Peter D. Goldmann
Financial Services Anti-Fraud Risk and Control Workbook
Peter D. Goldmann
Financial Services Anti-Fraud Risk and Control Workbook
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Even before the current economic crisis, fraud had exploded into a serious financial and reputational threat to financial institutions throughout the world. Anti-Fraud Workbook: Financial Services Industry is filled with interactive exercises, cases studies and chapter quizzes and shares industry-tested methods for detecting, preventing and reporting fraud in the financial services sector. Internal or external auditors, accountants, accounts payable professionals, and financial services managers will discover how to become more effective in protecting their organizations against financial fraud with the essential techniques and tools in this book.…mehr
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Even before the current economic crisis, fraud had exploded into a serious financial and reputational threat to financial institutions throughout the world. Anti-Fraud Workbook: Financial Services Industry is filled with interactive exercises, cases studies and chapter quizzes and shares industry-tested methods for detecting, preventing and reporting fraud in the financial services sector. Internal or external auditors, accountants, accounts payable professionals, and financial services managers will discover how to become more effective in protecting their organizations against financial fraud with the essential techniques and tools in this book.
Produktdetails
- Produktdetails
- Verlag: Wiley & Sons
- Artikelnr. des Verlages: 14549899000
- 1. Auflage
- Seitenzahl: 288
- Erscheinungstermin: 7. Januar 2010
- Englisch
- Abmessung: 280mm x 216mm x 16mm
- Gewicht: 440g
- ISBN-13: 9780470498996
- ISBN-10: 0470498994
- Artikelnr.: 27368335
- Verlag: Wiley & Sons
- Artikelnr. des Verlages: 14549899000
- 1. Auflage
- Seitenzahl: 288
- Erscheinungstermin: 7. Januar 2010
- Englisch
- Abmessung: 280mm x 216mm x 16mm
- Gewicht: 440g
- ISBN-13: 9780470498996
- ISBN-10: 0470498994
- Artikelnr.: 27368335
Peter D. Goldmann is founder and President of White-Collar Crime 101 LLC, the parent company of FraudAware and publisher of the monthly newsletter, White-Collar Crime Fighter. He has been the Publisher and Editor of White-Collar Crime Fighter for over twelve years and is recognized as a leading expert in the areas of fraud detection, prevention, investigation, and training. He has written numerous articles on practical approaches to fraud prevention and detection.
Preface. Acknowledgments. Introduction: Brief History of Fraud in the
Financial Services Industry. Chapter 1 Why No Financial Services
Institution Is Immune to Fraud. Statistical Perspective. What Is Fraud?
Myths and Realities about Financial Services Fraud. Review Points. Chapter
Quiz. Chapter 2 The Human Element of Fraud. Who Are the Bad Guys? Insider
Threat. The Fraud Triangle. The Fraud Triangle in Financial Services.
Pressure at Lehman: An Extreme Example. Opportunity and Rationalization.
Rationalizing High-Level Fraud. A Fraud Diamond? Review Points. Chapter
Quiz. Chapter 3 Internal Fraud: Loan and Mortgage Fraud. Loan Fraud
(Nonresidential Mortgage). Mortgage Fraud. Types of Internal Mortgage Fraud
to Beware Of. Red Flags of Employee-Level Loan and Mortgage Fraud.
Preventing Employee-Level Loan and Mortgage Fraud. Review Points. Chapter
Quiz. Chapter 4 Employee-Level Embezzlement. Looting Customer Accounts.
Looting Noncustomer Funds. Theft of Confi dential Information. Insider
Abuse of Computer Systems. Red Flags of Employee-Level Embezzlement.
Preventing Employee-Level Embezzlement and Information Theft. Review
Points. Chapter Quiz. Chapter 5 Internal Fraud: Management Level. Looting
and Embezzlement. Illegal Financial Transactions/Corruption. Fraudulent
Financial Reporting. Deceiving Borrowers, Investors, and Regulators. Red
Flags of Management-Level Internal Fraud. Management-Level Fraud Prevention
Checklists. Review Points. Chapter Quiz. Chapter 6 External Fraud against
Financial Services Companies. Externally Perpetrated Loan Fraud
(Nonmortgage). Externally Perpetrated Mortgage Fraud Schemes. New Forms of
Identity Theft and Fraud. Red Flags of External Fraud. External Fraud
Prevention Checklists. Review Points. Chapter Quiz. Chapter 7 Conducting a
Successful Fraud Risk Assessment. Getting It Done. Procedures for
Conducting a Fraud Risk Assessment. Roles of the Board and Management in
Fraud Risk Assessments. Review Points. Chapter Quiz. Chapter 8 Legal and
Regulatory Compliance for Controlling Fraud Risk. Fraud Rules to Take
Seriously. Hypothetical Case: Compliance and InfoSecurity. Develop and
Implement a Response Program. Future Regulation: A Prediction. Review
Points. Chapter Quiz. Chapter 9 Fraud Detection in Financial Services
Companies. Basic Detection Methods. Advanced Fraud Detection Tools and
Techniques. Essentials of Fraud Auditing in Financial Institutions.
Essentials of Automated Auditing. Conclusion. Review Points. Chapter Quiz.
Appendix A: Answers to Chapter Quizzes. Appendix B: Answer Key for Case
Studies. Notes. Glossary. About the Author. Index.
Financial Services Industry. Chapter 1 Why No Financial Services
Institution Is Immune to Fraud. Statistical Perspective. What Is Fraud?
Myths and Realities about Financial Services Fraud. Review Points. Chapter
Quiz. Chapter 2 The Human Element of Fraud. Who Are the Bad Guys? Insider
Threat. The Fraud Triangle. The Fraud Triangle in Financial Services.
Pressure at Lehman: An Extreme Example. Opportunity and Rationalization.
Rationalizing High-Level Fraud. A Fraud Diamond? Review Points. Chapter
Quiz. Chapter 3 Internal Fraud: Loan and Mortgage Fraud. Loan Fraud
(Nonresidential Mortgage). Mortgage Fraud. Types of Internal Mortgage Fraud
to Beware Of. Red Flags of Employee-Level Loan and Mortgage Fraud.
Preventing Employee-Level Loan and Mortgage Fraud. Review Points. Chapter
Quiz. Chapter 4 Employee-Level Embezzlement. Looting Customer Accounts.
Looting Noncustomer Funds. Theft of Confi dential Information. Insider
Abuse of Computer Systems. Red Flags of Employee-Level Embezzlement.
Preventing Employee-Level Embezzlement and Information Theft. Review
Points. Chapter Quiz. Chapter 5 Internal Fraud: Management Level. Looting
and Embezzlement. Illegal Financial Transactions/Corruption. Fraudulent
Financial Reporting. Deceiving Borrowers, Investors, and Regulators. Red
Flags of Management-Level Internal Fraud. Management-Level Fraud Prevention
Checklists. Review Points. Chapter Quiz. Chapter 6 External Fraud against
Financial Services Companies. Externally Perpetrated Loan Fraud
(Nonmortgage). Externally Perpetrated Mortgage Fraud Schemes. New Forms of
Identity Theft and Fraud. Red Flags of External Fraud. External Fraud
Prevention Checklists. Review Points. Chapter Quiz. Chapter 7 Conducting a
Successful Fraud Risk Assessment. Getting It Done. Procedures for
Conducting a Fraud Risk Assessment. Roles of the Board and Management in
Fraud Risk Assessments. Review Points. Chapter Quiz. Chapter 8 Legal and
Regulatory Compliance for Controlling Fraud Risk. Fraud Rules to Take
Seriously. Hypothetical Case: Compliance and InfoSecurity. Develop and
Implement a Response Program. Future Regulation: A Prediction. Review
Points. Chapter Quiz. Chapter 9 Fraud Detection in Financial Services
Companies. Basic Detection Methods. Advanced Fraud Detection Tools and
Techniques. Essentials of Fraud Auditing in Financial Institutions.
Essentials of Automated Auditing. Conclusion. Review Points. Chapter Quiz.
Appendix A: Answers to Chapter Quizzes. Appendix B: Answer Key for Case
Studies. Notes. Glossary. About the Author. Index.
Preface. Acknowledgments. Introduction: Brief History of Fraud in the
Financial Services Industry. Chapter 1 Why No Financial Services
Institution Is Immune to Fraud. Statistical Perspective. What Is Fraud?
Myths and Realities about Financial Services Fraud. Review Points. Chapter
Quiz. Chapter 2 The Human Element of Fraud. Who Are the Bad Guys? Insider
Threat. The Fraud Triangle. The Fraud Triangle in Financial Services.
Pressure at Lehman: An Extreme Example. Opportunity and Rationalization.
Rationalizing High-Level Fraud. A Fraud Diamond? Review Points. Chapter
Quiz. Chapter 3 Internal Fraud: Loan and Mortgage Fraud. Loan Fraud
(Nonresidential Mortgage). Mortgage Fraud. Types of Internal Mortgage Fraud
to Beware Of. Red Flags of Employee-Level Loan and Mortgage Fraud.
Preventing Employee-Level Loan and Mortgage Fraud. Review Points. Chapter
Quiz. Chapter 4 Employee-Level Embezzlement. Looting Customer Accounts.
Looting Noncustomer Funds. Theft of Confi dential Information. Insider
Abuse of Computer Systems. Red Flags of Employee-Level Embezzlement.
Preventing Employee-Level Embezzlement and Information Theft. Review
Points. Chapter Quiz. Chapter 5 Internal Fraud: Management Level. Looting
and Embezzlement. Illegal Financial Transactions/Corruption. Fraudulent
Financial Reporting. Deceiving Borrowers, Investors, and Regulators. Red
Flags of Management-Level Internal Fraud. Management-Level Fraud Prevention
Checklists. Review Points. Chapter Quiz. Chapter 6 External Fraud against
Financial Services Companies. Externally Perpetrated Loan Fraud
(Nonmortgage). Externally Perpetrated Mortgage Fraud Schemes. New Forms of
Identity Theft and Fraud. Red Flags of External Fraud. External Fraud
Prevention Checklists. Review Points. Chapter Quiz. Chapter 7 Conducting a
Successful Fraud Risk Assessment. Getting It Done. Procedures for
Conducting a Fraud Risk Assessment. Roles of the Board and Management in
Fraud Risk Assessments. Review Points. Chapter Quiz. Chapter 8 Legal and
Regulatory Compliance for Controlling Fraud Risk. Fraud Rules to Take
Seriously. Hypothetical Case: Compliance and InfoSecurity. Develop and
Implement a Response Program. Future Regulation: A Prediction. Review
Points. Chapter Quiz. Chapter 9 Fraud Detection in Financial Services
Companies. Basic Detection Methods. Advanced Fraud Detection Tools and
Techniques. Essentials of Fraud Auditing in Financial Institutions.
Essentials of Automated Auditing. Conclusion. Review Points. Chapter Quiz.
Appendix A: Answers to Chapter Quizzes. Appendix B: Answer Key for Case
Studies. Notes. Glossary. About the Author. Index.
Financial Services Industry. Chapter 1 Why No Financial Services
Institution Is Immune to Fraud. Statistical Perspective. What Is Fraud?
Myths and Realities about Financial Services Fraud. Review Points. Chapter
Quiz. Chapter 2 The Human Element of Fraud. Who Are the Bad Guys? Insider
Threat. The Fraud Triangle. The Fraud Triangle in Financial Services.
Pressure at Lehman: An Extreme Example. Opportunity and Rationalization.
Rationalizing High-Level Fraud. A Fraud Diamond? Review Points. Chapter
Quiz. Chapter 3 Internal Fraud: Loan and Mortgage Fraud. Loan Fraud
(Nonresidential Mortgage). Mortgage Fraud. Types of Internal Mortgage Fraud
to Beware Of. Red Flags of Employee-Level Loan and Mortgage Fraud.
Preventing Employee-Level Loan and Mortgage Fraud. Review Points. Chapter
Quiz. Chapter 4 Employee-Level Embezzlement. Looting Customer Accounts.
Looting Noncustomer Funds. Theft of Confi dential Information. Insider
Abuse of Computer Systems. Red Flags of Employee-Level Embezzlement.
Preventing Employee-Level Embezzlement and Information Theft. Review
Points. Chapter Quiz. Chapter 5 Internal Fraud: Management Level. Looting
and Embezzlement. Illegal Financial Transactions/Corruption. Fraudulent
Financial Reporting. Deceiving Borrowers, Investors, and Regulators. Red
Flags of Management-Level Internal Fraud. Management-Level Fraud Prevention
Checklists. Review Points. Chapter Quiz. Chapter 6 External Fraud against
Financial Services Companies. Externally Perpetrated Loan Fraud
(Nonmortgage). Externally Perpetrated Mortgage Fraud Schemes. New Forms of
Identity Theft and Fraud. Red Flags of External Fraud. External Fraud
Prevention Checklists. Review Points. Chapter Quiz. Chapter 7 Conducting a
Successful Fraud Risk Assessment. Getting It Done. Procedures for
Conducting a Fraud Risk Assessment. Roles of the Board and Management in
Fraud Risk Assessments. Review Points. Chapter Quiz. Chapter 8 Legal and
Regulatory Compliance for Controlling Fraud Risk. Fraud Rules to Take
Seriously. Hypothetical Case: Compliance and InfoSecurity. Develop and
Implement a Response Program. Future Regulation: A Prediction. Review
Points. Chapter Quiz. Chapter 9 Fraud Detection in Financial Services
Companies. Basic Detection Methods. Advanced Fraud Detection Tools and
Techniques. Essentials of Fraud Auditing in Financial Institutions.
Essentials of Automated Auditing. Conclusion. Review Points. Chapter Quiz.
Appendix A: Answers to Chapter Quizzes. Appendix B: Answer Key for Case
Studies. Notes. Glossary. About the Author. Index.