New PDF release: Internal control/anti-fraud program design for the small

By Steve Dawson

ISBN-10: 1119065070

ISBN-13: 9781119065074

ISBN-10: 1119083710

ISBN-13: 9781119083719

ISBN-10: 1119083729

ISBN-13: 9781119083726

ISBN-10: 1119083737

ISBN-13: 9781119083733

"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 Read more...


A how-to consultant to small enterprise anti-fraud safeguard and inner keep watch over inner Control/Anti-Fraud application layout for the Small enterprise is a realistic consultant to security for companies NOT 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

Example text

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.

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Internal control/anti-fraud program design for the small business : a guide for companies not subject to the Sarbanes-Oxley Act by Steve Dawson

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