Here are a few stories and items that caught my eye this week, but I have not had time to build-out to a full post: SEC Speaks on Compliance Issues to Investment Advisers by Joel Beck of BD Law Blog Lori Richards, the Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE) spoke [...]
Tag Archives: Tracy Coenen
Top Ten Ways to Prevent Employee Theft
From Tracy Coenen of the Fraud Files Blog, Top Ten Ways to Prevent Employee Theft: 1. Education . If employees are aware of fraud and how it happens, they will be your best on-the-job sleuths. 2. Surprise Audits . . . 3. Hotlines . A mechanism for anonymous reporting of fraud encourages employees to look [...]
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