Course Description:

People commit Occupational Fraud and will continue to do so. The question is, can you prevent it and reduce fraud losses? The answer is yes.

Certain key aspects of fraud prevention are within management's control. The Fraud Triangle, Developed by American Sociologist Dr. Donald Cressey, is a model for explaining the factors that cause an otherwise normal person to commit occupational fraud; the triangle comprises three factors: pressures/incentives, rationalizations and opportunities. Those opportunities result from weaknesses in internal controls. Thus, it is the opportunity factor for which management has responsibility, and which management can impact, - by implementing internal controls to ensure the accuracy, integrity and safety of the organization's resources. One of the most important steps an organization can take to prevent and deter fraud is to design and enforce a robust system of internal controls effective for fighting fraud.

This course will review the three main occupational fraud categories and numerous fraud schemes within them. Controls to prevent and detect fraud in each of the fraud schemes will be studied. Because cyber security threats have become a greater problem for businesses, this course will devote some time to proactive approaches companies can take to protect their information systems. Lastly, the course will review the new COSO Internal Control - Integrated Framework (2013) model and how it is used to prevent occupational fraud in a typical organization.

Course Benefits:

  • Real fraud cases that illustrate how weaknesses in internal controls are exploited by employees and result in fraud losses will be discussed.
  • Comprehensive checklists of internal controls to prevent fraudulent schemes will be provided for numerous occupational fraud types.
  • The three main occupational fraud categories and the various fraud schemes within them will be reviewed.
  • Interesting insights will be provided related to the behavioral aspects of fraud assisting management with their duties to establish an ethical control environment
  • .
  • Hot topics such as preventing cyber fraud will be discussed.

Seminar Fee Includes:

AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar

Learning Objectives:

  • Learn the three main Occupational Fraud Categories, Corruption, Asset Misappropriation and Financial Reporting and the fraud schemes typically perpetrated within those categories
  • Learn how weaknesses in internal controls allow the schemes to be perpetrated.
  • Learn internal controls to prevent and detect fraud for fraud schemes studied including vendor fraud schemes, revenue recognition fraud schemes, cyber fraud, expense reimbursement fraud, disbursement fraud schemes, etc.
  • Learn how to minimize the impact of the fraud by detecting behavioral red flags for fraud early.
  • Learn how the COSO 2013 Framework helps to prevent and detect fraud.

Areas Covered:

  • Occupational Fraud
  • Corruption
  • Asset Misappropriation
  • Financial Reporting Fraud
  • COSO Internal Control - Integrated Framework (2013)
  • Internal Controls to Prevent Fraud
  • Behavioral Red Flags for Fraud
  • Internal Controls to Detect Fraud
  • Cyber Fraud

Who will Benefit:

  • Chief Internal Auditor
  • Controller
  • CFO
  • Audit Managers
  • Procurement Officer
  • Ethics Officer
  • Accounts Payable Manager
  • Finance and Accounting Professionals
  • All professionals who want to expand their knowledge in ways to prevent and detect fraud, including CPAs (partners, managers and staff) responsible for auditing,
  • Internal auditors, who have a responsibility to consider fraud in the course of their audit,
  • Business and financial professionals, who have a responsibility and duty to their organization to prevent and detect fraud Management

Course Outline:

Day 1 (8:30 AM – 4:30 PM) Day 2 (8:30 AM – 4:30 PM)
  • 8:30 – 9:00 AM: Registration
  • 9:00 AM: Session Start Time
  • What is Fraud?
    • Definition
    • Fraud Triangle
    • What does it cost
    • How long does it last
  • 3 Main Categories of Fraud
    • Corruption
    • Asset misappropriation
    • Financial Reporting
  • Vendor Fraud and Procurement Fraud
    • Schemes
    • Controls to prevent and detect
  • Cyber Security Fraud
    • Schemes
    • Controls to prevent and detect
  • Financial Reporting Fraud
    • Schemes
    • Controls to prevent and detect
  • Asset Misappropriation and Disbursement Schemes
    • Schemes
    • Controls to prevent and detect
  • COSO Internal Control – Integrated Framework (2013)
    • How to use the framework to prevent and detect fraud
  • Behavioral Red Flags
    • What are they?
    • How they can help you detect fraud
  • Real Fraud Cases
    • The Opportunity: Weaknesses in internal controls
    • How they could have been prevented

Meet Your Instructor

Anne M. McFadden, CPA, CFE, CFF, CGMA,
President of Capitol Financial Forensics & Accounting LLC (CaFFA)

Anne is the President of Capitol Financial Forensics & Accounting LLC (CAFFA), an accounting firm offering a full range of forensic accounting services to investigate, prevent, detect and deter fraud. Anne has over 30 years of experience as a business leader, forensic accountant, fraud investigator, risk manager, and compliance professional. Her experience includes directing and performing high-profile, mission-critical projects, and sensitive investigations related to financial reporting fraud, misappropriation of assets, and corruption, where cases involved C- Suite executives and potential exposures were in the millions to billions of dollars. She has over 7 years of experience in "Big Four" accounting firms leading the forensic accounting component of complex financial investigations and dispute matters and working with the audit teams of SEC registrants as the fraud subject matter expert.

Anne has the requisite credentials that boards and governance professionals want to see for fraud and misconduct investigators: Certified Public Accountant (CPA), a Certified Fraud Examiner (CFE), is Certified in Financial Forensics (CFF) by the AICPA, and holds the Chartered Global Management Accountant Designation (CGMA) from the AICPA. Anne has successfully designed and implemented organization-wide fraud risk management and compliance programs for public sector and nonprofit organizations to prevent, detect, and deter fraud. Additionally, Anne has extensive experience in both the public and private sector performing fraud risk assessments, designing and conducting fraud awareness training, designing monitoring projects, and assisting audit teams with the consideration of fraud. She is currently a Social Security Administration Representative Payee, FINRA Arbitrator and has been appointed to the NASDAQ Listing Qualifications Hearing Panel and the Disciplinary Hearings Panel for the Nasdaq OMX PHLX Futures Exchange.

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Local Attractions

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