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

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9781118004586: Executive Roadmap to Fraud Prevention and Internal Control: Creating a Culture of Compliance
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How-to, authoritative guidance for creating a best-in-classfraud prevention and compliance program in any organization

Now in a Second Edition, this practical book helps corporateexecutives and managers understand the full ramifications of goodcorporate governance and compliance. It covers best practices forestablishing a unit to protect the financial integrity of abusiness; theories and models on how and why fraud occurs in anorganization; importance of strong internal controls; majorcompliance and corporate governance initiatives and milestonessince 1985; and more. Complete coverage includes implementationguidance for a robust fraud prevention and compliance program,including sample policies, best practice examples, and a 14-pointmanagement antifraud program.

  • Covers fraud risk assessment and prevention guidance
  • Looks at global risk issues, including the Foreign CorruptPractices Act (FCPA) and UK Bribery Act
  • Examines amendments to the Federal Sentencing Guidelines forOrganizational Crime
  • Discusses Dodd-Frank Whistleblower Provisions
  • Explores enterprise risk management key program elements
  • Offers coverage of how fraud and compliance failurescontributed to the financial crisis
  • Includes enhanced principles for fraud data mining
  • Presents new cases, checklists and real-world examples,expanded international coverage, and the latest technologicaltools
  • Shows executives and managers what their responsibilities areregarding fraud prevention, internal controls, and compliance
  • Provides an instructor's website, including a test bank
  • Other titles by Biegelman: Building a World-Class ComplianceProgram and Foreign Corrupt Practices Act ComplianceGuidebook

Completely revised and updated, Executive Roadmap to FraudPrevention and Internal Control, Second Edition is everymanager's best resource for understanding all the complex issuesand responsibilities associated with fraud and compliance.

Praise for Executive Roadmap to Fraud Prevention and InternalControl: Creating a Culture of Compliance

"Martin Biegelman and Joel Bartow convert their lifelongexperiences and unparalleled knowledge into a concise, well-writtenbook. They provide the essential tools to take aspirational goalsfor fraud prevention and compliance and build them into concreteand effective programs."
—From the Foreword by Bradley J. Bondi, Partner,Caldwater, Wickersham & Taft LLP

"Executive Roadmap touches all the bases on corporatefraud. The authors – both experienced fraud investigators andfederal law enforcement agents – lay out the history andmajor milestones of corporate fraud, and discuss with precision thekey issues facing today’s executives and compliance leaders.The book provides a valuable overview for business leaders lookingto develop and implement effective compliance programs and instilla culture of integrity in order to help their organizations defeatthe challenges posed by today's sophisticated fraudsters."
—Jeffrey Eglash, Senior Counsel, Litigation & LegalPolicy, GE

"Biegelman and Bartow provide great insight into not justhow fraud occurs inside of companies, but why.Preventing fraud requires a solid understanding of both, makingthis book a must read for any executive who is serious aboutcreating the compliance mechanisms and the corporate culture neededfor effective fraud prevention."
—Aaron G. Murphy, Partner, Latham & WatkinsLLP 

"Business leaders would be wise to follow the recommendations inthis book. Fraud prevention is more than just creating a set ofpolicies. As the subtitle indicates, it is essential to create aculture of compliance. Empty words accomplish nothing. Theauthors, both experienced fraud examiners, have spent decadesinvestigating fraud, as well as developing strategies to preventit. This book is an essential tool in creating an anti-fraudenvironment in any company."
—James D. Ratley, CFE, President & CEO, Associationof Certified Fraud Examiners 

"Biegelman and Bartow's Executive Roadmap to Fraud Preventionand Internal Control is an essential guide for all who have aninterest in eradicating corporate or institutional fraud. Writtenby experts in detecting and preventing fraud in its myriad forms,this book is a handy source for those who hope to avoid thepredicaments that the authors have seen or in managing the crisesthat arise when the problems cannot be avoided. The new secondedition is an indispensable addition to the libraries of internalcompliance and legal officers, and forensic accountants."
—Joel M. Cohen, Partner, Gibson Dunn & Crutcher,former New York federal prosecutor and liaison to the FrenchMinistry of Justice and OECD

"Biegelman & Bartow's book offers expert guidance to anyonetasked with understanding and tackling fraud in the workplace.Their straightforward approach informs the reader and provides aroadmap and guidance for implementation of an effective fraudmechanism within any organization – small or large. I plan toprovide a copy of the book to my Board of Directors and executivemembers of management."
—Lisanne E. S. Cottington, Compliance Officer, InsightEnterprises, Inc.

"This next edition is extremely timely. It covers key topicsthat any management member needs to know in today’sregulatory climate. These authors have used their extensivecorporate and government experience to create a practical and easyto understand compliance guide. A superb resource for anyexecutive."
—Karen Popp, Partner at Sidley Austin LLP and formerfederal prosecutor and Associate Counsel to PresidentClinton

"With executives increasingly on the hot seat when corporatecompliance issues arise, clear guidance regarding risk areas andbest practices is invaluable. Executive Roadmap to FraudPrevention and Internal Control contains a timely combinationof illustrative stories and practice tips regarding hazards in thiscomplex area. It is a good resource for both corporate executivesand the many professionals assisting corporations to prevent ordetect fraud and build a culture of legal compliance."
—Barb Dawson, partner with focus on internalinvestigations and business litigation, Snell & WilmerLLP

"Executive Roadmap to Fraud Prevention and Internal Control:Creating a Culture of Compliance is a truly phenomenalbook. Martin Biegelman and Joel Bartow have accomplished anincredible achievement: they have flawlessly bridged the chasmbetween the theoretical/academic and practical/tangible. This is avolume that should not be on the bookshelf of everymanager interested in compliance and fraud prevention (which shouldbe every manager); it should be dog-eared and open on thedesktop of every such manager! Kudos to Messrs.Biegelman and Bartow!"
—William J. Kresse, M.S., J.D., CPA, CFF, CFE;Associate Professor, Graham School of Management; Director, Centerfor the Study of Fraud and Corruption, Saint Xavier University,Chicago 

"Biegelman and Bartow have again provided an invaluable resourcefor leaders in the corporate world who have responsibility forfraud, integrity, and compliance. They send a clear message thataddressing fraud is a two part process- establishing robustcontrols and detection measures; and creating a culture ofcompliance and integrity. This work provides a detailed tourthrough the world of fraud controls while keeping the importance ofculture at the forefront."
—Ronald C. Petersen, Executive Director, GlobalSecurity, Ally Financial 

"From the perspective of an ethics and compliance practitioner,Martin Biegelman's and Joel Bartow's new offering is a Thanksgivingfeast. Too often, companies and organizations get caught up in themoment, and don't stand back to examine the cultural,organizational and historic reasons that fraud exists. Biegelmanand Bartow plow that road, and use their insights to offerinvaluable tips in the design of effective anti-fraudprograms."
—James D. Berg, Vice President, Chief Ethics andCompliance Officer, Apollo Group Inc. 

"Biegelman and Bartow have indeed produced afunctional roadmap for the executive to follow in fraudprevention and internal control. This book is a great asset forthose engaged in the seemingly endless struggle to control fraud. A'must read' for the industry."
—Raymond L. Philo, MPA, Executive Director, EconomicCrime Institute, Utica College

"As if Executive Roadmap to Fraud Prevention andInternal Control wasn't a powerful enough tool for fraudfighters, now Biegelman and Bartow have added fresh insight andadvice to the second edition. With compelling updates on costlyinternal and external fraud and corruption, together witheasy-to-read descriptions of latest fraud-fighting technologies,this is a must-read for fraud examiners, auditors, attorneys andothers—whether they've read the first edition or not."
—Peter Goldmann, President, White-Collar Crime 101LLC/FraudAware

"Fraud borders on the ubiquitous in contemporary corporateculture. This book provides a rich and comprehensive guide tocrafting a state of the art fraud deterrence program. While thebook is sure to better equip corporate executives and directors intheir fight against fraud, I intend to draw heavily upon itscontent in educating accounting students who represent the CEO'sand CFO’s of the future."
—Ingrid E. Fisher, PhD, CPA, Associate Professor andChair of the Department of Accounting and Law, The University atAlbany-SUNY

"The book's exploration of fraud theories ranging from 'rottenapple' to the 'potato chip'
(can't eat just one!), provides useful examination of thepsychology of corporate fraud that explains its recurring natureand offers clues to creating a fraud resistant culture."
—Zachary W. Carter, Partner and head of the TrialGroup, Dorsey & Whitney LLP and former United States Attorneyfor the Eastern District of New York

"synopsis" may belong to another edition of this title.

From the Back Cover:

Praise for Executive Roadmap to Fraud Prevention andInternal Control Second Edition

"This book touches all the bases on corporate fraud. Theauthors—both experienced fraud investigators and federal lawenforcement agents—lay out the history and major milestonesof corporate fraud, and discuss with precision the key issuesfacing today's executives and compliance leaders. The book providesa valuable overview for business leaders looking to develop andimplement effective compliance programs and instill a culture ofintegrity in order to help their organizations defeat thechallenges posed by today's sophisticated fraudsters."
Jeffrey Eglash, Senior Counsel, Litigation &Legal Policy, GE

"Biegelman and Bartow's book offers expert guidance to anyonetasked with understanding and tackling fraud in the workplace.Their straightforward approach informs the reader and provides aroadmap and guidance for implementation of an effective fraudmechanism within any organization—small or large. I plan toprovide a copy of the book to my board of directors and executivemembers of management."
Lisanne E. S. Cottington, Compliance Officer, InsightEnterprises, Inc.

"Business leaders would be wise to follow the recommendations inthis book. Fraud prevention is more than just creating a set ofpolicies. As the subtitle indicates, it is essential to create aculture of compliance. Empty words accomplish nothing. The authors,both experienced fraud examiners, have spent decades investigatingfraud, as well as developing strategies to prevent it. This book isan essential tool in creating an anti-fraud environment in anycompany."
James D. Ratley, CFE, President & CEO,Association of Certified Fraud Examiners

"Biegelman and Bartow's Executive Roadmap to Fraud Preventionand Internal Control is an essential guide for all who have aninterest in eradicating corporate or institutional fraud. The newSecond Edition is an indispensable addition to the libraries ofinternal compliance and legal officers and forensicaccountants."
Joel M. Cohen, Partner, Gibson, Dunn & Crutcher;former New York federal prosecutor and liaison to the FrenchMinistry of Justice and OECD

"This new edition is extremely timely. These authors have usedtheir extensive corporate and government experience to create apractical and easy-to-understand compliance guide. A superbresource for any executive."
Karen Popp, Partner, Sidley Austin LLP, and formerfederal prosecutor and Associate Counsel to President Clinton

"Martin Biegelman and Joel Bartow convert their lifelongexperiences and unparalleled knowledge into a concise, well-writtenbook. They provide the essential tools to take aspirational goalsfor fraud prevention and compliance and build them into concreteand effective programs."
From the Foreword by Bradley J. Bondi, Partner,Cadwalader, Wickersham & Taft LLP

"Biegelman and Bartow provide great insight into not just howfraud occurs inside of companies, but why. Preventing fraudrequires a solid understanding of both, making this book amust-read for any executive who is serious about creating thecompliance mechanisms and the corporate culture needed foreffective fraud prevention."
Aaron G. Murphy, Partner, Latham & WatkinsLLP

From the Inside Flap:

As long as there is human deception and naiveté, there willbe fraud. Beyond the financial devastation to the balance sheet isfraud's enduring impact to a disgraced organization's reputation.In Executive Roadmap to Fraud Prevention and Internal Control,Second Edition, you'll learn how to develop a best-in-class fraudprevention and internal control compliance program that will ensureeffective regulatory compliance in your organization as well assubstantial savings from fraud losses, government prosecutions, andshareholder litigation.

Authors Martin Biegelman and Joel Bartow share their combinedsixty-plus years of experience in both the public and privatesectors detecting and investigating fraud and white-collar crime toprovide you with a thorough understanding of the principles offraud examination and state-of-the-art compliance programs. Now ina thoroughly updated second edition, Executive Roadmap to FraudPrevention and Internal Control covers the most recent corporatefraud laws, crimes, and events.

Written for corporate executives and managers who understand theimportance and ramifications of good corporate governance, ethicsand compliance, Executive Roadmap to Fraud Prevention and InternalControl explores:

  • The major compliance and corporate governance initiatives from1985–2011

  • A 14-point program your business can use to proactively preventfraud

  • ACFE Fraud Prevention Check-Up to test how vulnerable yourorganization is to fraud

  • Best practices for hotlines and whistleblower protection

  • Fraud Triangle and other theories and models explaining how andwhy fraud occurs

  • How the government investigates and prosecutes corporatefraud

  • Interviews with former fraudsters

  • Key steps in designing a robust fraud prevention program

  • Role of the Sarbanes-Oxley Act in reducing corporate fraud

  • Enterprise Risk Management

  • Global fraud and corruption risk

  • The Foreign Corrupt Practices Act (FCPA)

  • Updates to the Federal Sentencing Guidelines for OrganizationalCrime

  • The impact of the financial crisis and "Too Big To Fail"policy

  • Case studies of corporate frauds including Enron, WorldCom,Tyco, Computer Associates, and Satyam

  • Technology trends and tools to protect organizations

  • Lessons your business can apply now and in the future to preventfraud

Executive Insights throughout the book detail case studies,while an Executive Summary in each chapter condenses the keypoints. In addition, there are sample policies, real-worldexamples, an instructor's URL (including a test bank to aid incourse adoptions), checklists, and best practices.

Simply reacting to fraud issues is no longer acceptable. Stopfraud in its tracks today with the field-tested, proactive methodsfound in Executive Roadmap to Fraud Prevention and InternalControl, Second Edition.

"About this title" may belong to another edition of this title.

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