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Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance

Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance

Martin T. Biegelman, Joel T. Bartow

ISBN: 978-0-471-77967-4

Mar 2012

256 pages

Select type: E-Book



Praise for Executive Roadmap to Fraud Prevention and Internal Control

"Our nation is faced with dual alarming trends of record highs in white-collar crime and seemingly record lows in ethics. The solution cannot be left only to legislators, regulators, and law enforcement. It requires the attention of all of us in business to create a culture of compliance. This new book by Martin Biegelman and Joel Bartow is an invaluable resource to achieving the highest levels of compliance."
--Kenneth J. Hunter, former chief postal inspector and former president & CEO of the Council of Better Business Bureaus

"This is a timely and thought-provoking addition to fraud and risk management literature. For seasoned executives who are navigating the maze of compliance, legislative requirements, and increasingly sophisticated criminal activity, this book will be a frequent reference and guide. Neophyte managers will gain years of insight and direction that can only benefit their organizations. Academics, both faculty and students, will learn from the authors' ability to apply theory to high-level practice."
--Gary R. Gordon, EdD, Professor of Economic Crime Management and Executive Director, Economic Crime Institute of Utica College

"All executives need to protect themselves and their organizations from the potentially catastrophic damage fraud can cause, both financially and reputationally. This new book is a very clear and practical guide to achieving that goal."
--Toby J. F. Bishop, President and Chief Executive Officer, Association of Certified Fraud Examiners

"This book is a must-read for anyone eager to understand--and prevent--the toxic mix of temptations that can destroy a company's reputation overnight. The authors, both seasoned former fraud investigators, bring a unique, clear-eyed perspective to the topic of corporate fraud. They have seen it all, and their book is an invaluable reference for senior management, compliance executives, in-house lawyers, and anyone else who cares about corporate integrity."
--Leslie R. Caldwell, Partner, Morgan Lewis & Bockius former director, U.S. Department of Justice Enron Task Force

"Excellent resource! A great guide for corporate management in the post-Enron world."
--Karen A. Popp, Partner, Sidley Austin Brown & Wood LLP and former associate counsel to President Bill Clinton and former federal prosecutor

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Chapter 1: Fraud’s Feeding Frenzy: Overview of Recent Corporate Scandals.

Chapter 2: Fraud Theory and Prevention.

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

Chapter 4: The Path to Greater Corporate Compliance, Accountability, and Ethical Conduct: SAS 99 to the Sarbanes-Oxley Influence on Private and Nonprofit Organizations.

Chapter 5: Internal Controls and Antifraud Programs.

Chapter 6: Financial Statement Fraud.

Chapter 7: Internal Fraud: Protecting a Company.

Chapter 8: Views from Both Sides of the Fence: Interviews with a Fraudster and a Fraud Investigator.

Chapter 9: External Fraud Schemes: The Rest of the Fraud Story.

Chapter 10: Information Security and Fraud.

Chapter 11: Designing a Robust Fraud Prevention Program at Your Company.

Chapter 12: Whistle-Blowers and Hotlines.

Chapter 13: Time to Do Background Checks.

Chapter 14: Training, Training, and More Training.

Chapter 15: Fraud Risk outside the United States.

Chapter 16: The Feds Are Watching: What to Know and Do Now.

Chapter 17: Beyond Compliance: A Fraud Prevention Culture That Works.

Appendix A: Key Sections of the Sarbanes-Oxley Act of 2002.

Appendix B: Fraud Risk Factors Related to Misstatements Arising from Fraudulent Financial Reporting.

Appendix C: Fraud Risk Factors Related to Misstatements Arising from Misappropriation of Assets.


"…the book is effective, interesting, and well written, offering unique insights to readers." (Security Management, October 2006)