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bookcategory: Finance

Tom Fox

The “Nuts and Bolts” for Creating a Comprehensive Compliance Plan

The first chapter of this unique work lays out a succinct yet thorough 31-day approach to operationalizing a company’s compliance regimen. Beginning with a section on what 2020 brought to the compliance landscape, the chapter goes on to methodically outline best practices for everything from establishing policies, procedures and internal controls, to assessing risk, training, handling investigations and more. Each day ends with three key takeaways you can implement at little or no cost.

Understanding Compliance Responsibility Across the Organization

The Compliance Handbook also takes a close look at the role of all professionals with compliance responsibility, from Compliance Officers and Boards of Directors, to Human Resources, to Internal Audit and Internal Controls and Communications and Training professionals.

In-Depth Treatment of Hot Topics and Trends

The Handbook provides an in-depth look at the latest thinking and trends for the full range of critical compliance topics, including:

  • Compliance and business ventures
  • Third party risk management
  • The Board’s Role in Compliance
  • Continuous improvement
  • Compliance innovation
  • And much more

Incorporating Current Government Pronouncements

The Second Edition incorporates the most current government pronouncements governing best practices compliance programs including: the 2019 Evaluation of Corporate Compliance Programs released by the Fraud Section of the Department of Justice, and its 2020 Update; the updated FCPA Resource Guide 2nd edition; the Framework for OFAC Compliance Commitments; and the 2019 DOJ Antitrust Division’s Evaluation of Corporate Compliance Programs in Criminal Antitrust.

John Lee Dumas

Say hello to YOUR version of uncommon success with a revolutionary 17-step roadmap to guide your journey to financial, location, and lifestyle freedom!

Based on thousands of interviews from John Lee Dumas’ highly acclaimed podcast, Entrepreneurs on Fire, this revolutionary 17-step roadmap provides a proven path for entrepreneurs like you to achieve the financial, location, and lifestyle freedom you are capable of.  Let The Common Path to Uncommon Success show you how.

The Common Path to Uncommon Success will:

  • Reveal the critical steps successful entrepreneurs take to achieve uncommon success.
  • Dispel the doubts and fear you’re currently facing while providing a clear path to financial freedom and fulfillment.
  • Ensure you avoid the pitfalls that have tripped up countless entrepreneurs.
  • Provide a “Well of Knowledge” section for you to tap into anytime you’re in need of inspiration or motivation!

JLD’s 17-step roadmap will help you accomplish your #1 goal in life, as it has for so many others, by showing you how to properly focus on your vision of success until it becomes your reality.

Troy Korsgaden

In the business world, an inflection point happens at a critical moment when the situation calls for new thinking and a different strategy. Troy Korsgaden—a highly sought-after insurance and financial services consultant, speaker, and the author of seven books—believes this is that moment for the insurance and financial industry. Previous assumptions about the way we do business are no longer accurate. His warning is that if we don’t see the need to change—and change now—many of us will lose customers…and perhaps lose our businesses.

This book will guide you to adapt your insurance or financial services agency to reach and serve customers in the ways they want to do business. Troy Korsgaden shares a blueprint for a new business model to set your firm up for success in today’s rapidly changing environment.

Take a hard look at your role, firm, or carrier as it is today, and ask yourself, “Where am I now?” and “How did I get here?” Take a rigorously honest approach when looking at your business. What have you done right, and what could have been done better? Are you poised for the future? What areas could you improve? In what areas do you thrive? When is the last time you retooled any of your procedures or workflows? Many professionals show up every day without a real plan, and their schedules are dictated by the brushfires that flare up during the day. They don’t have a defined and purposeful schedule to guide them. Don’t let that be you!

Start today, setting up your firm for success. Create an action plan to retool everyone and everything within your agency or firm. The bottom line is to have a seamless ecosystem at the firm level and/or the carrier level. Think of it like a digital experience. You enter through the main hub, and when you are offered a different product, most of the time you feel you’ve left the hub. It feels odd and uncomfortable because the process has suddenly become complicated. Our task is to create a reality for our customers in which they never feel they’ve left our hub.

To ride the new wave in our culture and our industry, you need to create a network that blends excellent customer experience, a wide array of options in your offerings, and the creation of expertise partners to whom you can refer your customers who need products and services you don’t currently offer.

Jeff Brandeis

There are many books available to teach you techniques for closing a sale (meaning bringing a new client on board to your firm), and this book does an outstanding job of that. In fact, you will be amazed at how practical these sales techniques are and how immediately successful they will be for you. Whether you are bringing a new client onboard or selling additional services to an existing client – it is all about sales. You may be the best technical CPA but that will not help you grow your practice. Building relationships and trust will. The biggest thing that sets this book apart from all the rest is that it talks about what happens after you close a sale. Through the techniques given in this book, you’ll have the ability to open a relationship and turn a first-time customer into a customer for life. As a sales professional, my goal should be to make you a customer for life – and my actions will reflect that. Instead of just using slick gimmicks or sales formulas, I’ll treat you with integrity. I’ll be earnestly working to identify and understand your needs in order to help you find the best fit with the services or products my firm offers. I’ll be BECOMING A RAINMAKER: A GUIDE FOR ACCOUNTANTS AND CPAs striving to create a relationship of trust and rapport, resulting in a genuine desire to bring out the best in everyone. This may very well become your favorite sales book, or possibly even the first one you ever read. (And yes, even a CPA/Accountant is in sales.) It has the potential to change the way you sell and make you more successful than you ever imagined. It combines research with practical strategies that really work. We are excited that you have chosen to give us a chance to help you prove it! Your complete satisfaction is our future! Jeff Brandeis & David Bergstein CPA

Kathleen Thomas

Financial Advisor Kathleen Thomas has seen the difficulties and setbacks that occur when women don’t own their financial lives. It’s not a situation you want to find yourself in.
The Hardworking Woman’s Guide to Money provides all the information you need to make informed decisions about your own finances, whether you’ve just earned your first paycheck or retirement looms on the horizon.
After outlining the seven habits common to successful, hardworking women, Thomas discusses many vital topics, including determining your net worth, understanding bank account fees, paying for college, securing a mortgage, and taking full advantage of your employee benefits. She also explains the ways different life stages dictate your financial needs, offers basic investment advice and estate-planning tips, and explores the need for prenuptial agreements.
Thomas emphasizes that accruing wealth isn’t an end in itself. Rather, financial security is a tool you use to achieve your goals and dreams, whether they include traveling the world, enjoying a stable retirement, or building a legacy for your children.
Controlling your finances can be challenging, even frightening, but once you get a handle on money management, you will be able to plan your future with much greater confidence.

Rich Horwath

The #1 cause of business failure is bad strategy and only 23% of executives are strong at strategic thinking. While strategies become obsolete, strategic thinking continues to be rated the most valued skill in leaders today by publications including the Wall Street Journal and Chief Executive Magazine. New York Times bestselling author on strategy Rich Horwath provides leaders with a simple three-step framework to become elite strategic leaders and transform strategy and innovation into competitive advantage.

Z. Christopher Mercer

Buy-sell agreements are among the most common yet least understood business agreements and many are destined to fail to operate like the owners expect. Many, in fact, are ticking time bombs, just waiting for a trigger event to explode. If you are a business owner or are an adviser to business owners, this book is designed for you, providing a road map for business owners to develop or improve their buy-sell agreement.

Gianni Kovacevic

How One House Call Can Change Your Life

A weekend service call changes the life of Doc Anderson forever. Johnny, the surprisingly wealthy energy whiz kid, introduces Doc to a compelling new investment theme–following the rise of a new spending class. As they set course on a fact-filled adventure, Doc’s eyes aropened to the impact that billions of new consumers will have on our environment and how their entrance to our fast-changing world will figure into the economy of the future. Through this journey, he too becomes a hyper-aware participant in the boundless opportunities for responsible wealth creation with his new found knowledge base in what makes realistic environmentalism possible.

Ron A. Carucci

It’s been known for decades that failure rates among transitioning executives are too high, leaving exorbitant costs, damaged organizations and careers behind. But little has changed in the way organizations prepare leaders to assume executive positions.
It doesn’t have to be this way.
Our ground-breaking ten-year longitudinal study and approach offer a comprehensive look at how successful executives transition to the highest altitudes of their organization, and thrive once there.
Organizations are making strategic bets to drive growth.
Part of the bet includes the executives entrusted with leading the way to success.
Accepting our 50-50 odds as “the best it gets” is no longer an option. Pushing for something better isn’t just possible….it’s necessary.

Paul R. Williams

As the speed of business continues to increase, and as focus on an ever growing number of project data points is needed to keep business and project execution in control, new and innovative tools and techniques are required to help busy executives make efficient and effective decisions on where to place investments in money and resources. Because many of these decisions are made in the moment, using whatever facts are available, executives need timely, data-rich and easy to comprehend information. Lengthy, text-heavy project document artifacts consume too much time and effort to both generate and review. New research only confirms that information presented in this manner is both ineffective and inefficient. The fact is, in order for information to be conveyed most efficiently, it needs to be visual.

Today’s project manager has more to manage than just project scope, deliverables, communications and teams. They are also expected to manage large volumes of project-related data. And the expectation goes beyond just managing the data. It extends into creating great visualizations that allow stakeholders to fully digest that large volume of data in a manner that is quick, effective and clear. They are also expected to serve as facilitators in the use of visual thinking tools as a method for working through project issues, risks and problems. These new expectations require new skills. The era of multi-page, text-based project status reporting is over. The era of visual project management is here. Time to “skill up!” Time to become a Visual Project Manager!