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, Audit Committee, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, COVID -19, Crisis, Crisis Management, Directors, DOJ, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Investigations, Fraud Risk Management, General Counsel, Governance, Investigations, Jonathan T- Marks, Risk, Risk Assessment, White Collar Crime Jonathan T. Marks Anti-fraud, Audit Committee, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, COVID -19, Crisis, Crisis Management, Directors, DOJ, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Investigations, Fraud Risk Management, General Counsel, Governance, Investigations, Jonathan T- Marks, Risk, Risk Assessment, White Collar Crime Jonathan T. Marks

COVID-19 - Fraud On The Rise is No Surprise!

Last week, the Association of Certified Fraud Examiners (” ACFE”) published the results of a survey taken by more than 1,800 anti-fraud professionals in late April and early May 2020, while we were deep into the Covid-19 crisis.  The findings, for the most part, are not surprising, but does reveal some disappointing information.  While I have not seen a raw copy of the survey, I was surprised the ACFE didn’t ask if the company’s fraud risk assessment was reviewed and modified accordingly.In addition, the survey highlights trends in the overall level of fraud. Survey respondents provided information about their current observations and expected changes regarding ten (10) specific types of fraud.

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ACFE, Anti-fraud, Audit, Audit Committee, Baker Tilly, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Coronavirus, Corporate Fraud, COVID -19, Crisis, Crisis Management, Culture, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Risk Management, General Counsel, Governance, Internal Audit, Leadership, tone at the top, Tone from the Top, White Collar Crime Jonathan T. Marks ACFE, Anti-fraud, Audit, Audit Committee, Baker Tilly, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Coronavirus, Corporate Fraud, COVID -19, Crisis, Crisis Management, Culture, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Risk Management, General Counsel, Governance, Internal Audit, Leadership, tone at the top, Tone from the Top, White Collar Crime Jonathan T. Marks

Tone from the top: Leadership’s challenge during a crisis

Leaders must find ways to engage with their people to motivate them, and this becomes increasingly important during uncertain or trying times. If done correctly, talking can be incredibly powerful. It can help relieve anxiety and help people find the strength they didn't know was in them. Studies have shown that talking shuts down the brain's fear center.As Dr. Judson A. Brewer stated in a recent New York Times article, "Anxiety is a strange beast. As a psychiatrist, I have learned that anxiety and its close cousin, panic, are both born from fear.”Fear and anxiety can be debilitating. Without proper communication in a crisis, it's easy for people to spin and spread stories of fear, creating social contagion. To balance this tendency, in a crisis, leaders need to take their "tone from the top" to the next level.

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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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ACFE, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Crisis, Crisis Management, Dodd Frank, Dodd-Frank, Ethics, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Risk Management, General Counsel, Governance, Hotline, IIA, Internal Audit, Internal Controls, Investigations, NAVEX, Regulatory, Risk, Risk Assessment, Risk Management, SEC, Training, Triage, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Crisis, Crisis Management, Dodd Frank, Dodd-Frank, Ethics, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Risk Management, General Counsel, Governance, Hotline, IIA, Internal Audit, Internal Controls, Investigations, NAVEX, Regulatory, Risk, Risk Assessment, Risk Management, SEC, Training, Triage, Whistleblower, White Collar Crime Jonathan T. Marks

Whistleblowers: A Fraud Triage System to Manage Burgeoning Caseloads

As the use of whistleblower programs continues to grow, many organizations find themselves struggling to manage burgeoning caseloads. As a result, serious fraud investigations can be delayed (with mounting losses) while less consequential complaints are being investigated. The lack of a timely, systematic, and repeatable process for evaluating and prioritizing whistleblower tips that contain allegations of ethical breaches can also expose an organization to increased regulatory risk. While there is no single “right” method for following up on whistleblower complaints, the most effective approaches often resemble the medical triage programs that hospitals and first responders use to allocate limited resources during emergencies or a crisis situations. Here are some useful guidelines for designing and implementing a fraud triage system.

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Anti-fraud, Audit Committee, Baker Tilly, Bribery, Chief Audit Executive, Chief Compliance Officer, Coronavirus, Corporate Fraud, COVID -19, Crisis Management, Directors, Ethics, FCPA, Foreign Corrupt Practi..., Fraud, Fraud and Forensic Inv..., Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Governance, Hotline, IIA, Internal Audit, Investigations, Management Override, Phishing, Risk factors, Risk Management, White Collar Crime Jonathan T. Marks Anti-fraud, Audit Committee, Baker Tilly, Bribery, Chief Audit Executive, Chief Compliance Officer, Coronavirus, Corporate Fraud, COVID -19, Crisis Management, Directors, Ethics, FCPA, Foreign Corrupt Practi..., Fraud, Fraud and Forensic Inv..., Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Governance, Hotline, IIA, Internal Audit, Investigations, Management Override, Phishing, Risk factors, Risk Management, White Collar Crime Jonathan T. Marks

Fraud, Compliance & Integrity Risk During a Crisis and a Downturn

As a crisis unfolds, like Coronavirus, and markets decline globally, fraudsters will be adapting and new risks will emerge and some risks will increase. Remember, white collar criminals adapt by profiling us, so they can exploit our weaknesses. That being said, companies need to develop a strategy that enables the deployment of appropriate tactics to manage these new or increasing risks.This writing explores some fraud, compliance, and integrity risks and is intended to provoke discussion.

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Crisis Management, Forensic Accounting, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., IIA Jonathan T. Marks Crisis Management, Forensic Accounting, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., IIA Jonathan T. Marks

Getting the Monkey off your Back - A Road Map that will help lead you in times of Crisis

Risks change! It's critical to continuously evaluate the situation, because new risks may emerge and risk previously identified may have a different velocity and rhus the speed of impact might change - some may slow and some may increase.

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Anti-fraud, Audit Committee, Baker Tilly, Board of Directors, Books and records, Bribery, Coronavirus, Corporate Fraud, COVID -19, Crisis Management, ERM, Financial reporting an..., Forensic Accounting, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Investigations, Governance, GRC, Guidance, Internal Control Defic..., Internal Controls, MD&A, Process Improvement, Regulatory, Risk factors, SEC, Training, Triage Jonathan T. Marks Anti-fraud, Audit Committee, Baker Tilly, Board of Directors, Books and records, Bribery, Coronavirus, Corporate Fraud, COVID -19, Crisis Management, ERM, Financial reporting an..., Forensic Accounting, Fraud, Fraud and Forensic, Fraud and Forensic Inv..., Fraud Investigations, Governance, GRC, Guidance, Internal Control Defic..., Internal Controls, MD&A, Process Improvement, Regulatory, Risk factors, SEC, Training, Triage Jonathan T. Marks

COVID-19 - Coronavirus: Crisis Management, Business Continuity, Fraud, and More!

Crisis Management: 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. Companies should study these crises and learn from the mistakes!In addition, fraud, compliance, and integrity risks may change. A crisis situation can and often does increase the pressure on senior management and of course salespeople to meet their sales targets! Deviant behavior is easily justified.

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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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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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Audit Committee, Board of Directors, Chief Compliance Officer, Compliance, Corporate Fraud, Corruption, Crisis Management, Cross Border Investiga..., Directors, Dodd Frank, Dodd-Frank, DOJ, ERM, Ethics, False Claims Act, FCPA, Food Safety, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Risk Management, GDPR, General Counsel, Governance, Hotline, IIA, Internal Audit, Internal Control Defic..., Internal Controls, Interview, Investigations, Money Laundering, NACD, Nonprofit, Process Improvement, Qui Tam, Red Flag, Regulatory, Restatement, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Skepticism, Tone from the Top, Training, Triage, Whistleblower, White Collar Crime, Yellow Flag Jonathan T. Marks Audit Committee, Board of Directors, Chief Compliance Officer, Compliance, Corporate Fraud, Corruption, Crisis Management, Cross Border Investiga..., Directors, Dodd Frank, Dodd-Frank, DOJ, ERM, Ethics, False Claims Act, FCPA, Food Safety, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud and Forensic, Fraud Investigations, Fraud Risk Management, GDPR, General Counsel, Governance, Hotline, IIA, Internal Audit, Internal Control Defic..., Internal Controls, Interview, Investigations, Money Laundering, NACD, Nonprofit, Process Improvement, Qui Tam, Red Flag, Regulatory, Restatement, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Skepticism, Tone from the Top, Training, Triage, Whistleblower, White Collar Crime, Yellow Flag Jonathan T. Marks

Jonathan T. Marks, Baker Tilly Partner, is Speaking Today at the First Chair Event in Chicago on Triaging Whistleblower Allegations

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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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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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Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Corporate Fraud, Crisis Management, Ethics, FCPA, Foreign Corrupt Practi..., Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Investigations, Red Flag, SEC, Supreme Court, Third Party, Tips, Triage, Whistleblower, White Collar Crime Jonathan T. Marks Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Corporate Fraud, Crisis Management, Ethics, FCPA, Foreign Corrupt Practi..., Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Investigations, Red Flag, SEC, Supreme Court, Third Party, Tips, Triage, Whistleblower, White Collar Crime Jonathan T. Marks

SEC Challenged Over Delay on Whistleblower Award Decision

Tipsters have grown frustrated with the length of time it has taken the the SEC ("Commission") to determine whether a tip warrants a reward. 

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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

Continue reading

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Anti-fraud, Audit, Audit Committee, Board of Directors, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Crisis Management, Foreign Corrupt Practi..., Forensic Accounting, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, Internal Audit, Internal Controls, Investigations, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, Skepticism, White Collar Crime Jonathan T. Marks Anti-fraud, Audit, Audit Committee, Board of Directors, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Crisis Management, Foreign Corrupt Practi..., Forensic Accounting, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, Internal Audit, Internal Controls, Investigations, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, Skepticism, White Collar Crime Jonathan T. Marks

Fraud tip Friday! The Grand Illusion

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Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Culture, DOJ, ERM, Ethics, Fraud, Fraud Risk Management, General Counsel, Global, Governance, GRC, IIA, Process Improvement, Regulatory, Risk Assessment, Risk Management, Root Cause, SEC, Thought Leadership Jonathan T. Marks Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Culture, DOJ, ERM, Ethics, Fraud, Fraud Risk Management, General Counsel, Global, Governance, GRC, IIA, Process Improvement, Regulatory, Risk Assessment, Risk Management, Root Cause, SEC, Thought Leadership Jonathan T. Marks

Corporate Governance - Commonsense Principles 2.0

Corporate governance is the collection of systems and processes that an organization has in place to prevent or dissuade potentially self-interested persons from engaging in activities detrimental to the welfare of shareholders and stakeholders and helps to promote better overall decision making.

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ACFE, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Cross Border Investiga..., Culture, Damages, Dodd-Frank, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Money Laundering, Monitorship, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, SEC, Skepticism, Third Party, Thought Leadership, Training, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Cross Border Investiga..., Culture, Damages, Dodd-Frank, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Money Laundering, Monitorship, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, SEC, Skepticism, Third Party, Thought Leadership, Training, Whistleblower, White Collar Crime Jonathan T. Marks

Compliance Thought Leaders You Should Be Following

Compiling a list of thought leaders in ethics and compliance is fun, but so challenging. There are simply too many thoughtful people in this field — which is itself enormous and wide-ranging — to call out everyone worth following. So below is a small slice of the thinkers in corporate ethics and compliance that I try to follow.

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Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Crisis Management, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Fraud Investigations, Fraud Risk Management, General Counsel, Governance, IIA, Investigations, Monitorship, Process Improvement, Red Flag, Risk Assessment, Risk Management Jonathan T. Marks Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Crisis Management, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Fraud Investigations, Fraud Risk Management, General Counsel, Governance, IIA, Investigations, Monitorship, Process Improvement, Red Flag, Risk Assessment, Risk Management Jonathan T. Marks

DOJ Refines Monitorship Policies

Ultimately, a monitor should benefit the company, its employees, shareholders, and the public by effectively furthering the goal of preventing and detecting future misconduct.

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