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Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance, 2nd Edition

ISBN: 978-1-118-23551-5
448 pages
March 2012
Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance, 2nd Edition (1118235517) cover image
Now in a Second Edition, this practical book helps corporate executives and managers how to set up a comprehensive and effective fraud prevention program in any organization. Completely revised with new cases and examples, the book also discusses new global issues around the Foreign Corrupt Practices Act (FCPA). Additionally, it covers best practices for establishing a unit to protect the financial integrity of a business, among other subjects. The book has many checklists and real-world examples to aid in implementation and an instructor's URL including a test bank to aid in course adoptions.
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Foreword to the Second Edition xiii

Foreword to the First Edition xvii

Preface xxi

Acknowledgments xxvii

CHAPTER 1 Fraud’s Feeding Frenzy 1

CHAPTER 2 Fraud Theory and Prevention 23

CHAPTER 3 The Path to Greater Corporate Compliance, Accountability, and Ethical Conduct: COSO to Sarbanes-Oxley 47

CHAPTER 4 The Path to Greater Corporate Compliance, Accountability, and Ethical Conduct: SAS 99 to the 2010 Amendments to the Federal Sentencing Guidelines for Organizations 81

CHAPTER 5 Internal Controls and Antifraud Programs 105

CHAPTER 6 Financial Statement Fraud 133

CHAPTER 7 Internal Fraud: Protecting a Company 157

CHAPTER 8 Former Fraudster and New Man 171

CHAPTER 9 External Schemes and Scams: The Rest of the Fraud Story 185

CHAPTER 10 Not Too Big to Fail 205

CHAPTER 11 Designing a Robust Fraud Prevention Program 231

CHAPTER 12 Whistleblowers and Hotlines 255

CHAPTER 13 Time to Do Background Checks 287

CHAPTER 14 Training, Training, and More Training 307

CHAPTER 15 Global Fraud and Corruption Risk 329

CHAPTER 16 The Feds Are Watching: What to Know and Do Now 349

CHAPTER 17 A Fraud Prevention Culture That Works 371

APPENDIX ACFE Fraud Prevention Checklist 391

About the Authors 395

Index 399

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Martin T. Biegelman, CFE, CCEP, has been fighting fraud and corruption for 40 years in various roles in law enforcement, consulting, and the corporate sector. He is currently the Executive Vice President of U.S. Operations for IPSA International, a global risk advisory firm. His extensive experience include conducting internal investigations on behalf of corporate management and boards, FCPA and anti-bribery compliance, litigation consulting, due diligence, and corporate compliance design and implementation. He previously served as the Director of Financial Integrity at Microsoft Corporation. This highly acclaimed fraud prevention and anti-corruption compliance program that he founded and led continues to be a model for other global companies. Mr. Biegelman is a sought-after speaker, prolific author, and the recipient of the prestigious Cressey Award bestowed by the Association of Certified Fraud Examiners for lifetime achievements in the detection and deterrence of fraud.

Joel T. Bartow, CFE, CPP, is Operations Director for IntegriGuard, LLC. Mr. Bartow has over twenty-five years of experience in fraud and security investigations as an FBI Special Agent and in the private sector, where he developed successful fraud prevention programs.

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Covers fraud risk assessment and prevention guidance

Looks at global risk issues, including the Foreign Corrupt Practices Act (FCPA) and UK Bribery Act

Examines amendments to the Federal Sentencing Guidelines for Organizational Crime

Discusses Dodd-Frank Whistleblower Provisions

Explores enterprise risk management key program elements

Offers coverage of how fraud and compliance failures contributed to the financial crisis

Includes enhanced principles for fraud data mining

Presents new cases, checklists and real-world examples, expanded international coverage, and the latest technological tools

Shows executives and managers what their responsibilities are regarding fraud prevention, internal controls, and compliance

Provides an instructor's website, including a test bank
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