Stop Harming Customers: A Compliance Manifesto is useful as a reading for many different subject areas. Here are some suggested reading paths with the chapter, and where appropriate, the specific subchapter most relevant to a given subject.
Feel free to use these or to modify as appropriate for your class. R
Compliance
The entire book, of course!
Law
A July to Remember
What is Compliance
What is the Law
The Law
An Aside About Congress
A Compliance Manifesto
Thesis 2. Ethics Over of Law
An Appendix on the Law
An Appendix on Regulations
Risk Management
What is Compliance
Everything in Finance is a Loan
Back to Making Money
How to Design a Compliance Department
What Is a Control?
A Perfect World, Or Why Compliance Hasn’t Been Solved With Software
Why Does Financial Crime Keep Happening?
A Compliance Manifesto
Business Management
Introduction: ⅓ of a Trillion Dollars
What is Compliance
How to Design a Compliance Department
What Is a Control?
Control Design and Effectiveness
Control Design
Control Effectiveness
The Pillars of Compliance
Policies and Procedures
An Aside About Policy Pet Peeves
A Perfect World, Or Why Compliance Hasn’t Been Solved With Software
Why Does Financial Crime Keep Happening?
An Appendix on Performance Assessment
The Incidents
An Aside About Page Numbers
History
A July to Remember
The Menagerie of Regulators
United States Regulators and Hangers On
Regulators Outside the US
The Oldest Profession
Ethics
Introduction: ⅓ of a Trillion Dollars
A July to Remember
Time To Run The Numbers: July 2022 Fines and Penalties
(All subsections of July fines)
Wrapping up July 2022
What is Compliance?
The Oldest Profession
What is Compliance
Everything in Finance is a Loan
Back to Making Money
Why Does Financial Crime Keep Happening?
A Compliance Manifesto
Thesis 1. Authority of Compliance
End the Three Lines of Defense
Thesis 2. Ethics Over of Law
One policy: Code of Conduct
Thesis 4. Effective External Oversight
Generally Accepted Compliance Standards
External Compliance Certification
A Penalty that Matters
An Appendix on Performance Assessment
Corporate Finance
A July to Remember
Time To Run The Numbers: July 2022 Fines and Penalties
(All subsections of July fines)
Wrapping up July 2022
What is Compliance?
The Oldest Profession
What is Compliance
Everything in Finance is a Loan
Back to Making Money
Why Does Financial Crime Keep Happening?
A Compliance Manifesto
Thesis 4. Effective External Oversight
Generally Accepted Compliance Standards
External Compliance Certification
A Penalty that Matters
The Incidents
Cryptocurrency
Introduction: ⅓ of a Trillion Dollars
A July to Remember
What is Compliance
Everything in Finance is a Loan
Back to Making Money
Why Does Financial Crime Keep Happening?
Business Technology
A Perfect World, Or Why Compliance Hasn’t Been Solved With Software
Why Don’t Governance, Risk, Compliance (GRC) Systems Work?
How Many People Are in Compliance?
Back to Fines
Regulatory Exams
So What Does Compliance Really Do?
What about Artificial Intelligence?
Thesis 3. Automate Through Data
Laws, Rules, Regulations, Procedures, Controls, And Processes
Automating Testing and Risk Assessment
Implementing a “Google for Compliance”
An Example Use Case
Can I Have It?
Economics
Introduction: ⅓ of a Trillion Dollars
A July to Remember
What is Compliance
Everything in Finance is a Loan
Back to Making Money
Why Does Financial Crime Keep Happening?
Sociology
Introduction: ⅓ of a Trillion Dollars
A July to Remember
Why Does Financial Crime Keep Happening?