration, or Both? 102 5.5 Control 103 5.6 Collaboration 107 5.7 Two Case Studies: One Very Large and One Very Small Organization 108 5.8 Headquarters Offices: Centralized versus Decentralized Services 112 5.9 Shared Employees 120 5.10 Will a Foreign Legal Entity Be Tax-Exempt in Its Local Country? 121 5.11 Will a Foreign Legal Entity Be Taxed in the United States? 123 5.12 The Importance of Keeping U.S. and Foreign Activities Separate 125 5.13 Consider the Burdens of Maintaining Two or More Separate Legal Entities 126 5.14 For-Profit Subsidiaries 127 5.15 Soliciting Funds from U.S. Donors 127 5.16 Review and Further Considerations 128
• CHAPTER 6 Staffing Foreign Operations: Employees and Volunteers 133 6.1 Staffing Foreign Operations: Will You Send U.S. Staff or Hire Locally? 133 6.2 Sending People Overseas: Initial Considerations 134 6.3 If You Send U.S. Employees to Work in a Foreign Country, Will They Be Taxed There? 135 6.4 If Your Employees Are Taxed in a Foreign Country, Will They Still Be Taxed in the United States? 137 6.5 Making Payments to People Working in Foreign Countries 141 6.6 Hiring Locally 142 6.7 Hiring or Sending Non-U.S. Citizens/Residents to Work in the United States 143 6.8 Special Considerations for Volunteers 146 6.9 Review and Further Considerations 148
• CHAPTER 7 Raising Funds Globally 153 7.1 Why Do You Want to Raise Funds in a Foreign Country? 153 7.2 Will You Be Permitted to Solicit Contributions in a Foreign Country? 154 7.3 Does the Foreign Country Provide Tax Benefits, and Are They Important to Your Donors? 155 7.4 Is a Separate Legal Entity Required? 156 7.5 Tax Benefits for Cross-Border Philanthropy 158 7.6 Exceptions to the Separate Legal Entity Requirement for Fundraising in Foreign Countries 162 7.7 Structuring Relationships among Fundraising and Operating Entities 166 7.8 Keep It as Simple as Possible 167 7.9 Review and Further Considerations 168
• CHAPTER 8 Additional U.S. Laws and Reporting Requirements 173 8.1 Anti-Terrorism Compliance 173 8.2 Export Controls 181 8.3 Anti-Boycott Rules 182 8.4 Anti-Bribery Rules 184 8.5 Lobbying and Political Activity 188 8.6 Foreign Funding of Lobbying and Propaganda 193 8.7 U.S. Individuals Working in Foreign Countries 193 8.8 Non-U.S. Individuals Working in the U.S.: Verifying Legal Status 194 8.9 Financial Reporting 195 8.10 U.S. Tax Reporting of Foreign Activities 195 8.11 U.S. Tax Withholding on Payments to Non-U.S. Citizens or Residents 197 8.12 Reporting of Foreign Financial Assets 202 8.13 Review and Further Considerations 204
• CHAPTER 9 Additional Foreign Legal and Practical Considerations 211 9.1 Finding the Right Local Counsel 211 9.2 Anti-Terrorism Restrictions 213 9.3 Restrictions on Cross-Border Funding 215 9.4 Restrictions on Sending Goods across Borders 217 9.5 Anti-Bribery Laws and Avoiding Corruption 218 9.6 Restrictions on Political Activity and Lobbying 221 9.7 Protecting Trademarks, Copyrights, and Other Intellectual Property 223 9.8 Data Privacy Laws 229 9.9 Privacy 231 9.10 Managing Multiple Currencies and Currency Controls 232 9.11 International Travel and Security 233 9.12 Insurance Matters 233 9.13 Acquiring Real Estate 234 9.14 Value Added Tax (VAT) 234 9.15 Other (Non-Income) Taxes 236 9.16 Governmental Reporting Requirements: Financial, Tax, and Others 238 9.17 Market and Political Impact of Foreign Direct Services 239 9.18 Review and Further Considerations 239
• CHAPTER 10 Evolution of a Global Organization: Half the Sky Foundation 245 10.1 Seeing a Need and Addressing It with Passion 245 10.2 Half the Sky's Experience in China 247 10.3 Legal Status of HTS in China 252 10.4 What Has HTS Learned about Working in China? 254 10.5 Developing a Global Fundraising Network 255 10.6 Closing Thoughts 259 APPENDIX A Glossary of Terms 261 APPENDIX B Additional Resources 271 Resources for 501(c)(3) Organizations 271 Resources for Private Foundations 271 International Activities of Nonprofit Organizations 272 U.S. Intermediary Organizations for International Grantmaking 272 Resources for Cross-Border Grantmakers 272 Resources for Finding International Collaborators 273 Resources on Foreign Country NGO Laws 273 Avoiding Participation in Corruption (Anti-Bribery) 273 Updates on Anti-Terrorism Policies and Their Impact on Nonprofit Organizations 274 Intellectual Property 274 APPENDIX C U.S. Bilateral Income Tax Treaties 275 About the Companion Website 277 About the Author 279 Index 281.
• (source: Nielsen Book Data)

• Preface How to Use This Book Disclaimer Internal Revenue Service Circular 230 Disclosure Acknowledgments
• Chapter 1 So You Want to Be a Global Nonprofit? 1.1 What Do You Really Want to Accomplish? 1.2 Spectrum of International Activities 1.3 Overview of International Grantmaking 1.4 Directly Operating Foreign Programs 1.5 Global Fundraising 1.6 Legal Considerations: A Basic Framework 1.7 The Importance of Vigilance 1.8 So, You Still Want to Be a Global Nonprofit?
• Chapter 2 International Grantmaking by Public Charities 2.1 Public Charity or Private Foundation: Why Does It Matter? 2.2 What Is a Public Charity? 2.3 Basic Rules for Foreign Grantmaking 2.4 American Friends of Organizations 2.5 Special Rules for Donor-advised Funds 2.6 Other U.S. Intermediaries 2.7 Review and Further Considerations
• Chapter 3 International Grantmaking by Private Foundations 3.1 What is a Private Foundation? 3.2 Should a Private Foundation Make Cross-border Grants? 3.3 Permitted Grants and Disbursements 3.4 International Grantmaking: Special Requirements for Private Foundations 3.5 U.S. Withholding Tax on Disbursements of Grant Funds 3.6 Review and Further Considerations
• Chapter 4 Going Deeper: Operating a Foreign Program 4.1 Are You Determined to Move Beyond Grantmaking? 4.2 Is Anybody Else Doing It? 4.3 Are You Sure You Will Be Allowed to Do What You Want to Do? 4.4 Alternative Models for Operating a Foreign Program 4.5 Establishing a Foreign Office 4.6 Case Study: World Association for Children and Parents (WACAP) 4.7 Do You Need to Do It Alone? 4.8 Case Study: Agros International 4.9 Staffing a Foreign Office: Consequences to the Organization 4.10 Will Your U.S. Organization Be Taxed by a Foreign Country? 4.11 What Happens If Your Organization Conducts Business Activities in a Foreign Country? 4.12 Foreign Reporting Requirements 4.13 U.S. Reporting Requirements 4.14 Review and Further Considerations
• Chapter 5 Forming and Operating through a Foreign Legal Entity 5.1 Establishing a Foreign Legal Entity 5.2 Case Study: Ashesi University (Ashesi) 5.3 How Hard Will It Be to Form a Foreign Legal Entity? 5.4 What Kind of Legal Entity Should You Create, and why Should You Care? 5.5 Do You Want a Model of Control or Collaboration, or Both? 5.6 Control 5.7 Collaboration 5.8 Two Case Studies: One Very Large and One Very Small Organization 5.9 Headquarters Offices: Centralized Versus Decentralized Services 5.10 Shared Employees 5.11 Case Study: Social Venture Partners International (SVPI) 5.12 Will a Foreign Legal Entity Be Tax-exempt in Its Local Country? 5.13 Will a Foreign Legal Entity Be Taxed in the U.S.? 5.14 The Importance of Keeping U.S. and Foreign Activities Separate 5.15 Consider the Burdens of Maintaining Two or More Separate Legal Entities 5.16 For-profit Subsidiaries 5.17 Soliciting Funds from U.S. Donors 5.18 Review and Further Considerations
• Chapter 6 Staffing Foreign Operations: Employees and Volunteers 6.1 Staffing Foreign Operations: Will You Send U.S. Staff or Hire Locally? 6.2 Sending People Overseas: Initial Considerations 6.3 If You Send U.S. Employees to Work in a Foreign Country, Will They Be Taxed There? 6.4 If Your Employees Are Taxed in a Foreign Country, Will They Still Be Taxed in the U.S.? 6.5 Making Payments to People Working in Foreign Countries 6.6 Hiring locally 6.7 Hiring or Sending Non-U.S. Citizens/Residents to Work in the U.S. 6.8 Special Considerations for Volunteers 6.9 Review and Further Considerations
• Chapter 7 Raising Funds Globally 7.1 Why Do You Want to Raise Funds in a Foreign Country? 7.2 Will You Be Permitted to Solicit Contributions in a Foreign Country? 7.3 Does the Foreign Country Provide Tax Benefits, and are they Important to your Donors? 7.4 Is a Separate Legal Entity Required? 7.5 Tax Benefits for Cross-border Philanthropy 7.6 Exceptions to the Separate Legal Entity Requirement for Fundraising in Foreign Countries 7.7 Structuring Relationships Among Fundraising and Operating Entities 7.8 Keep It As Simple As Possible 7.9 Review and Further Considerations
• Chapter 8 Additional U.S. Laws and Reporting Requirements 8.1 Anti-terrorism Compliance 8.2 Export Controls 8.3 Anti-boycott Rules 8.4 Anti-bribery Rules 8.5 Lobbying and Political Activity 8.6 Foreign Funding of Lobbying and Propaganda 8.7 U.S. Individuals Working in Foreign Countries 8.8 Non-U.S. Individuals Working in the U.S: Verifying Legal Status 8.9 Financial Reporting 8.10 U.S. Tax Reporting of Foreign Activities 8.11 U.S. Tax Withholding on Payments to Non-U.S. Citizens or Residents 8.12 Reporting of Foreign Financial Assets 8.13 Review and Further Considerations
• Chapter 9 Additional Foreign Legal and Practical Considerations 9.1 Finding the Right Local Counsel 9.2 Anti-terrorism Restrictions 9.3 Restrictions on Cross-border Funding 9.4 Restrictions on Sending Goods across Borders 9.5 Anti-bribery Laws and Avoiding Corruption 9.6 Restrictions on Political Activity and Lobbying 9.7 Protecting Trademarks, Copyrights, and Other Intellectual Property 9.8 Data Privacy Laws 9.9 Privacy 9.10 Managing multiple currencies and currency controls 9.11 International Travel and Security 9.12 Insurance Matters 9.13 Acquiring Real Estate 9.14 Value Added Tax ( VAT ) 9.15 Other (Non-income) Taxes 9.16 Governmental Reporting Requirements: Financial, Tax, and Others 9.17 Market and Political Impact of Foreign Direct Services 9.18 Review and Further Considerations
• Chapter 10 Evolution of a Global Organization: Half the Sky Foundation 10.1 Seeing a Need and Addressing It with Passion 10.2 Half the Sky's Experience in China 10.2 How Can Foreign NGOs Operate in China? 10.3 Legal Status of HTS in China 10.4 What Has HTS Learned about Working in China? 10.5 Developing a Global Fundraising Network 10.5 Closing Thoughts Appendix A Glossary of Terms Appendix B Additional Resources Resources for 501(c)(3) organizations Resources for Private Foundations International Activities of Nonprofit Organizations U.S. Intermediary Organizations for International Grantmaking Resources for Cross-border Grantmakers Resources for Finding International Collaborators Resources on foreign country NGO laws Avoiding Participation in Corruption (Anti-bribery) Updates on Anti-terrorism Policies and Their Impact on Nonprofit Organizations Intellectual Property Appendix C U.S. Bilateral Income Tax Treaties About the Author Index.
• (source: Nielsen Book Data)

Solid guidance for the complex legal issues faced by international nonprofits When a nonprofit operates across borders, whether by making grants or directly operating programs, the interaction among legal requirements of two or more countries quickly becomes highly complex. How To Be A Global Nonprofit fills a need for legal and practical guidance for nonprofit organizations with international activities, and includes ten case studies to provide insights into the ways real organizations have dealt with various legal and practical issues. Along the way, it skillfully explores alternatives for advancing a nonprofit's mission across borders, while also looking at the legal and practical issues nonprofits encounter as they work internationally. Includes ten case studies based on interviews with large and small international nonprofits Offers a realistic sense of the complexity of legal and practical issues global nonprofits face Features a companion website with a variety of online tools and materials related to key concepts discussed in this book Not long ago international philanthropy was the province of large organizations like the Red Cross, UNICEF, and Save the Children. This has radically changed. How to Be a Global Nonprofit thoroughly explores the legal and practical issues nonprofits encounter as they work internationally and the resources required to deal with them.
(source: Nielsen Book Data)

• Foreword xiii Preface xvii Acknowledgments xxiii About the Author xxv
• CHAPTER 1 Jurisdiction of Regulators Who Regulates Whom and What 1 1.1 Federal Financial Regulatory Structure 2 1.2 The Securities and Exchange Commission (SEC) 3 1.3 The Financial Industry Regulatory Authority (FINRA) 6 1.4 The Commodity Futures Trading Commission (CFTC) 8 1.5 The National Futures Association (NFA) 10 1.6 The Department of Justice (DOJ) 12 1.7 Recent Regulatory Failures to Uncover Fraud 14 1.8 Expert Advice on Overlapping Regulations 19
• CHAPTER 2 How to Strengthen Governance and Compliance in Light of New Regulations 23 2.1 Dodd-Frank Act s Impact on Governance and Compliance 25 2.2 Managing Executive Compensation 29 2.3 Creating Effective Policies and Procedures 30 2.4 Ensuring Accountability within an Organization 32 2.5 Red Flags of an Unethical Culture 33 2.6 Ethical Decision-Making 34
• CHAPTER 3 How to Manage Whistleblowers Complaints 37 3.1 Oversight and Failures of the SEC s Whistleblower Program 37 3.2 The Dodd-Frank Act s Restructuring of the SEC s Whistleblower Program 41 3.3 Whistleblower Complaints to the SEC since the Restructuring of Its Program 43 3.4 The CFTC s New Whistleblower Program 45 3.5 Significant U.S. Supreme Court Decision on Whistleblower Complaints 46 3.6 Managing Complaints Brought to Internal Compliance Officials 47 3.7 Putting Appropriate Whistleblower Policies and Procedures in Place 51 3.8 Effect of the SEC and CFTC s New Whistleblower Programs 52
• CHAPTER 4 How to Defend SEC Examinations 55 4.1 SEC Authority to Conduct Examinations 55 4.2 SEC s Office of Compliance Inspections and Examinations (OCIE) 57 4.3 Types of SEC OCIE Exams 57 4.4 Preparation for the Exams 58 4.5 Process of Examinations 60 4.6 How the SEC Exam Concludes 65 4.7 SEC OCIE Examination Trends 66 4.8 Not Underestimating the SEC Examiners 67
• CHAPTER 5 How to Defend FINRA Examinations 69 5.1 FINRA Qualification Standards and Rules and Regulations 70 5.2 FINRA s Risk-Based Approach 71 5.3 FINRA s Regulatory and Examination Priorities 71 5.4 Differences between FINRA and SEC Exams 78 5.5 Types of FINRA Exams 79 5.6 Conduct of FINRA Exams 80 5.7 How the FINRA Exam Concludes 83 5.8 Educating the FINRA Examiners 84
• CHAPTER 6 How to Defend an NFA Examination 87 6.1 Types of Entities under the Jurisdiction of the NFA 87 6.2 Impact of the Dodd-Frank Act 90 6.3 NFA Examination Process 90 6.4 Preparing for an NFA Exam 92 6.5 Length and Conduct of the NFA Exam 93 6.6 How the NFA Exam Concludes 95 6.7 CFTC Examinations 96 6.8 Focusing on Strict Compliance with the Regulations 97
• CHAPTER 7 How to Defend SEC Enforcement Actions 99 7.1 SEC s Law Enforcement Function 99 7.2 How SEC Enforcement Actions are Triggered 101 7.3 Commencement of an SEC Enforcement Action 102 7.4 Converting the Inquiry to a Formal Investigation 103 7.5 Discovery Conducted by the SEC 104 7.6 The SEC Enforcement s Wells Process 105 7.7 Use of Experts in SEC Enforcement Proceedings 108 7.8 Settlement Discussions 109 7.9 Trends in SEC Enforcement 110 7.10 Minimizing Exposure in an SEC Enforcement Case 114
• CHAPTER 8 How to Defend FINRA Enforcement Actions 115 8.1 FINRA Disciplinary Actions 116 8.2 FINRA Enforcement Process 123 8.3 FINRA s Formal Proceeding 125 8.4 Challenges of FINRA Enforcement Process 125 8.5 Conduct of the FINRA Hearing 126 8.6 Settlement Possibilities 128 8.7 Disciplinary Sanctions Available to FINRA 128 8.8 Right to Appeal Decision of Hearing Panel 129 8.9 Recent Trends in FINRA Enforcement 129 8.10 Mounting an Aggressive Defense 130
• CHAPTER 9 How to Defend CFTC Enforcement Actions 131 9.1 Increased Aggressiveness on the Part of CFTC Enforcement 131 9.2 Types of Enforcement Actions Brought by the CFTC 133 9.3 Triggers for CFTC Enforcement Actions 137 9.4 CFTC Enforcement Process 137 9.5 Differences between CFTC and SEC Enforcement Proceedings 138 9.6 The CFTC Wells Process 139 9.7 CFTC Enforcement s Use of Experts 140 9.8 Settlement Discussions 141 9.9 CFTC Enforcement s Use of Administrative Proceedings 142 9.10 Trends in CFTC Enforcement 142 9.11 Flawed Assumptions about CFTC Enforcement Process 143 9.12 Strategies for CFTC Enforcement Cases 144
• CHAPTER 10 How to Defend NFA Enforcement Actions 147 10.1 NFA Disciplinary Actions 147 10.2 How Complaints are Triggered 148 10.3 Investigative Process 149 10.4 Settlement 150 10.5 The Hearing Panel and Hearing Committee 151 10.6 Conduct of the Hearing 152 10.7 Written Decision after the Hearing 153 10.8 Appeal of an Adverse Decision 153 10.9 The MRA Procedure 154 10.10 Types of Penalties Assessed by the NFA 155 10.11 Number and Types of Disciplinary Actions 156 10.12 Trends in NFA Enforcement 159 10.13 Preparing a Defense 159
• CHAPTER 11 How to Participate in the Regulatory Comment Process 161 11.1 Dodd-Frank Rulemaking 161 11.2 SEC Rulemaking Process 162 11.3 Candidates for Comments 163 11.4 Role of Trade Association in Comment Process 163 11.5 Content of the Comment Letter 165 11.6 Approaches to an Effective Comment Letter 168 11.7 Significance of the Economic Impact of Proposed Regulations 168 11.8 Requesting Meetings with Agency Officials 170 11.9 Submitting Comments after the Deadline 171 11.10 Learning about Rulemakings 171 11.11 Assistance from Outside Counsel 172
• CHAPTER 12 How to Defend FCPA Claims 173 12.1 FCPA Provisions 173 12.2 FCPA Enforcement Authority 174 12.3 Violations of the FCPA 175 12.4 Penalties for Violating the FCPA 176 12.5 FCPA Exemptions 176 12.6 DOJ/SEC Guidance 177 12.7 The U.K. Bribery Act 179 12.8 Devising Effective Compliance Programs 180 12.9 Training on Compliance Standards 181 12.10 Achieving a Culture of Compliance 181 12.11 Risk-based Due Diligence and Monitoring 182 12.12 Conducting FCPA Compliance Assessments 183 12.13 Importance of Risk Assessment 184 12.14 Management of Third Parties 185 12.15 Conducting Due Diligence on Acquisition Targets 187 12.16 The Triggers for an FCPA Enforcement Action 188 12.17 Self-disclosing Violations 189 12.18 Reducing Exposure 190
• CHAPTER 13 How to Conduct Internal Investigations 191 13.1 Limiting Exposure through Effective Internal Investigations 191 13.2 Lessons Learned from High-Profile Investigations 192 13.3 Commencing the Internal Investigation 193 13.4 Retaining an Outside Investigator 194 13.5 Initial Steps of Investigation Process 195 13.6 Methods of Obtaining Information 195 13.7 Collecting Documents 196 13.8 Strategies for Conducting Interviews 197 13.9 Briefing Management during an Investigation 200 13.10 Drafting the Investigative Report 201 13.11 Incorporating Recommendations for Improvement 201 13.12 Protecting Files Associated with Internal Investigation 202 13.13 Retaining the Investigative Report 204
• CHAPTER 14 Conclusion 205 14.1 Overlapping Jurisdictions after the Dodd-Frank Act 206 14.2 Regulatory Failures Post-Financial Crisis 209 14.3 Improving of Coordination between Regulatory Agencies 210 14.4 Understanding the Regulatory Climate 212 About the Website 215 Index 217.
• (source: Nielsen Book Data)

Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. * Strengthen internal compliance and governance programs * Manage whistleblower programs and conduct effective investigations * Understand how to minimize exposure and liability from Enforcement actions * Learn how to prepare for the different types of regulatory examinations * Minimize exposure from FCPA violations * Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.
(source: Nielsen Book Data)

• Preface: The Role of Government in the Transition to a Sustainable Economy vii Acknowledgments xv
• Chapter 1 What is Sustainability Management? 1
• Chapter 2 Why We Need Sustainability Public Policy 21
• Chapter 3 Policy Levers for Sustainability: The Federal Level 45
• Chapter 4 Policy Levers for Sustainability: The State Level 83
• Chapter 5 Policy Levers for Sustainability: The Local Level 123
• Chapter 6 Sustainability Measurement and Metrics 161
• Chapter 7 The Politics of Sustainability 187
• Chapter 8 Conclusion 217 References 227 About the Authors 263 Index 267.
• (source: Nielsen Book Data)

A complete guide to sustainability policy at the federal, state, and local levels Sustainability Policy: Hastening the Transition to a Cleaner Economy is a fundamental guide for public sector professionals new to sustainability policy development, implementation, strategy, and practice. Featuring detailed cases highlighting innovative sustainability initiatives, this book explores the elements that constitute effective policy, and the factors that can help or hinder implementation and adoption. Readers gain insight into policies in effect at the federal, state, and local levels, in the areas of water, energy, material use, and waste management, and the reasons why local policies are often the most innovative and successful. Discussion surrounding monitoring and measurement addresses the lack of standardization, as well as the government's critical role in leading the field toward generally accepted sustainability metrics, while outlining the reasons why certain policies are more feasible than others. This book is an introductory resource, written in non-technical language, and organized in a coherent manner that establishes foundational knowledge before introducing more complex issues. Even readers with little background in sustainability will gain insight into the current state of the field and the issues at hand. * Understand sustainability in public and private enterprises, including the role of government and public policy * Learn the current standing federal, state, and local policies surrounding sustainability * Discover what makes an effective sustainability policy, including measurement and evaluation metrics * Explore the politics and future of sustainability, and the barriers to change Sustainability is a hot topic in both the public and private sector, with vocal advocates on both sides of every issue, so developing effective policy is crucial. For public sector professionals entering the sustainability field, Introduction to Sustainability Policy & Management is a valuable resource.
(source: Nielsen Book Data)

• Preface
• The Animal Welfare Act: Background & Selected Legislation
• Humane Treatment of Farm Animals: Overview & Issues
• Humane Methods of Slaughter Act: Actions are Needed to Strengthen Enforcement
• Opening Statement of Dennis J. Kucinich, Chairman, Domestic Policy Subcommittee, Overight & Government Reform Committee - Hearing on "Continuing Problems in USDA's Enforcement of the Humane Methods of Slaughter Act"
• Statement of Jerold R. Mande, Deputy Under Secretary for Food Safety, Domestic Policy Subcomittee, Oversight & Government Reform Committee - Hearing on "Continuing Problems in USDA's Enforcement of the Humane Methods of Slaughter Act"
• Humane Methods of Slaughter Act: Weaknesses in USDA Enforcement (Statement of Lisa Shames, Director, Natural Resources & Environment)
• Statement of Dr. Dean Wyatt, FSIS Supervisory Public Health Veterinarian, Williston, Vermont, before the Domestic Policy Subcommittee - Hearing on "Continuing Problems in USDA's Enforcement of the Humane Methods of Slaughter Act"
• Testimony of Stan Painter, Chairman, National Joint Council of Food Inspection Local Unions, American Federation of Government Employees, AFL-CIO, before the Domestic Policy Subcommittee - Hearing on "Continuing Problems in USDA's Enforcement of the Human Methods of Slaughter Act"
• FSIS Directive: Human Handling & Slaughter of Livestock (U.S. Dept. of Agriculture, Food Safety & Inspection Service)
• Testimony of Mr. Bev Eggleston, before the Domestic Policy Subcommittee - Hearing on "Continuing Problems in USDA's Enforcement of the Humane Methods of Slaughter Act"
• Statement of Wayne Pacelle, President & CEO of The Humane Society of the United States, before the Domestic Policy Subcommittee - Hearing on "Continuing Problems in USDA's Enforcement of the Humane Methods of Slaughter Act"
• Brief Summaries of Federal Animal Protection Statutes
• Index.
• (source: Nielsen Book Data)

Animal protection activists in the United States have long sought legislation to modify or curtail some practices considered by U.S. agriculture to be acceptable or even necessary to animal health. USDA's Animal and Plant Health Inspection Service (APHIS) is responsible for enforcing the Animal Welfare Act, which requires minimum standards of care for certain warm-blooded animals bred for commercial sale, used in research, transported commercially, or exhibited to the public. The Human Methods of Slaughter Act governs the humane slaughter and handling of livestock at packing plants. This book examines the violations perpetrated under the Human Methods of Slaughter Act, and the Animal Welfare Act and advises where actions are needed to strengthen enforcement on the humane treatment of animal handling laws.
(source: Nielsen Book Data)

• Climate change : potential regulation of stationary greenhouse gas sources under the Clean Air Act / Larry Parker and James E. McCarthy
• Cars and climate : what can EPA do to control greenhouse gases from mobile sources / James E. McCarthy
• Legal consequences of EPA's endangerment finding for new motor vehicle greenhouse gas emissions / Robert Meltz
• The Supreme Court's climate change decision : Massachusetts v. EPA / Robert Meltz
• Testimony of Robert J. Meyers, Principal Deputy Assistant Administrator, Office of Air and Radiation, U.S. Environmental Protection Agency, before the Subcommittee on Energy and Air Quality, Committee on Energy and Commerce
• Summary of testimony of David D. Doniger, Policy Director, Climate Center, Natural Resources Defense Council
• Testimony of Lisa Heinzerling, Professor of Law, Georgetown University Law Center, before the Subcommittee on Energy and Air Quality of the Committee on Energy and Commerce, hearing on "strengths and weaknesses of regulating greenhouse gas emissions using existing Clean Air Act authorities"
• Testimony of Raymond Ludwiszewski, before the Subcommittee on Energy and Air Quality, hearing on "strengths and weaknesses of regulating greenhouse gas emissions using existing Clean Air Act authorities"
• Testimony of Peter Glaser, before the Subcommittee on Energy and Air Quality, hearing on "strengths and weaknesses of regulating greenhouse gas emissions under existing Clean Air Act authorities".

• 1. Introduction I. Approach and Scope of Book II. Terminology III. Structure of the Book Part I. Background to Case Studies 2. The Adoption of Part 6 of the Telecommunications Act 1997 (Cth) I. Introduction II. Background Information III. The Regulatory Design of Part 6 IV. Conclusion 3. The Challenges of Industry Rule-making I. Introduction II. The Rule-making Framework of the Communications Alliance III. The Procedural and Institutional Legitimacy of Traditional Rule-making IV. The Difficulties and Threats Posed by Industry Rule-making V. Conclusion
• Part II. Empirical Study of Part 6 Rule-making 4. The Conceptual Approach and Institutional Context I. Introduction II. Conceptual Approach III. The Institutional Context 5. The Consumer Contracts Code I. Working Committee Composition and Context II. Power III. Roles IV. Strategy V. Dispute Resolution VI. Conclusion 6. The Information on Accessibility Features for Telephone Equipment Code I. Working Committee Composition and Context II. Power III. Roles IV. Strategy V. Dispute Resolution VI. Conclusion 7. The Mobile Premium Services Code I. Working Committee Composition and Context II. Power III. Roles IV. Strategy V. Dispute Resolution VI. Conclusion
• Part III. Substantive Analysis of Case Studies 8. The Procedural and Institutional Legitimacy of Part 6 Rule-making I. Introduction II. The Politic of Part 6 Rule-making III. The Procedural and Institutional Legitimacy of Part 6 Rule-making IV. Conclusion 9. The Responsiveness of Part 6 Rule-making I. Introduction II. Defining Responsiveness III. The Responsiveness of Part 6 Rule-making IV. Conclusion 10. Activating and Sustaining Legitimate and Responsive Industry Rule-making: The State of Play I. Introduction II. The Indicia of Legitimate and Responsive Rule-making III. Matters Requiring Further Empirical Investigation IV. Conclusion 11. Conclusion.
• (source: Nielsen Book Data)

Rule-making is no longer an activity undertaken exclusively by public actors. Private actors are increasingly allowed by legislatures and regulatory bodies to take part in (and in some cases assume responsibility for) the formation of legally binding rules, for example in the US, UK, Australia and the EU. Departing from traditional forms of rule-making by involving private actors may enhance the ability of regulatory systems to achieve social goals, as regulatory scholars argue. However, because private actors are permitted to act in their own best interests, their involvement also raises doubts about the legitimacy of the underlying rule-making processes and the rules that are formulated. The principal aim of this book is to highlight that the tension between the responsiveness that leading international regulatory scholars advocate in order to improve regulatory effectiveness, and the law and its formal, substantive, procedural and institutional values, is not as great as may first appear. Drawing on three in-depth case studies of the experience of the Australian telecommunications industry with self-regulatory rule-making - a form of rule-making that bears the hallmarks of 'responsive regulation', 'democratic experimentalism', 'smart regulation' and other strategies of proceduralization - it is argued that industry rule-making can, as a matter of practice, be responsive and legitimate at the same time. In doing so, the book formulates and applies criteria against which industry rule-making should be evaluated and identifies a number of indicia that point to when industry rule-making is likely to be simultaneously legitimate and responsive.
(source: Nielsen Book Data)

• Preface
• The Crime Victims' Rights Act of 2004 & the Federal Courts
• Crime Victims' Rights Act: Increasing Awareness, Modifying the Complaint Process & Enhancing Compliance Monitoring Will Improve Implementation of the Act
• Index.
• (source: Nielsen Book Data)

To implement the Crime Victims' Rights Act (CVRA), the federal judiciary have, among other things, revised internal guidelines, trained the Department of Justice (DOJ) staff and judges, provided victims with emergency, temporary housing to protect them and proactively asked victims if they would like to speak in court. Mechanisms to ensure adherence to the CVRA include processes for victims to submit complaints against DOJ employees and assert their rights in court; however, the majority of victims reported they were not aware that these mechanisms exist. If victims are not aware of the complaint process or their ability to assert their rights in court, these mechanisms will not be effective at helping ensure that victims are afforded their rights. Thus, this book attempts to increase awareness of the CVRA and improve its implementation.
(source: Nielsen Book Data)

• Introduction: IPRs at the heart of the knowledge-based and innovation driven economy Innovation protection and the IP system: the "classical" issues at stake New patterns of innovation activity inducing new corporate IP practices New challenges for public policies Conclusion: Prospective elements.
• (source: Nielsen Book Data)

This book analyses the various ways in which intellectual property (IP) operates in relation to innovation activity. It reflects on the "classical" issues of the IP system related to the necessity of protecting risky and often costly investments undertaken by firms and others players involved in the innovation process. Beyond this, it stresses the numerous challenges addressed by contemporary technological and societal change, especially in a world where the digital revolution is rapidly transforming the way in which innovation is organized. In this context, the new corporate IP and innovation practices call for responses on the part of public policies.
(source: Nielsen Book Data)

• Preface
• Report 2015 NACIIL - The Future of International Restructurings after theImplementation of WCO II and the Amendment of EIR: Is the Best yet to Come?
• Report on the Fifth Annual Conference of the Netherlands Association for Comparative and International Insolvency Law.
• (source: Nielsen Book Data)

This book presents the report of the fifth annual conference of NACIIL, which was held on 6 November 2015 in Amsterdam. The conference centred around a discussion on the report "The Future of International Restructurings after the Implementation of WCO II and the Amendment of EIR: Is the Best yet to Come?" by Johan Jol.In his report, Jol examines some nineteen restructurings that have taken place in the period between 2002-2015. Jol essentially raises the question whether these cases would have played out differently had the currently pending law reforms - in particular the recast of the European Insolvency Regulation and the proposals for the introduction of a type of scheme of arrangement in the Netherlands - been in place at the time.The report published in this book has been finalized taking into account the lively and interesting discussions during the conference. We are convinced that his report will contribute to a better understanding of the international restructuring practice and will further the academic debate.
(source: Nielsen Book Data)

For many knowledge-intensive or technology-based start-up companies, the professional management of intellectual property (IP) is critically important. In fact, IP may be the main asset by which the value of a young company is determined and on which decisions to invest in the company are based - and so IP needs to be considered very early in the planning process. The Commercialising Intellectual Property series of ebooks provides a detailed grounding for innovators and researchers. The sixth ebook in the series, Valuing and Licensing Intellectual Property, looks at the key methods of valuing IP, with a focus on its value in a licensing transaction. Topics covered include identifying what is being valued, valuation approaches, valuing a licence, negotiating a licence, licence terms and heads of agreement.