Managing the Risk of Fraud and Misconduct: Meeting the Challenges of a Global, Regulated and Digital Environment / Edition 1

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Overview

Praise for Managing the Risk of Fraud and Misconduct: Meeting the Challenge of a Global, Regulated, and Digital Environment

“This book belongs on any desk where fraud and misconduct threaten. It is bristling with the kind of detail this field truly needs. Written by leading pros at the top of their game, its soup-to-nuts advice matches solutions to problems. Read it once to gain broad insight; come back again and again to manage particular risks.”

Thomas Donaldson, Professor of Legal Studies and Business Ethics,

Wharton School of the University of Pennsylvania

“A valuable road map for corporate fraud fighters in an age when shareholders, regulators, and whistleblowers are making their work more vital than ever.”

Neil Weinberg, Executive Editor, Forbes Media LLC; coauthor, Stolen Without a Gun

“Auditors, managers, and directors may argue over who is responsible for minimizing fraud and misconduct. The fact is, we all share this responsibility. As a current and comprehensive guide to the subject, this book should be recommended reading for every public company director.”

Kenneth Daly, President and CEO, National Association of Corporate Directors

"Written for managers from C-level on down — without avoiding technical jargon. This approach, combined with a consistent, efficient, easy-to-read writing style, leads to a thorough understanding of the subject without compromising its technical accuracy. I strongly recommend this book."

- Randall LaSalle, Ph.D., CPA, CFE,

John Jay College of Criminal Justice

Department of Economics

" Managing the Risk of Fraud and Misconduct delves in great depth into the issues and provides sage advice. Based on my experience, the book should be required reading for every general counsel and most corporate counsel."

- Albert Driver, Editor,

The Metropolitan Corporate Counsel

"An extremely detailed book that serves as a comprehensive guideline for risk managers."

- Business Finance

"The definitive authority on this important business issue-the fraud risk management bible" that stresses "the ever- growing importance of integrity in business."

- Risk Management

"Both a history of recent developments in the field — and a comprehensive plan for developing a robust approach to deterring, detecting, and preventing fraud, and to assessing both a company's vulnerabilities and the success of its anti-fraud measures."

- Accounting Today

"This book addresses the challenges posed by changes in law, technology, and globalization in a comprehensive manner that can help the reader improve core competencies and initiate some interesting dialogue in the process."

- Elizabeth Sullivan Armetta, CIA, CAMS,

The Institute of Internal Auditors

A Comprehensive "C-Level" Guide to Preventing and Responding to Fraud and Misconduct

Maintaining and enhancing the integrity of an organization in a global, regulated, and digital environment has become an increasingly complex and difficult challenge for business leaders. Despite major legislative and regulatory reforms over the past decade, the headlines are replete with instances of corporate misdeeds. Indeed, nearly two-thirds of executives surveyed by KPMG reported that fraud and misconduct were significant risks in their industries, and a third of these executives expected fraud or misconduct to rise in their organizations within the year.

Managing the Risk of Fraud and Misconduct is an A-to-Z guidebook for business leaders who are looking for an integrated and comprehensive approach for cutting through the complexities in today’s environment. This solution driven book provides insights from top experts who walk you through proven approaches to customize a strategy for preventing, detecting, and responding to fraud and corruption by building a culture of ethics and integrity.

Managing the Risk of Fraud and Misconduct will help business leaders to stay a step ahead of tomorrow’s demands by providing guidance on how to:

  • Assess your organization’s vulnerability to fraud and misconduct, and design and implement controls to prevent, detect, and respond to these occurrences
  • Address increased regulatory enforcement and enhanced scrutiny
  • Preserve and create value from corporate governance and compliance programs
  • Use technology and data analytics to mitigate fraud and misconduct risks
  • Evaluate the ongoing effectiveness of your compliance program
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Product Details

  • ISBN-13: 9780071621298
  • Publisher: McGraw-Hill Professional Publishing
  • Publication date: 2/16/2011
  • Edition number: 1
  • Pages: 336
  • Sales rank: 935,566
  • Product dimensions: 6.20 (w) x 9.10 (h) x 1.20 (d)

Meet the Author

Richard H. Girgenti, J.D., has over 35 years of experience investigating fraud and misconduct and helping clients manage their risk of these occurrences. Rich leads KPMG LLP’s Forensic Services. He is a former KPMG board member, a veteran state prosecutor, and a previous Director of Criminal Justice for New York State.

Timothy P. Hedley, Ph.D., has extensive experience in helping companies prevent, detect, and respond to allegations of fraud and misconduct. He leads KPMG LLP’s Fraud Risk Management Services. Tim is a frequent speaker on fraud risk topics and is a member of the NY State Society of CPAs and the AICPA.

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Table of Contents

INTRODUCTION
Section One: Understanding Fraud
Chapter 1: Asset Misappropriation
Chapter 2: Financial Reporting Fraud
Section Two: Understanding Other Forms of Misconduct and Illegal Activity
Chapter 3: Bribery & Corruption
Chapter 4: Money Laundering & Trade Sanctions
Chapter 5: Falsifying Government Claims and Insider Trading
Section Three: A Framework for an Effective Compliance Program
Chapter 6: A Framework for an Effective Compliance Program
Section Four: A Model for Managing Fraud and Misconfuct Rock—Prevention, Detection and Response
Chapter 7: Prevetion-Risk Assessment
Chapter 8: Prevention-Codes of Conduct, Training and Communication
Chapter 9: Prevetion-Corporate Intelligence (or Enhanced Due Diligence)
Chapter 10: Detection-Mechanisms for Reporting Fraud and Misconduct
Chapter 11: Detection-Auditing and Monitoring
Chapter 12: Response-Investigations
Chapter 13: Response-Government Settlement Agreements
Chapter 14: Response-Recovery, Preservation and Analysis of Electronically Stored Information

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