External Auditors, Fraud Risks and Compliance

External Auditors, Fraud Risks and Compliance

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, we consider the recent statement by Paul Munter, the SEC’s acting chief accountant, where he urged auditors to do better at assessing fraud risk among their clients. Highlights include: · Why did the SEC raise these points in the first place? What are they trying to tell auditors that they’re doing wrong? · Are auditors really equipped to be more aggressive in fraud risk assessment and investigation? · What should compliance officers be thinking about vis a vis the SEC’s statement? · What is the role of compliance in in anti-fraud? · How will this impact compliance audits by external auditors and fraud examiners? Resources Matt in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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Avsnitt(442)

 Clippers Salary-Cap Circumvention: Sham Endorsements, Contract Red Flags, and Compliance Lessons

Clippers Salary-Cap Circumvention: Sham Endorsements, Contract Red Flags, and Compliance Lessons

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into compliance-related topics, literally going into the weeds to explore a subject in greater depth. Look...

9 Sep 34min

Broken Execution in Day-to-Day Compliance Operations – The BAE Enforcement Action

Broken Execution in Day-to-Day Compliance Operations – The BAE Enforcement Action

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into compliance-related topics, literally going into the weeds to explore a subject in greater depth. Look...

2 Sep 22min

AI for Compliance: Lessons from Teaching Cohorts⁠

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The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into compliance-related topics, literally going into the weeds to explore them more fully. Looking for som...

26 Aug 24min

Compliance Implications of DOJ’s New Fraud Division and McDonald Memo

Compliance Implications of DOJ’s New Fraud Division and McDonald Memo

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into compliance-related topics, literally going into the weeds to explore them in greater depth and uncove...

19 Aug 24min

Ted Lasso, Culture and Compliance

Ted Lasso, Culture and Compliance

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Looking f...

12 Aug 28min

FinCEN’s $125MM UBS AML Order: A Culture and Resourcing Failure

FinCEN’s $125MM UBS AML Order: A Culture and Resourcing Failure

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Looking f...

5 Aug 26min

Scoular Company FCPA Settlement: Cartel Links, Border Trade Risks, and Compliance Lessons

Scoular Company FCPA Settlement: Cartel Links, Border Trade Risks, and Compliance Lessons

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some...

29 Juli 26min

The Slaughter Ruling, Regulatory Volatility and a Healthcare Compliance Fraud Case

The Slaughter Ruling, Regulatory Volatility and a Healthcare Compliance Fraud Case

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it in greater depth. Looking fo...

15 Juli 28min

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