Handbook of Compliance & Integrity Management: Theory and Practice

Prof. S.C. Bleker-van Eyk · R.A.M. Houben

ago 2017 · Kluwer Law International B.V.

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This handbook is the first resource to provide a scientific analysis of the nature of compliance. It examines the subject from such crucial and varied perspectives as ethics, behavioral science, risk management, accounting, and European and international law. Much more than a critical approach to the existing practice of supervision, it provides a wealth of information, guidance, and valuable insights for the day-to-day work of compliance officers.

With chapters contributed by lecturers of VU University Amsterdam’s flourishing post-doctoral Executive Master Program in Compliance and Integrity Management – which fosters alternatives such as greater trust in self-regulation and market discipline – the book explores such aspects of compliance and integrity management as the following:

• monitoring risk compliance and integrity; • stakeholder and reputation management; • conflicts of interest; • anti-bribery; • export controls; • extraterritorial jurisdiction of U.S. legislation; • fraud; • duty of care; • market abuse; • privacy; and • competition.

The analysis throughout is supported by a comprehensive study of the literature concerning the raison d'être of supervision and regulation. Meeting the need for an in-depth analysis of the expanding field of compliance and integrity management, this book is a milestone in a field that is rapidly growing in importance across a wide spectrum of business and professional activity. It will prove an essential practical resource for company or institutional officers worldwide in setting up a compliance function in their organization.

Well known as a consultant in compliance-related matters, Sylvie C. Bleker-van Eyk is currently Senior Director at PricewaterhouseCoopers Forensic Services, Chair of the Supervisory Committee on Monitoring Anti–Money Laundering Policy at WODC, the Research and Documentation Centre of the Netherlands Ministry of Security and Justice, and Professor and Program Director of Postgraduate Education in Compliance and Integrity Management at VU University Amsterdam. Raf A. M. Houben is Head of Compliance and Security at HDI Global SE–The Netherlands in Rotterdam, and program coordinator and lecturer at the same Postgraduate Education in Amsterdam.

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Raf Houben (1960) is Coordinator of and Lecturer at the post-doctoral Executive Master's program in Compliance & Integrity Managementof the VU University Amsterdam. Raf studied international and commercial law at the University of Leiden and began his career as lawyer at an Amsterdam law firm. He writes a doctoral thesis at the Faculty of Law of the University of Amsterdam as an external doctoral student. Raf is also Manager Compliance & Security at HDI Global SE, the Netherlands. He has ample experience in the financial services industry as specialist on the areas of compliance & integrity, (corporate) governance and financial supervisory law. He served as Compliance and Governance specialist at ASR Nederland, as Senior Manager at Deloitte Enterprise Risk Services, as Compliance Manager Benelux at Bank of America, as Head of Compliance at SNS REAAL and as international and senior supervisor at De Nederlandsche Bank NV and the Central Bank of Aruba. He has written several articles about compliance and integrity themes. He is editorial board member of the Jaarboek Compliance and was chief in editor and editorial board member of the Tijdschrift voor Compliance. Raf headed for several years the Dutch Association of Compliance Officers as chairman and is winner of the NCI Compliance Award 2005 and co-winner in 2008.