Course Description:

According to the ACFE’s Report to the Nations on Occupational Fraud & Abuse, the typical organization loses 5% of its revenues to fraud each year.

Are you confident that the financial transactions within your company protected? Have you recently conducted a fraud risk assessment and does your internal controls program properly mitigate risk? Do you have an updated and robust internal controls program that focuses on mitigating the greatest fraud risks? Are your employees aware of the fraud flags within all financial transaction business processes? Do your employees know what to do if they find a fraud? Is your company aware of its compliance requirements and the potential impact of non-compliance?

This seminar will provide answers to all these questions and will arm you with a toolkit that will help you immediately protect the integrity of your financial transactions and address the risk of fraud. The course will focus on Purchasing, Accounts Payable, P-Card, T&E, Accounts Receivable, Payroll, Inventory, and Financial Reporting.

The one-and-a-half day seminar will provide proven internal controls standards that have been implemented at Fortune 100 companies and were instrumental in correcting the control issues and preventing future fraud at MCI (formally WorldCom). The instructor will explain how Continuous Controls Monitoring (CCM) can be implemented in your organization as an internal controls best practice. Actual fraud case studies will be reviewed and processes to prevent the same from happening again will be discussed. Seminar attendees will receive a Fraud Risk Assessment and Prevention Toolkit that will assist in the protection of the integrity of their company’s financial transactions.

Learning Objectives:

Key goals of this course are:

  • To provide the awareness of the types of fraud that can impact an organization
  • To review the importance of “tone at the top” and how to implement a business ethics process
  • To provide a roadmap for conducting a Fraud Risk Assessment and mapping the control to the risk
  • To learn about the details of two critical corporate level controls and how these controls can protect your company
    • Delegation of Authority
    • Segregation of Duties
  • To discuss the specific flags that indicate a financial transaction fraud
  • The course will focus on the following business processes:
    • Purchasing
    • Accounts Payable
    • P-Card
    • T&E
    • Accounts Receivable
    • Payroll
    • Inventory
    • Financial Reporting
  • To discuss key case studies and how the fraud could have been prevented
    • The Sarbanes Oxley Act of 2002
    • The Foreign Corrupt Practices Act (FCPA)
    • The Office of Foreign Assets Controls (OFAC)
    • International ACH Transactions (IAT)
    • The Office of Inspector General (OIG)
  • To review the key concepts and implementation steps of CCM

Who will Benefit:

  • CFOs, Controllers
  • Finance and accounting personnel
  • Business process owners
  • CAEs
  • Internal auditors, internal control managers and directors
  • Personnel in legal department
  • Regulatory and compliance officers
  • Risk managers

Course Outline:

Day One (8:30 AM – 4:30 PM) Day Two (8:30 AM – 1:00 PM)

Registration Process: 8:30 AM – 9:00 AM

Session Start Time: 9:00 AM

  1. Understanding the Basics (1 Hour)
    1. Fraud Awareness 101
      • The Impact of Fraud
      • The Fraud Triangle
      • The Fraud Diamond
      • Types of Fraud
      • The Business Processes Impacted
  2. “Tone at the Top” and Corporate Level Controls (1 Hour)
    1. “Tone at the Top” and Business Ethics
      • Implementing a Business Ethics Process: Ten Key Steps
      • Examples: Code of Conducts
      • Roles and Responsibilities
      • Whistleblower Protection
    2. Two Critical Corporate Controls
      • Delegation of Authority
      • Segregation of Duties
    3. Entity Level Controls
      • Definition
      • Example: Entity Level Controls Questionnaire
    4. Case Studies: When “Tone at the Top” is Flawed
      • WorldCom
      • Enron
      • HealthSouth
  3. Preventing and Detecting Financial Transaction Fraud (5 Hours)
    1. Standards of Internal Controls
    2. What is Financial Transaction Fraud?
      • Definition
      • Examples
    3. What Business Processes are impacted?
      • Purchasing
      • Accounts Payable
      • P-Card
      • T&E
      • Accounts Receivable
      • Payroll
      • Inventory
      • Financial Reporting
    4. Fraud Flags and Internal Controls
      • Purchasing
      • Accounts Payable
      • P-Card
      • T&E
      • Accounts Receivable
      • Payroll
      • Inventory
      • Financial Reporting
    5. Financial Transaction Fraud Case Studies
      • What Went Wrong?
      • Prevention and Detection

Welcome (15 Minutes)

  1. Compliance Consideration (2 Hours)
    • The Sarbanes Oxley Act of 2002
    • The Foreign Corrupt Practices Act (FCPA)
    • The Office of Foreign Assets Controls (OFAC)
    • International ACH Transactions (IAT)
    • The Office of Inspector General (OIG)
    • Massive Fines for Non-Compliance
      • Wal-Mart
      • Chiquita
      • Avon
  2. Continuous Controls Monitoring (CCM) (2 Hours)
    • Definition
    • The Pros and Cons
    • Alternatives
    • Implementation Roadmap
  3. The CCM Toolkit ( 45 Minutes)
    • Example Policies
    • Compliance Programs
    • References and Links

Meet Your Instructor

Chris Doxey

Chris Doxey, is currently an independent management consultant specializing in internal controls, compliance, corporate governance and policy, procure-to-pay, supplier management, financial system architecture, and financial business process best practices. Ms. Doxey has held senior financial management and controller positions at Digital Equipment Corporation, Compaq Computer Corporation, Hewlett Packard, MCI, APEX Analytix, and BSI Healthcare. She was recruited to lead the Sarbanes Oxley effort at MCI (formally WorldCom) because of her extensive background in internal controls.

She is a Certified Accounts Payable Professional (CAPP), holds a Certification in Controls Self -Assessment (CSA), and also is a Certified Internal Controls Auditor (CICA). She has developed a certification program for controllers for the Institute of Finance and Management (IOFM). She has also written a controller’s best practices guide and has developed a controller’s toolkit. She recently completed a significant project which resulted in the implementation of a new budget process for a global government contractor.

She is a long time member of the Institute of Financial Operations (IFO), the Institute of Internal Auditors (IIA), and the Institute for Internal Controls (TheIIC). She is a member of the advisory board for TheIIC and is president of the Washington DC area chapter for both the IFO and TheIIC organizations.

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Chicago, IL, Local Attractions

Washington, DC, Local Attractions

One of the more breathtaking scenes on the lake is this tall ship approaching the docks at Navy Pier. The 148-foot four-masted schooner (and its new sister ship, the Windy II ) sets sail for 90-minute cruises two to five times a day, both day and evening. (Because the boats are sometimes booked by groups, the schedule changes each week; call first to confirm sailing times). The boats are at the whims of the wind, so every cruise charts a different course. Passengers are welcome to help raise and trim the sails and occasionally take turns at the ship's helm (with the captain standing close by). The boats are not accessible for people with disabilities.

The building may be historic (it was the first planetarium in the Western Hemisphere), but some of the attractions here will captivate the most jaded video-game addict.

Your first stop should be the modern Sky Pavilion, where the don't-miss experience is the StarRider Theater. Settle down under the massive dome, and you'll take a half-hour interactive virtual-reality trip through the Milky Way and into deep space, featuring a computer-generated 3-D-graphics projection system and controls in the armrest of each seat. Six high-resolution video projectors form a seamless image above your head -- you'll feel as if you're literally floating in space. If you're looking for more entertainment, the Sky Theater shows movies with an astronomical bent; recent shows have included Secrets of Saturn and Mars Now!

With its gleaming-white, palatial, six-story grandstand and lush gardens, this racecourse is one of the most beautiful showcases for thoroughbred horse racing in the world. Its storied history stretches back to 1927, and such equine stars as Citation, Secretariat, and Cigar have graced the track. The annual Arlington Million (the sport's first million-dollar race, held in mid-Aug) attracts top jockeys, trainers, and horses and is part of the World Series Racing Championship, which includes the Breeders Cup races. Arlington's race days are thrilling to behold, with all of racing's time-honored pageantry on display -- from the bugler in traditional dress to the parade of jockeys.

You can't -- and shouldn't -- miss the Art Institute. (You really have no excuse, since it's conveniently located right on Michigan Ave. in the heart of downtown.) No matter what medium or century interests you, the Art Institute has something in its collection to fit the bill. Japanese ukiyo-e prints, ancient Egyptian bronzes, Greek vases, 19th-century British photography, masterpieces by most of the greatest names in 20th-century sculpture, and modern American textiles are just some of the works on display, but for a general overview of the museum's collection, take the free "Highlights of the Art Institute" tour Saturday and Sunday.

A truly grand theater with historic-landmark status, the Auditorium gives visitors a taste of late-19th-century Chicago opulence. Because it's still a working theater -- not a museum -- it's not always open to the public during the day; to make sure you'll get in, schedule a guided tour, which are offered on Mondays at 10am and noon.

Designed and built in 1889 by Louis Sullivan and Dankmar Adler, the 4,000-seat Auditorium was a wonder of the world: the heaviest (110,000 tons) and most massive modern edifice on earth, the most fireproof building ever constructed, and the tallest building in Chicago. It was also the first large-scale building to be lit by electricity, and its theater was the first in the country to install air-conditioning. Originally the home of the Chicago Opera Company, Sullivan and Adler's masterpiece is defined by powerful arches lit by thousands of bulbs and features Sullivan's trademark ornamentation -- in this case, elaborate golden stenciling and gold plaster medallions. It's equally renowned for otherworldly acoustics and unobstructed sightlines.


Explore a quaint historic town just over the Potomac River from Washington, DC. The lively waterfront area has plenty of things to do. Visit colonial houses, public parks, churches, museums, a marina, unique shops, and restaurants.

The Washington DC region is lucky to have this wonderful historic park that offers a quick relief from hectic city life. Take the whole family for a walk and learn about the historic C & O Canal, explore the region's bike trails or spend a few hours kayaking and enjoying the breathtaking scenery.

Take a picnic and enjoy spectacular views of the Potomac River at this 800 acre park, located just 14 miles from Washington DC. Great Falls offers a variety of activities including hiking, kayaking, rock climbing, bicycling, and horseback riding.

Georgetown is the capital’s historic waterfront that today is bustling with activity. The area is a shopper’s paradise and the streets are lined with restaurants of every nationality. Take a tour of historic sites, do some shopping and enjoy a meal at a local restaurant.

Explore the U.S. Capitol Building, the White House and the U.S. Supreme Court and you will gain a fuller understanding of the division of power within our democratic government. Plan ahead and note that some tours must be scheduled in advance through your Congressional Representative.

Live theatrical productions at the John F. Kennedy Center for Performing Arts are entertainment at its finest. Purchase tickets in advance for performances ranging from musicals to concerts by the National Symphony or see a free show at the Millennium Stage.

With the recent addition of the new museum and education center, Mount Vernon is now a full day excursion. Explore the state of the art galleries and theaters, visit the 500-acre estate of George Washington and his family, tour the 14-room mansion that is beautifully restored and furnished with original objects dating back to the 1740's. Be sure to plan enough time to tour the outbuildings, including the kitchen, slave quarters, smokehouse, coach house and stables. The estate is located in Northern Virginia, just minutes from Washington, DC.

Our national monuments are truly spectacular. The best time to see them is at night when they are illuminated, less crowded and parking is easier. During daytime visits, take a tour bus. Listen to informative park ranger talks and you won’t have to negotiate congested city traffic.

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