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Book
1 online resource (219 p.)
  • Internal Control/Anti-Fraud Program Design for the Small Business; Contents; Preface: Maybe It's Time We Get Back to the Basics; Anti-Fraud Program Design for the Small Business; Small Business Defined; The Public Company versus the Nonpublic (Private) Company; Why the Distinction?; We Get It; We Need to Try to Prevent Fraud-So How Do We Do This?; The Anti-Fraud Program Structure; Acknowledgments; PART I: THE ANTI-FRAUD ENVIRONMENT: THE BLUEPRINTS, THE FOUNDATION, THE GROUND FLOOR; Chapter 1: The Architect's Blueprint: Establishing the Framework; The Elements of Anti-Fraud Program Design
  • Anti-Fraud EnvironmentFraud Risk Assessment; Control Activities; Information: Program Documentation; Communication: The Company Fraud Training Program; Monitoring and Routine Maintenance; Chapter 2: Foundational Policies: The Fraud Policy; Foundational Policies; The Fraud Policy: The Essential Elements of an Effective Fraud Policy; Element 1. Policy Statement; Element 2. Scope; Element 3. Actions Constituting Fraud; Element 4. Nonfraud Irregularities; Element 5. Reporting Structure; Element 6. Investigation Responsibilities; Element 7. Authorization for Investigation
  • Element 8. Acting in Good FaithElement 9. Whistle-Blower Protection; Element 10. Suspension or Termination; Element 11. Acknowledgment and Signature; Case Presentation; Chapter 3: Foundational Policies: The Fraud Reporting Policy; The Essential Elements of an Effective Fraud Reporting Policy; Element 1. Policy Statement; Element 2. Scope; Element 3. Reportable Actions Constituting Fraud; Element 4. Predication; Element 5. Reporting Mechanism; Element 6. Acknowledgment and Signature; Chapter 4: Foundational Policies: The Expense Reimbursement Policy; Case: "No Questions Asked"
  • Case: "It Will Never Be Missed"Case: Larry the Chief Financial Officer; The Elements of an Effective Expense Reimbursement Policy; Element 1. Policy Statement; Element 2. Scope; Element 3. Authorized Uses; Element 4. Unauthorized Uses; Element 5. Violations; Element 6. Documentation; Element 7. Statement of Responsibility; Appendix 4A: Expense Report Form; Appendix 4B: Supplemental Business Meal and Entertainment Charges Form; Chapter 5: The Ground Floor: The Fraud Risk Assessment Process; Ground Rules for Fraud Risk Assessment; Rule 1. Don't Be Misled; It's Not as Hard as It Seems
  • Rule 2. Place What You Know on the Back Burner, and Think the UnthinkableRule 3. Whether You Like It or Not, You Have to Think Like a Criminal; Rule 4. Don't Overdocument the Process; An Example of Risk Assessment; Procedural Steps for Performing a Fraud Risk Assessment; Understand the Guiding Principles; Determine the Participants; Determine How Information Will Be Gathered; Identify Areas of Fraud Risk; Cash in Bank; Case: The Trail Is Gone; Case: Friends in Low Places; Asset Misappropriation; Corruption; Financial Statement Fraud; PART II: ANTI-FRAUD CONTROL ACTIVITIES: RAISING THE WALLS
Praise for INTERNAL CONTROL/ANTI-FRAUD PROGRAM DESIGN FOR THE SMALL BUSINESS ""Internal Control/Anti-Fraud Program Design for the Small Business presents a straightforward, simplified, and practical approach to establishing an anti-fraud program for the small business. The book recognizes the unique environment and issues faced by small businesses and provides logical and effective solutions. Every small business owner or manager should read this and refer to it often as it establishes or reinforces an anti-fraud program."" -David McEndree, CPA, CFE, CEO, and General Manager, Poka Lambro T.
Book
1 online resource (344 pages) : digital, PDF file(s).
  • Introduction Austin Sarat-- 1. Where the law lies: constitutional fictions and their discontents Mary Anne Franks-- 2. The artifice of advocacy: perjury and participation in the American adversary system Norman W. Spaulding-- 3. Lies to manipulate, misappropriate, and acquire governmental power Helen Norton-- 4. Lies, rape, and statutory rape Stuart P. Green-- 5. Law and the production of deceit William N. Eskridge, Jr-- Afterword: law, lies, and law schools Montre Carodine.
  • (source: Nielsen Book Data)9781107108783 20160618
Law has a strangely complicated relationship to deception. Though it sometimes takes a hard line on behalf of truth - 'the truth, the whole truth, and nothing but the truth' - competing values often cause law to look the other way. How and why is lying alternately accepted, condemned, or prosecuted? What are the government's interests in allowing or disallowing lying? Law and Lies is the first book to thematically address the role of lying in the American legal system. Undercover police agents are permitted to lie in the name of catching criminals, and government officials are permitted to lie in service of national security. In the case of the military's 'Don't ask, don't tell' policy, lying was not only permitted, but actively encouraged. A range of illuminating case studies reveal that the government's tolerance of deception is rarely as simple as the 'whole truth'.
(source: Nielsen Book Data)9781107108783 20160618
Book
1 online resource.
  • Internal Control/Anti-Fraud Program Design for the Small Business; Contents; Preface: Maybe It's Time We Get Back to the Basics; Anti-Fraud Program Design for the Small Business; Small Business Defined; The Public Company versus the Nonpublic (Private) Company; Why the Distinction?; We Get It; We Need to Try to Prevent Fraud-So How Do We Do This?; The Anti-Fraud Program Structure; Acknowledgments; PART I: THE ANTI-FRAUD ENVIRONMENT: THE BLUEPRINTS, THE FOUNDATION, THE GROUND FLOOR; Chapter 1: The Architect's Blueprint: Establishing the Framework; The Elements of Anti-Fraud Program Design
  • Anti-Fraud EnvironmentFraud Risk Assessment; Control Activities; Information: Program Documentation; Communication: The Company Fraud Training Program; Monitoring and Routine Maintenance; Chapter 2: Foundational Policies: The Fraud Policy; Foundational Policies; The Fraud Policy: The Essential Elements of an Effective Fraud Policy; Element 1. Policy Statement; Element 2. Scope; Element 3. Actions Constituting Fraud; Element 4. Nonfraud Irregularities; Element 5. Reporting Structure; Element 6. Investigation Responsibilities; Element 7. Authorization for Investigation
  • Element 8. Acting in Good FaithElement 9. Whistle-Blower Protection; Element 10. Suspension or Termination; Element 11. Acknowledgment and Signature; Case Presentation; Chapter 3: Foundational Policies: The Fraud Reporting Policy; The Essential Elements of an Effective Fraud Reporting Policy; Element 1. Policy Statement; Element 2. Scope; Element 3. Reportable Actions Constituting Fraud; Element 4. Predication; Element 5. Reporting Mechanism; Element 6. Acknowledgment and Signature; Chapter 4: Foundational Policies: The Expense Reimbursement Policy; Case: "No Questions Asked"
  • Case: "It Will Never Be Missed"Case: Larry the Chief Financial Officer; The Elements of an Effective Expense Reimbursement Policy; Element 1. Policy Statement; Element 2. Scope; Element 3. Authorized Uses; Element 4. Unauthorized Uses; Element 5. Violations; Element 6. Documentation; Element 7. Statement of Responsibility; Appendix 4A: Expense Report Form; Appendix 4B: Supplemental Business Meal and Entertainment Charges Form; Chapter 5: The Ground Floor: The Fraud Risk Assessment Process; Ground Rules for Fraud Risk Assessment; Rule 1. Don't Be Misled; It's Not as Hard as It Seems
  • Rule 2. Place What You Know on the Back Burner, and Think the UnthinkableRule 3. Whether You Like It or Not, You Have to Think Like a Criminal; Rule 4. Don't Overdocument the Process; An Example of Risk Assessment; Procedural Steps for Performing a Fraud Risk Assessment; Understand the Guiding Principles; Determine the Participants; Determine How Information Will Be Gathered; Identify Areas of Fraud Risk; Cash in Bank; Case: The Trail Is Gone; Case: Friends in Low Places; Asset Misappropriation; Corruption; Financial Statement Fraud; PART II: ANTI-FRAUD CONTROL ACTIVITIES: RAISING THE WALLS
"This book covers all elements of an internal control structure applicable to the small business community. It is intended for those businesses for which the Sarbanes-Oxley Act does not apply (non-public businesses). Fraud cases are used throughout the book that provide an analysis of the internal control weaknesses that led to a specific fraud. Each case study also includes relevant controls that could have served to reduce the probability of the occurrence of the fraud. The controls are then summarized according to the five elements of an internal control structure for purpose of assisting in documenting the ultimate anti-fraud program. The steps provided in this book provide readers with a "how to" design and implement an effective and efficient internal control structure/anti-fraud program tailored to their specific needs"-- Provided by publisher.
Book
[7] p. : digital, PDF file.
Software/Multimedia
[2] p. : digital, PDF file.
Book
1 folded sheet (6 p.) : digital, PDF file.
Book
6 v. (loose-leaf) ; 25 cm.
Law Library (Crown)
Book
12 p.
Green Library
Book
v, pages 607-901 ; 25 cm
  • Securities and Exchange Commission enforcement practices / David S. Ruder
  • Prescience and vindication : Federal courts, SEC Rule 10b-5, and the work of David S. Ruder / Douglas M. Branson
  • Enforcement role of the New York Stock Exchange / David P. Doherty
  • Rule 2(e) : Securities and Exchange Commission discipline of professionals / Daniel L. Goelzer and Susan Ferris Wyderko
  • Penny stock markups and markdowns / Joseph I. Goldstein and L. Delane Cox
  • Sections 9(a)(1) and 9(a)(2) of the Securities Exchange Act of 1934 : an analysis of two important anti-manipulative provisions under the Federal securities laws / Lewis D. Lowenfels
  • Recent insider trading developments : the search for clarity / John F. Olson, John H. Sturc, and Gerald T. Lins
  • NASD's enforcement agenda / John E. Jr. Pinto
  • Good concept, bad executions : the regulation and self-regulation of automated trading systems in United States futures markets / Michael B. Sundel and Lystra G. Blake.
Law Library (Crown)
Book
v, 257 p. : ill. ; 24 cm.
SAL3 (off-campus storage)
Book
1 v. (various pagings) ; 25 cm.
Law Library (Crown)
Book
1 v. (loose-leaf) ; 26 cm.
Law Library (Crown)
Book
15 p. : ill. ; 28 cm.
Green Library
Book
iv, 498 p. : forms ; 24 cm.
SAL3 (off-campus storage)
Book
ii, 222 p. : ill., maps ; 28 cm.
Green Library
Book
51 p. ; 28 cm.
SAL3 (off-campus storage)
Book
1 folded sheet (6 p.) : ill. ; 22 cm.
Green Library
Book
6 v. (loose-leaf) ; 26 cm.
Law Library (Crown)

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