Compliance Coordinator, Corporate Fraud, Culture, Ethics, Fraud and Forensic Inv..., Governance Jonathan T. Marks Compliance Coordinator, Corporate Fraud, Culture, Ethics, Fraud and Forensic Inv..., Governance Jonathan T. Marks

Governance, Fraud, & Corporate Culture: Sorting Through a Complicated Relationship

I recall being asked to perform a cultural risk assessment in late 2004 because certain members of a client company’s board of directors were concerned about communication and information flow. Specifically, they wanted to know if issues were being raised timely and appropriately and not extinguished by mid-level managers. The board and senior management were not concerned about fraud or ethical violations, even though some events should have caused concern.

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10-80-10, 10-A, 3 Lines, ACFE, AICPA, Analytics, Anti-fraud, Antitrust, Audit, Audit Committee, Automation, Baker Tilly, Blockchain, Board of Directors, Books and records, Bribery, Business Intelligence, Caremark, Cash, Chief Audit Executive, Chief Compliance Officer, Chief Legal Counsel, Colleges and Universities, Collusion, Compliance, Compliance Coordinator, Conflict of Interest, Continuous Auditing, Continuous Monitoring, Control, Control Environment, Coronavirus, Corporate Fraud, Corruption, COSO, Court, COVID -19, Crisis, Crisis Management, Critical Audit Matters, Cross Border Investiga..., Cryptocurrency, Culture, Culture Assessment, Cyber, Damages, Data, Data Analytics, Data Integrity, Directors, Disclosure, Dodd Frank, Dodd-Frank, DOJ, Due Diligence, Dunning Kruger, Enforcement, Enterprise Risk Resili..., Enterprise Risk Resili..., EQS, ERM, Ethics, Evidence, Exit Interview, Fake Invoices, False Claims Act, FCPA, Federal Sentencing Gui..., Financial reporting an..., FinCen, Food Safety, Foreign Corrupt Practi..., Forensic Accounting, Forensically Speaking, Four eyes approval, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Investigations, Fraud Pentagon, Fraud Risk Management, Fraud Task Force, Fraud Triangle, GAAP, GDPR, General Counsel, Gifts, Global, Governance, GRC, Guidance, Hidden Assets, Hotline, IDORP, IIA, IIA Philadelphia, IIOT, Impairment, Initial Coin Offering, Insider Trading, Internal Audit, Internal Control Defic..., Internal Controls, Interview, Investigations, Jonathan T- Marks, Judgment and Estimates, Keyword, Kickbacks, Leadership, Legal, Lessons Learned, Management Override, Materiality, MD&A, Money Laundering, Monitor, Monitoring, Monitorship, NACD, Nonprofit, Not for Profit, OFAC, Office of Foreign Asse..., Oversight, Phishing, Podcast, Policies and Procedures, Process Improvement, Proxy, Qui Tam, ransom, Ransomeware, Red Flag, RegTech, Regulatory, Related Party, Remediation, Remote Internal Invest..., Remote Investigations, Reputation, Restatement, Risk, Risk Assessment, Risk factors, Risk Management, Robotic, Root Cause, Sampling, Sarbanes-Oxley, Seaboard, SEC, Shell Company, Skepticism, Slush Fund, Supreme Court, Tax, Tax Fraud, Technology, Theft, Third Party, Thought Leadership, Three Lines, Three Lines of Defense, Tips, tone at the top, Tone from the Top, Training, Treasury, Triage, Uncategorized, Values, Webinar, Whistleblower, White Collar Crime, Yellow Flag Jonathan T. Marks 10-80-10, 10-A, 3 Lines, ACFE, AICPA, Analytics, Anti-fraud, Antitrust, Audit, Audit Committee, Automation, Baker Tilly, Blockchain, Board of Directors, Books and records, Bribery, Business Intelligence, Caremark, Cash, Chief Audit Executive, Chief Compliance Officer, Chief Legal Counsel, Colleges and Universities, Collusion, Compliance, Compliance Coordinator, Conflict of Interest, Continuous Auditing, Continuous Monitoring, Control, Control Environment, Coronavirus, Corporate Fraud, Corruption, COSO, Court, COVID -19, Crisis, Crisis Management, Critical Audit Matters, Cross Border Investiga..., Cryptocurrency, Culture, Culture Assessment, Cyber, Damages, Data, Data Analytics, Data Integrity, Directors, Disclosure, Dodd Frank, Dodd-Frank, DOJ, Due Diligence, Dunning Kruger, Enforcement, Enterprise Risk Resili..., Enterprise Risk Resili..., EQS, ERM, Ethics, Evidence, Exit Interview, Fake Invoices, False Claims Act, FCPA, Federal Sentencing Gui..., Financial reporting an..., FinCen, Food Safety, Foreign Corrupt Practi..., Forensic Accounting, Forensically Speaking, Four eyes approval, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Investigations, Fraud Pentagon, Fraud Risk Management, Fraud Task Force, Fraud Triangle, GAAP, GDPR, General Counsel, Gifts, Global, Governance, GRC, Guidance, Hidden Assets, Hotline, IDORP, IIA, IIA Philadelphia, IIOT, Impairment, Initial Coin Offering, Insider Trading, Internal Audit, Internal Control Defic..., Internal Controls, Interview, Investigations, Jonathan T- Marks, Judgment and Estimates, Keyword, Kickbacks, Leadership, Legal, Lessons Learned, Management Override, Materiality, MD&A, Money Laundering, Monitor, Monitoring, Monitorship, NACD, Nonprofit, Not for Profit, OFAC, Office of Foreign Asse..., Oversight, Phishing, Podcast, Policies and Procedures, Process Improvement, Proxy, Qui Tam, ransom, Ransomeware, Red Flag, RegTech, Regulatory, Related Party, Remediation, Remote Internal Invest..., Remote Investigations, Reputation, Restatement, Risk, Risk Assessment, Risk factors, Risk Management, Robotic, Root Cause, Sampling, Sarbanes-Oxley, Seaboard, SEC, Shell Company, Skepticism, Slush Fund, Supreme Court, Tax, Tax Fraud, Technology, Theft, Third Party, Thought Leadership, Three Lines, Three Lines of Defense, Tips, tone at the top, Tone from the Top, Training, Treasury, Triage, Uncategorized, Values, Webinar, Whistleblower, White Collar Crime, Yellow Flag Jonathan T. Marks

2020 Top 10 Articles on Fraud, Compliance, and Risk Management

Happy New Year, and thank you to the more than 100,000 people that visited Board and Fraud in 2020!
With everything that happened last year, fraud, compliance, and risk management have arguably become more important than ever.

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Anti-fraud, Antitrust, Chief Compliance Officer, Compliance, Compliance Coordinator, FCPA, Foreign Corrupt Practi..., Fraud and Forensic Inv..., OFAC, Office of Foreign Asse... Jonathan T. Marks Anti-fraud, Antitrust, Chief Compliance Officer, Compliance, Compliance Coordinator, FCPA, Foreign Corrupt Practi..., Fraud and Forensic Inv..., OFAC, Office of Foreign Asse... Jonathan T. Marks

The Continued Evolution of Best Practices for Compliance Programs

In 2019 and 2020, the federal government released significant information which directly impacted compliance professionals. We cover all three releases in this eBook, the 2020 Evaluation of Corporate Compliance Programs - Guidance Document, the 2019 Framework for OFAC Compliance Commitments, and the 2019 Evaluation of Corporate Compliance Programs in Criminal Antitrust Investigations.These three documents provided not only the government’s refreshed thinking on what constitutes a best practices compliance program. I have combined all three onto a best practices document.

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Audit Committee, Board of Directors, Business Intelligence, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, DOJ, Federal Sentencing Gui..., Fraud and Forensic Inv..., General Counsel, Governance, Internal Audit, Lessons Learned, Regulatory, Risk, Tone from the Top, Training, Whistleblower, White Collar Crime Jonathan T. Marks Audit Committee, Board of Directors, Business Intelligence, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, DOJ, Federal Sentencing Gui..., Fraud and Forensic Inv..., General Counsel, Governance, Internal Audit, Lessons Learned, Regulatory, Risk, Tone from the Top, Training, Whistleblower, White Collar Crime Jonathan T. Marks

DOJ Revises its Guidance on the Evaluation of Corporate Compliance Programs

Without any fanfare, the U.S. Department of Justice Criminal Division has once again revised its Evaluation of Corporate Compliance Programs (“ECCP”).  The ECCP  remains  organized around three overarching questions that prosecutors ask when evaluating compliance programs, with some revisions, which are in bold text below:Is the corporation’s compliance program well designed?Is the program being applied earnestly and in good faith? In other words, is the program being implemented adequately resourced and empowered to function effectively?Does the corporation’s compliance program work in practice?While most of the document is identical to the 2019 Guidance, there are subtle and noticeable revisions.  The revisions appear to be designed to help provide additional clarity when answering the above three questions. 

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10-A, Collusion, Compliance, Compliance Coordinator, Corporate Fraud, Data, DOJ, Enforcement, Fraud and Forensic Inv..., Fraud Investigations, Investigations, Keyword, SEC Jonathan T. Marks 10-A, Collusion, Compliance, Compliance Coordinator, Corporate Fraud, Data, DOJ, Enforcement, Fraud and Forensic Inv..., Fraud Investigations, Investigations, Keyword, SEC Jonathan T. Marks

Internal Investigations and Keywords

Investigative search terms are specific to each situation and are a primary tool used by the investigation team to identify possible relevant information in a data set. However, overly broad or poorly chosen terms or keywords can produce excessive and irrelevant results, or worse, miss the  "smoking gun" e-mail or document. Additionally, have you thought about the list of search terms or keywords being privileged or protected opinion work product in the context of an internal investigation?

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ACFE, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis, Crisis Management, Directors, Dodd Frank, Dodd-Frank, DOJ, Ethics, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Risk Management, Governance, Internal Audit, Internal Controls, Investigations, Money Laundering, Risk, Risk Management, Root Cause, SEC, Tone from the Top, Triage, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis, Crisis Management, Directors, Dodd Frank, Dodd-Frank, DOJ, Ethics, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Risk Management, Governance, Internal Audit, Internal Controls, Investigations, Money Laundering, Risk, Risk Management, Root Cause, SEC, Tone from the Top, Triage, Whistleblower, White Collar Crime Jonathan T. Marks

Whistleblowers: Tipsters not trusting the system?

Whistleblowers: Tipsters not trusting the system? Here's how to win them back.Anonymous hotlines and tip-reporting structures are useless, of course, if informants don’t trust them. Employees won’t blow the whistle if they fear reprisals. So, their concerns often don’t enter case-management systems and frauds continue. Here’s how to earn back their trust, take them seriously and transform raw tips into valuable fraud examinations.Ovem lupo commitere!

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Audit Committee, Baker Tilly, Board of Directors, Bribery, Caremark, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Directors, Fraud and Forensic Inv..., Fraud Risk Management, Governance, GRC, Regulatory, Risk Jonathan T. Marks Audit Committee, Baker Tilly, Board of Directors, Bribery, Caremark, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Directors, Fraud and Forensic Inv..., Fraud Risk Management, Governance, GRC, Regulatory, Risk Jonathan T. Marks

The Role of the Board of Directors in Compliance Oversight

Under the U.S. Federal Sentencing Guidelines, in order to receive credit for having an effective compliance program, and thereby reduce the fines imposed on the organization, a Board of Directors must be “knowledgeable about the content and operation of the compliance and ethics program,” and must “exercise reasonable oversight with respect to the implementation and effectiveness of the compliance and ethics program.” In addition, in criminal actions against a business organization, including the FCPA, the DOJ’s Justice Manual instructs prosecutors to ask and answer several questions, including: 1) Do the Directors exercise independent review of the company’s compliance program? and 2) Are Directors provided timely and accurate information sufficient to enable the exercise of independent judgment?

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Anti-fraud, Audit, Audit Committee, Baker Tilly, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Corruption, Culture, Culture Assessment, Data Analytics, Directors, DOJ, Ethics, FCPA, Forensic Accounting, Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Global, Governance, IIA, IIA Philadelphia, Internal Audit, Internal Control Defic..., Internal Controls, Investigations, Jonathan T- Marks, Management Override, Money Laundering, Policies and Procedures, Process Improvement, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Technology, Theft, Third Party, Tone from the Top, Training, Triage, Values, White Collar Crime Jonathan T. Marks Anti-fraud, Audit, Audit Committee, Baker Tilly, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Corruption, Culture, Culture Assessment, Data Analytics, Directors, DOJ, Ethics, FCPA, Forensic Accounting, Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Global, Governance, IIA, IIA Philadelphia, Internal Audit, Internal Control Defic..., Internal Controls, Investigations, Jonathan T- Marks, Management Override, Money Laundering, Policies and Procedures, Process Improvement, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Technology, Theft, Third Party, Tone from the Top, Training, Triage, Values, White Collar Crime Jonathan T. Marks

IIA Philadelphia and Baker Tilly’s Fraud & Ethics Symposium is Postponed! Stay tuned for the new date.

This one-day fraud symposium, sponsored by Baker Tilly's Global Forensic, Compliance and Integrity Services, and Solutions Practice Group and hosted by the Institute of Internal Auditors, Philadelphia Chapter, will include topics such as:•Culture•Current trends in white-collar crime•Tone is the middle•Policy management•Case study on a local fraudDiscover who will be speaking and register for the event!

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Anti-fraud, Audit Committee, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Collusion, Compliance Coordinator, Corporate Fraud, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud and Forensic Inv..., Fraud Investigations, Fraud Pentagon, Fraud Risk Management, GDPR, General Counsel, Internal Audit, Internal Control Defic..., Internal Controls, Investigations, Jonathan T- Marks, Red Flag, Risk, Risk Assessment, Risk Management, SEC, Skepticism, White Collar Crime Jonathan T. Marks Anti-fraud, Audit Committee, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Collusion, Compliance Coordinator, Corporate Fraud, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud and Forensic Inv..., Fraud Investigations, Fraud Pentagon, Fraud Risk Management, GDPR, General Counsel, Internal Audit, Internal Control Defic..., Internal Controls, Investigations, Jonathan T- Marks, Red Flag, Risk, Risk Assessment, Risk Management, SEC, Skepticism, White Collar Crime Jonathan T. Marks

Bribery Schemes and Their Compliance Responses

This writing will highlight some of the more unusual bribery schemes described in 2019 Foreign Corrupt Practices Act (FCPA) enforcement actions and also consider their impact on compliance programs, what they mean for the compliance professional and how the government could potentially use these cases to require more effective compliance programs going forward.Fraudsters are always looking for loopholes and weak spots to exploit. The same is true for those engaged in bribery and corruption. The role of every compliance professional is to prevent, detect and remediate. By following some of the approaches I have outlined, you can move towards more robust detection.

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ACFE, Analytics, Anti-fraud, Audit, Audit Committee, Automation, Baker Tilly, Board of Directors, Books and records, Bribery, Caremark, Cash, Chief Audit Executive, Chief Compliance Officer, Colleges and Universities, Collusion, Compliance, Compliance Coordinator, Conflict of Interest, Continuous Monitoring, Control Environment, Corporate Fraud, Corruption, COSO, Court, Crisis Management, Critical Audit Matters, Cross Border Investiga..., Culture, Culture Assessment, Cyber, Damages, Data, Data Analytics, Data Integrity, Directors, Dodd Frank, Dodd-Frank, DOJ, Due Diligence, ERM, Ethics, Evidence, False Claims Act, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Four eyes approval, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, Fraud Triangle, GDPR, General Counsel, Global, Governance, GRC, Hidden Assets, Hotline, IIA, IIA Philadelphia, IIOT, Internal Audit, Internal Control Defic..., Internal Controls, Interview, Investigations, Jonathan T- Marks, Management Override, Materiality, Money Laundering, Monitor, Monitoring, Monitorship, NACD, Nonprofit, Not for Profit, Phishing, Podcast, Policies and Procedures, Process Improvement, Proxy, Qui Tam, Red Flag, RegTech, Regulatory, Related Party, Remediation, Reputation, Restatement, Risk, Risk Assessment, Risk Management, Robotic, Root Cause, Sampling, Sarbanes-Oxley, Seaboard, SEC, Shell Company, Skepticism, Slush Fund, Supreme Court, Tax, Tax Fraud, Technology, Theft, Third Party, Thought Leadership, Tips, Tone from the Top, Training, Treasury, Triage, Uncategorized, Values, Whistleblower, White Collar Crime, Yellow Flag Jonathan T. Marks ACFE, Analytics, Anti-fraud, Audit, Audit Committee, Automation, Baker Tilly, Board of Directors, Books and records, Bribery, Caremark, Cash, Chief Audit Executive, Chief Compliance Officer, Colleges and Universities, Collusion, Compliance, Compliance Coordinator, Conflict of Interest, Continuous Monitoring, Control Environment, Corporate Fraud, Corruption, COSO, Court, Crisis Management, Critical Audit Matters, Cross Border Investiga..., Culture, Culture Assessment, Cyber, Damages, Data, Data Analytics, Data Integrity, Directors, Dodd Frank, Dodd-Frank, DOJ, Due Diligence, ERM, Ethics, Evidence, False Claims Act, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Four eyes approval, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, Fraud Triangle, GDPR, General Counsel, Global, Governance, GRC, Hidden Assets, Hotline, IIA, IIA Philadelphia, IIOT, Internal Audit, Internal Control Defic..., Internal Controls, Interview, Investigations, Jonathan T- Marks, Management Override, Materiality, Money Laundering, Monitor, Monitoring, Monitorship, NACD, Nonprofit, Not for Profit, Phishing, Podcast, Policies and Procedures, Process Improvement, Proxy, Qui Tam, Red Flag, RegTech, Regulatory, Related Party, Remediation, Reputation, Restatement, Risk, Risk Assessment, Risk Management, Robotic, Root Cause, Sampling, Sarbanes-Oxley, Seaboard, SEC, Shell Company, Skepticism, Slush Fund, Supreme Court, Tax, Tax Fraud, Technology, Theft, Third Party, Thought Leadership, Tips, Tone from the Top, Training, Treasury, Triage, Uncategorized, Values, Whistleblower, White Collar Crime, Yellow Flag Jonathan T. Marks

Speaking and Training on Fraud, Compliance, Ethics, and More...

Welcome to my site. I have spoken and been the keynote speaker for many conferences, including the ABA, ACC, ACFE, IIA, and IMA to name a few. I have designed customized training for the board, senior leadership, legal, compliance, internal audit, and others for some of the world's largest organizations.

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Anti-fraud, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Crisis Management, Damages, Ethics, Foreign Corrupt Practi..., Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Internal Controls, Jonathan T- Marks, Management Override, Not for Profit, Regulatory, Remediation, Reputation, Risk, Risk Assessment, Risk Management, Whistleblower, White Collar Crime Jonathan T. Marks Anti-fraud, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Crisis Management, Damages, Ethics, Foreign Corrupt Practi..., Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Internal Controls, Jonathan T- Marks, Management Override, Not for Profit, Regulatory, Remediation, Reputation, Risk, Risk Assessment, Risk Management, Whistleblower, White Collar Crime Jonathan T. Marks

Reputation Risk Management Doesn’t Have a Start or End Date!

How can we protect our brand? What are we doing to protect our brand? Questions all board members should be constantly asking.  Reputational risks can damage the most well-crafted business strategies and is a growing challenge that companies around the world are still learning how to manage.By definition, reputational risk refers to the potential for negative publicity, public perception, or uncontrollable events to adversely impact a company's reputation, thereby affecting its revenue.Board directors covet their company’s reputation because it’s their most valuable asset. A study by Deloitte and Forbes affirmed this conviction, but should not surprise anyone.  Senior-level executives also agreed that their company’s reputation presented the greatest risk to the company’s ability to achieve business strategies.

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Anti-fraud, Audit Committee, Board of Directors, Books and records, Bribery, Compliance, Compliance Coordinator, Corporate Fraud, Corruption, Directors, DOJ, ERM, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Four eyes approval, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, Internal Audit, Internal Control Defic..., Internal Controls, Investigations, Monitor, Regulatory, SEC, Slush Fund, Triage, Whistleblower, White Collar Crime Jonathan T. Marks Anti-fraud, Audit Committee, Board of Directors, Books and records, Bribery, Compliance, Compliance Coordinator, Corporate Fraud, Corruption, Directors, DOJ, ERM, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Four eyes approval, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, Internal Audit, Internal Control Defic..., Internal Controls, Investigations, Monitor, Regulatory, SEC, Slush Fund, Triage, Whistleblower, White Collar Crime Jonathan T. Marks

Slush Funds and the Juniper Networks FCPA Settlement

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ACFE, Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Collusion, Compliance, Compliance Coordinator, Control Environment, Corporate Fraud, Crisis Management, Cross Border Investiga..., Damages, Directors, Dodd Frank, DOJ, ERM, Ethics, False Claims Act, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Governance, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Money Laundering, Monitoring, Process Improvement, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Shell Company, Thought Leadership, Tone from the Top, Training, Triage, Values, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Collusion, Compliance, Compliance Coordinator, Control Environment, Corporate Fraud, Crisis Management, Cross Border Investiga..., Damages, Directors, Dodd Frank, DOJ, ERM, Ethics, False Claims Act, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Governance, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Money Laundering, Monitoring, Process Improvement, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Shell Company, Thought Leadership, Tone from the Top, Training, Triage, Values, Whistleblower, White Collar Crime Jonathan T. Marks

Niki A. den Nieuwenboer will be kicking off the 2020 IIA Philly Fraud Symposium sponsored by Baker Tilly - Mark your calendars for March 20th!

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Compliance, Compliance Coordinator, DOJ, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, GRC, Internal Audit, Internal Controls, Investigations, Process Improvement, Red Flag, Regulatory, Remediation, Risk Assessment, Risk Management, Root Cause, Third Party, Tone from the Top, Training, White Collar Crime Jonathan T. Marks Compliance, Compliance Coordinator, DOJ, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, GRC, Internal Audit, Internal Controls, Investigations, Process Improvement, Red Flag, Regulatory, Remediation, Risk Assessment, Risk Management, Root Cause, Third Party, Tone from the Top, Training, White Collar Crime Jonathan T. Marks

e-Guide for Chief Compliance Officers

This e-book is intended as a guide for Chief Compliance Officers (CCOs) and those responsible for developing and implementing compliance policies and procedures for an organization. Compliance, when done properly and embraced fully, should be seen as a necessary business process. It is our vision that companies have more than a best-in-class compliance program going forward.
The time is now for companies to take the next step up to make compliance a part of the business process of the organization. This would not only allow companies to meet the Department of Justice’s requirement that compliance programs be more fully operationalized, but it is our firm belief that a more effective compliance program will make the company’s internal controls operate more efficiently and enable it to operate more profitably. With the increased efficiencies for compliance offered by data analytics and AI, a robust compliance program can demonstrate internal commercial inefficiencies which can be remediated for greater return from assets.

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Audit, Audit Committee, Baker Tilly, Board of Directors, Chief Audit Executive, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Directors, Ethics, FCPA, Fraud and Forensic, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, GRC, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Triage, Whistleblower, White Collar Crime Jonathan T. Marks Audit, Audit Committee, Baker Tilly, Board of Directors, Chief Audit Executive, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Directors, Ethics, FCPA, Fraud and Forensic, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, GRC, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Triage, Whistleblower, White Collar Crime Jonathan T. Marks

Crisis Management - Lights, Camera, Action!

Some of the biggest mistakes made when handling a crisis are not dealing with the problem head on, thoughtless or insincere comments, lack of communication with stakeholders, unprepared spokespeople, getting defensive after receiving backlash, or, sitting back and letting the problem grow. Domino's, Sony, Samsung, BP, United Airlines, Equifax, KFC, are all good examples of companies who stumbled with crisis management.  Organizations should study these crises and learn from the mistakes!

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Audit Committee, Board of Directors, Caremark, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Directors, Food Safety, Fraud and Forensic, Fraud Investigations, Internal Controls, Investigations, Monitor, Monitoring, Red Flag, Remediation, Risk Management, Root Cause, Yellow Flag Jonathan T. Marks Audit Committee, Board of Directors, Caremark, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Directors, Food Safety, Fraud and Forensic, Fraud Investigations, Internal Controls, Investigations, Monitor, Monitoring, Red Flag, Remediation, Risk Management, Root Cause, Yellow Flag Jonathan T. Marks

Caremark, Compliance, and Caution!

Caremark, Compliance, and Caution! Read why having active and engaged board oversight in the areas of risk and compliance is a must!

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Anti-fraud, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Corruption, Crisis Management, Culture, Data Analytics, DOJ, Due Diligence, ERM, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, GRC, Hotline, IIA, Internal Audit, Internal Controls, Investigations, Process Improvement, Red Flag, Regulatory, Remediation, Risk, Risk Assessment, Risk Management, SEC, Third Party, Tips, Training, Triage, Whistleblower, White Collar Crime Jonathan T. Marks Anti-fraud, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Corruption, Crisis Management, Culture, Data Analytics, DOJ, Due Diligence, ERM, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, GRC, Hotline, IIA, Internal Audit, Internal Controls, Investigations, Process Improvement, Red Flag, Regulatory, Remediation, Risk, Risk Assessment, Risk Management, SEC, Third Party, Tips, Training, Triage, Whistleblower, White Collar Crime Jonathan T. Marks

New DOJ Guidance Addresses ‘Effectiveness’ of Compliance Programs

DOJ Evaluation of Corporate Compliance Programs

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ACFE, Anti-fraud, Audit, Audit Committee, Automation, Board of Directors, Books and records, Bribery, Cash, Chief Audit Executive, Chief Compliance Officer, Colleges and Universities, Collusion, Compliance, Compliance Coordinator, Conflict of Interest, Continuous Auditing, Continuous Monitoring, Control Environment, Corporate Fraud, Corruption, Crisis Management, Cross Border Investiga..., Culture, Cyber, Damages, Data, Data Analytics, Data Integrity, Directors, Dodd-Frank, DOJ, Due Diligence, ERM, Ethics, Evidence, False Claims Act, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Four eyes approval, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, GDPR, General Counsel, Global, Governance, GRC, Hidden Assets, Hotline, IIA, Internal Audit, Internal Control Defic..., Internal Controls, Interview, Investigations, Materiality, Money Laundering, Monitor, Monitoring, Monitorship, NACD, Nonprofit, Not for Profit, Podcast, Process Improvement, Qui Tam, Red Flag, RegTech, Regulatory, Related Party, Remediation, Risk, Risk Assessment, Risk Management, Robotic, Root Cause, Sampling, Sarbanes-Oxley, Seaboard, SEC, Shell Company, Skepticism, Supreme Court, Tax Fraud, Technology, Theft, Third Party, Thought Leadership, Tone from the Top, Training, Triage, Values, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Anti-fraud, Audit, Audit Committee, Automation, Board of Directors, Books and records, Bribery, Cash, Chief Audit Executive, Chief Compliance Officer, Colleges and Universities, Collusion, Compliance, Compliance Coordinator, Conflict of Interest, Continuous Auditing, Continuous Monitoring, Control Environment, Corporate Fraud, Corruption, Crisis Management, Cross Border Investiga..., Culture, Cyber, Damages, Data, Data Analytics, Data Integrity, Directors, Dodd-Frank, DOJ, Due Diligence, ERM, Ethics, Evidence, False Claims Act, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Four eyes approval, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, GDPR, General Counsel, Global, Governance, GRC, Hidden Assets, Hotline, IIA, Internal Audit, Internal Control Defic..., Internal Controls, Interview, Investigations, Materiality, Money Laundering, Monitor, Monitoring, Monitorship, NACD, Nonprofit, Not for Profit, Podcast, Process Improvement, Qui Tam, Red Flag, RegTech, Regulatory, Related Party, Remediation, Risk, Risk Assessment, Risk Management, Robotic, Root Cause, Sampling, Sarbanes-Oxley, Seaboard, SEC, Shell Company, Skepticism, Supreme Court, Tax Fraud, Technology, Theft, Third Party, Thought Leadership, Tone from the Top, Training, Triage, Values, Whistleblower, White Collar Crime Jonathan T. Marks

PHorensically Speaking Podcast Feed is Live!

With the help from a true friend, Tom Fox, I am entering the world of Podcasting. I will be developing at least three Podcasts per

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Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Chief Audit Executive, Chief Compliance Officer, Collusion, Compliance, Compliance Coordinator, Conflict of Interest, Corporate Fraud, Directors, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Fraud, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Internal Controls, Investigations, Monitoring, Red Flag, Related Party, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Skepticism, Third Party, White Collar Crime Jonathan T. Marks Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Chief Audit Executive, Chief Compliance Officer, Collusion, Compliance, Compliance Coordinator, Conflict of Interest, Corporate Fraud, Directors, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Fraud, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Internal Controls, Investigations, Monitoring, Red Flag, Related Party, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Skepticism, Third Party, White Collar Crime Jonathan T. Marks

Collusion, Conflicts of Interest, and Corruption!

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Anti-fraud, Audit, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance Coordinator, Corporate Fraud, Cross Border Investiga..., Cyber, Directors, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, IIA, Internal Audit, Internal Controls, Investigations, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, Seaboard, SEC, Thought Leadership, Whistleblower, White Collar Crime Jonathan T. Marks Anti-fraud, Audit, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance Coordinator, Corporate Fraud, Cross Border Investiga..., Cyber, Directors, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, IIA, Internal Audit, Internal Controls, Investigations, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, Seaboard, SEC, Thought Leadership, Whistleblower, White Collar Crime Jonathan T. Marks

Investigation Roundtable on January 23, 2019, in Center City Philadelphia - Register Today! CPE/CLE

Investigation Roundtable on January 23, 2019, in Center City Philadelphia

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