ACFE, Audit Committee, Board of Directors, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Directors, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, Governance, GRC, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Interview, Investigations, Red Flag, Risk, SEC, Third Party, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Audit Committee, Board of Directors, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Directors, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, Governance, GRC, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Interview, Investigations, Red Flag, Risk, SEC, Third Party, Whistleblower, White Collar Crime Jonathan T. Marks

Fraud Training - The Investigative Interview: Assessing Subject Credibility

This one day Fraud Symposium, hosted by the Institute of Internal Auditors - Philadelphia Chapter, will include other topics such as: Fraud hotlines, Current trends in white-collar crime (FCPA, FCA, etc.), Investigation pitfalls, Third-party risk management, and Compliance and Internal Audit issues.

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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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Board of Directors, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Cross Border Investiga..., DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, GRC, Internal Audit, Internal Controls, Investigations, Regulatory, Remediation, Risk, Risk Management, Whistleblower, White Collar Crime Jonathan T. Marks Board of Directors, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Cross Border Investiga..., DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, GRC, Internal Audit, Internal Controls, Investigations, Regulatory, Remediation, Risk, Risk Management, Whistleblower, White Collar Crime Jonathan T. Marks

Focus on the Bad Actors! DOJ Outlines Key Policy Revisions Re-Focusing on Individual Accountability

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Analytics, Anti-fraud, Audit, Automation, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Data, Data Integrity, Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, Governance, GRC, IIA, Internal Audit, Internal Controls, Investigations, Monitor, Monitoring, Process Improvement, Regulatory, Risk, Risk Management, Robotic, White Collar Crime Jonathan T. Marks Analytics, Anti-fraud, Audit, Automation, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Data, Data Integrity, Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, Governance, GRC, IIA, Internal Audit, Internal Controls, Investigations, Monitor, Monitoring, Process Improvement, Regulatory, Risk, Risk Management, Robotic, White Collar Crime Jonathan T. Marks

Robotic Process Automation: Using Technology for Forensic Investigations and Compliance

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Board Member Composition: Participants, Passengers, and Prisoners?
Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Culture, Directors, Due Diligence, Ethics, General Counsel, Global, Governance, GRC, Regulatory, Risk, Risk Assessment, Risk Management, Sarbanes-Oxley, Skepticism, Training, Whistleblower, White Collar Crime Jonathan T. Marks Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Culture, Directors, Due Diligence, Ethics, General Counsel, Global, Governance, GRC, Regulatory, Risk, Risk Assessment, Risk Management, Sarbanes-Oxley, Skepticism, Training, Whistleblower, White Collar Crime Jonathan T. Marks

Board Member Composition: Participants, Passengers, and Prisoners?

As the organization's ultimate decision-making body, the board of directors plays two critical roles: overseeing management on behalf of shareholders and other constituencies; and advising management, albeit with limited involvement in everyday company operations - nose in, hands off! The board should not attempt to run the organization's operations; it should oversee how management runs the company. I am amazed at how many members are disengaged, which reminded me that one of the traits of an effective leader, or Pilot, is being a good team builder. But how can you build a good team if you don't understand the players? I'm not speaking about understanding their skills; I am speaking about understanding their level of engagement. That is an amorphous concept most ignore.

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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, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Cross Border Investiga..., Damages, Due Diligence, Ethics, FCPA, Forensic Accounting, Fraud, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Internal Controls, Interview, Investigations, Red Flag, Risk, Risk Assessment, Risk Management, Skepticism, Whistleblower, White Collar Crime Jonathan T. Marks Anti-fraud, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Cross Border Investiga..., Damages, Due Diligence, Ethics, FCPA, Forensic Accounting, Fraud, Fraud Investigations, Fraud Pentagon, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Internal Controls, Interview, Investigations, Red Flag, Risk, Risk Assessment, Risk Management, Skepticism, Whistleblower, White Collar Crime Jonathan T. Marks

Today’s General Counsel: White Collar Crooks Share Certain Characteristics

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Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Cash, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Foreign Corrupt Practi..., Four eyes approval, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, IIA, Internal Audit, Internal Controls, Process Improvement, Risk, Risk Assessment, Risk Management, Treasury, White Collar Crime Jonathan T. Marks Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Cash, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Foreign Corrupt Practi..., Four eyes approval, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, IIA, Internal Audit, Internal Controls, Process Improvement, Risk, Risk Assessment, Risk Management, Treasury, White Collar Crime Jonathan T. Marks

How Tight is Your Grip on Cash?

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ACFE, Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Four eyes approval, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Internal Controls, Process Improvement, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Sarbanes-Oxley, SEC, Skepticism, Third Party, White Collar Crime Jonathan T. Marks ACFE, Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Four eyes approval, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, IIA, Internal Audit, Internal Controls, Process Improvement, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Sarbanes-Oxley, SEC, Skepticism, Third Party, White Collar Crime Jonathan T. Marks

FCPA - Cash, Bribes, and the “Four Eyes Principle”

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ACFE, Anti-fraud, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Crisis Management, Cross Border Investiga..., DOJ, Due Diligence, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, IIA, Internal Controls, Investigations, Money Laundering, Red Flag, Remediation, Risk, Risk Assessment, Risk Management, Root Cause, SEC, Third Party, Training, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Anti-fraud, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Crisis Management, Cross Border Investiga..., DOJ, Due Diligence, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, IIA, Internal Controls, Investigations, Money Laundering, Red Flag, Remediation, Risk, Risk Assessment, Risk Management, Root Cause, SEC, Third Party, Training, Whistleblower, White Collar Crime Jonathan T. Marks

Registration is Now Open - Class Size is Limited! Doing Compliance Master Class Training with Tom Fox will be held in New York City on November 12-13 (Two Days), 2018.

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ACFE, Anti-fraud, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Crisis Management, Culture, Cyber, Damages, Data Integrity, Dodd-Frank, DOJ, Due Diligence, ERM, Ethics, FCPA, Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, Fraud Triangle, GDPR, General Counsel, Global, Governance, Hotline, IIA, Internal Audit, Internal Controls, Investigations, Materiality, Money Laundering, Red Flag, RegTech, Regulatory, Remediation, Restatement, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, Seaboard, SEC, Skepticism, Tax, Third Party, Triage, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Anti-fraud, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Crisis Management, Culture, Cyber, Damages, Data Integrity, Dodd-Frank, DOJ, Due Diligence, ERM, Ethics, FCPA, Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, Fraud Triangle, GDPR, General Counsel, Global, Governance, Hotline, IIA, Internal Audit, Internal Controls, Investigations, Materiality, Money Laundering, Red Flag, RegTech, Regulatory, Remediation, Restatement, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, Seaboard, SEC, Skepticism, Tax, Third Party, Triage, Whistleblower, White Collar Crime Jonathan T. Marks

News Release: Baker Tilly Strengthens Growing Forensic Litigation Valuation Services Practice with Addition of Industry Leader Jonathan T. Marks

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Anti-fraud, Audit, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, DOJ, Ethics, FCPA, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, IIA, Internal Audit, Internal Controls, Investigations, Remediation, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Third Party, Triage, Whistleblower, White Collar Crime Jonathan T. Marks Anti-fraud, Audit, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, DOJ, Ethics, FCPA, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, IIA, Internal Audit, Internal Controls, Investigations, Remediation, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley, SEC, Third Party, Triage, Whistleblower, White Collar Crime Jonathan T. Marks

FCPA Settlement - Petrobras Board Involved

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Anti-fraud, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Corporate Fraud, DOJ, Ethics, FCPA, Fraud, Fraud Investigations, Fraud Risk Management, Internal Controls, Investigations, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Supreme Court, Third Party Jonathan T. Marks Anti-fraud, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Corporate Fraud, DOJ, Ethics, FCPA, Fraud, Fraud Investigations, Fraud Risk Management, Internal Controls, Investigations, Red Flag, Regulatory, Risk, Risk Assessment, Risk Management, Supreme Court, Third Party Jonathan T. Marks

Third Party Red Flags

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10-80-10, Anti-fraud, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Ethics, FCPA, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, IIA, Internal Audit, Internal Controls, Investigations, Risk, Risk Assessment, Risk Management, White Collar Crime Jonathan T. Marks 10-80-10, Anti-fraud, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Corporate Fraud, Ethics, FCPA, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, IIA, Internal Audit, Internal Controls, Investigations, Risk, Risk Assessment, Risk Management, White Collar Crime Jonathan T. Marks

Perfect Place Syndrome and the 10-80-10 Rule to Ethics

At some point it appears there was a human behavior theory that was possibly applied to fraud risk management and the 10-80-10 Rule to Ethics was born.This theory is based on the assumption that 10 percent of the people are ethical all of the time, 80 percent could behave unethically depending on the situation or the pressure(s) being applied, and 10 percent have no or a severely broken moral compass and will pounce on opportunities to commit fraud.

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Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Fraud Risk Management, General Counsel, Risk, Risk Assessment, Risk Management, Sarbanes-Oxley, Whistleblower, White Collar Crime Jonathan T. Marks Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Fraud Risk Management, General Counsel, Risk, Risk Assessment, Risk Management, Sarbanes-Oxley, Whistleblower, White Collar Crime Jonathan T. Marks

So Your Investigation Was Shut Down

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Anti-fraud, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Ethics, Fraud, Fraud Risk Management, General Counsel, Governance, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Regulatory, Risk, Risk Management, Sarbanes-Oxley, Whistleblower, White Collar Crime Jonathan T. Marks Anti-fraud, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Ethics, Fraud, Fraud Risk Management, General Counsel, Governance, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Regulatory, Risk, Risk Management, Sarbanes-Oxley, Whistleblower, White Collar Crime Jonathan T. Marks

2019 IIA Philadelphia Fraud Symposium - Update

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Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Ethics, FCPA, Forensic Accounting, Fraud Risk Management, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Risk, Whistleblower, White Collar Crime Jonathan T. Marks Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Ethics, FCPA, Forensic Accounting, Fraud Risk Management, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Risk, Whistleblower, White Collar Crime Jonathan T. Marks

IIA Philadelphia Fraud Symposium - Hold the Date! March 22, 2019, at Exelon’s Energy Hall

“Trust is a professional hazard...verify”

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Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Culture, ERM, Global, Governance, Internal Controls, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley Jonathan T. Marks Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Culture, ERM, Global, Governance, Internal Controls, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, Sarbanes-Oxley Jonathan T. Marks

Enterprise Risk Management - A Practical Plan

Many companies have an idea, albeit vague, about ERM or enterprise risk management. But few have made real progress in planning or actual implementation. What is the holdup? A practical five-step approach can help companies get their arms around ERM ... and begin to realize the benefits of integrated risk management, including escalating the right risks to the right people in a timely manner, and as a result, drive meaningful conversations with leaders to inform decision-making.

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