By Steve Dawson
"This publication covers all parts of an inner keep watch over constitution acceptable to the small enterprise group. it really is meant for these companies for which the Sarbanes-Oxley Act doesn't practice (non-public businesses). Fraud situations are used in the course of the e-book that offer an research of the interior keep an eye on weaknesses that ended in a selected fraud. each one case research additionally contains suitable controls which could have served to minimize the likelihood of the prevalence of the fraud. The controls are then summarized in line with the 5 parts of an inner keep watch over constitution for function of helping in documenting the last word anti-fraud application. the stairs supplied during this ebook supply readers with a "how to" layout and enforce a good and effective inner keep watch over structure/anti-fraud application adapted to their particular needs"-- �Read more...
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Extra info for Internal control/anti-fraud program design for the small business : a guide for companies not subject to the Sarbanes-Oxley Act
Predication ▪▪ Defines for the reader certain criteria of predication, or reasonable cause, that should be considered when making a report under this policy. ▪▪ Reinforces that knowingly making a false or frivolous report is prohibited by this policy. Comments: I have received countless tips from employees accusing other employees of committing fraud. Statistically, about 30 percent of these tips are worthy of an investigation. Why is this number so low? I submit that it is primarily because many employees have what I call axes to grind against one another.
A potential reporter who wants to remain anonymous is certainly not going to drop in to the human resources department to ask for a form. This is just a simple illustration that every aspect of the program needs to be run through a commonsense filter. The Essential Elements of an Effective Fraud Reporting Policy ◾ 27 Telephone notification: As an alternative to the written notification, the organization may provide the telephone number of a fraud hotline to call to report suspicions of fraud. Before undertaking the herculean task of managing your own internal fraud hotline, you should consider utilizing a company that provides this service.
To provide clarity, I have presented it in this chapter as a separate policy. The essential elements, descriptive bullet points, my comments, and sample policy provisions are as follows. Element 1. Policy Statement ▪ Establishes that management takes the issue of fraud seriously and understands the importance of providing a fraud reporting mechanism. Comments: To exhibit a proper anti‐fraud environment and to communicate to the workforce that you as management care about the importance The Essential Elements of an Effective Fraud Reporting Policy ◾ 21 of fraud prevention, a fraud reporting mechanism is absolutely necessary.
Internal control/anti-fraud program design for the small business : a guide for companies not subject to the Sarbanes-Oxley Act by Steve Dawson