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Title Summary Date
Financial Services Industry Adapting AML monitoring for Remote Deposit Capture
In its October 2011 assessment, FinCEN reports that Remote Deposit Capture (RDC) Suspicious Activity Report (SAR) filings increased substantially as use of the product has grown and as regulatory enforcement actions targeting the product were announced. As the report emphasizes, use of RDC internationally generated many of the SARs, via money service businesses and casa de cambio accounts, to deposit not only personal checks but money orders and traveler’s checks. The trifecta of risk—location, customer and product—results in an obvious need for enhanced monitoring.
1303March 2013
Fraud Investigation & Dispute Services Provider services: balancing the dual demands of compliance and competition
Health care providers are under extreme pressure to promote safe and cost-effective therapies in a highly competitive environment. At the same time, government regulators, investors and the public are scrutinizing every move. Learn how FIDS can help your clients balance these dueling demands.
1211November 2012
Corporate compliance Risk and compliance for todays global oil and gas companies
Energy companies that do business around the world face significant risks related to the ever-increasing complexity of regulatory compliance. EY hosted a series of panel discussions featuring energy industry leaders discussing how companies can best focus their compliance risk mitigation efforts.
1208August 2012
Corporate compliance Terrorism finance and beyond: The growing role of the Treasury Department in US national security
Fines in excess of $500 million and negative publicity have gotten the attention of the financial services industry, elevating anti-money laundering and sanctions compliance from back office to boardroom concern.
1207July 2012
Fraud and investigations Anti-Corruption Illustrated: Visualizing an Effective Capability
This e-book is a compendium of anti-corruption articles Compliance Week has published jointly with the Open Compliance & Ethics Group (OCEG) for the last six months. EY is a co-sponsor of OCEG's anti-corruption illustration series.
1206June 2012
Fraud and investigations Anti-money laundering compliance: The need for'outside-the-box' investigations
Anti-money laundering (AML) compliance departments find themselves struggling to stay ahead of constant change due to new government regulations, internal procedural adjustments and ever-evolving laundering techniques. Maintaining compliance, especially during specific AML investigations, cannot be viewed as a straightforward task.
1205May 2012
Forensic technology and discovery Anti-corruption considerations for private equity firms
Private equity firms should be aware that the SEC appears to be focused on enforcing the FCPA in the financial services industry. The SEC and DOJ investigations have targeted industries in the past (e.g., oil and gas, pharmaceuticals, freight forwarding), and they are likely to continue to expand.
1205May 2012
Government Contract Services Government Contract Services newsletter
In this edition, we discuss CAS 412 and CAS 413 pension harmonization, the DCAA's focus on incurred cost audit backlog, the Contract Dispute Act interest rate, revised executive compensation cap, DFARS Business Systems final rule and much more.
1205May 2012
Fraud and investigations Dangerous world - Practical steps for global companies to evaluate and address corruption risk
Corruption risk continues to be a significant concern for global companies. The trend of increased Department of Justice (DOJ) and Securities and Exchange Commission (SEC) enforcement of the US Foreign Corrupt Practices Act (FCPA) continues in the US. We provide suggestions for how large and mid-size companies should go about evaluating their corruption risks and put a program in place to address these risks responsibly.
1109September 2011
Insurance claims Spotlight on claims in the health care industry
The recent flooding and tornados across the US have significantly affected the health care industry. Health care providers are focused on the care of patients and their communities, and often the losses resulting from catastrophic events may impact their business in ways that do not become apparent until well after the loss or until the right questions are asked.
1109September 2011
Corporate compliance Third-party due diligence: Key components of an effective, risk-based compliance program
Global corporations and their audit committees are taking a closer look at how they manage third-party relations. In this paper, we discuss the key components of an effective vendor due diligence program.
1107July 2011
Fraud and Investigations The U.K. Bribery Act: How to Mitigate the Risks of Prosecution for Making Facilitation Payments
Companies that have used the label "facilitation payment" to describe small, routine payments that encourage non-discretionary actions, will face new risks of prosecution. Review the following 5 steps to help your company mitigate the risks of prosecution.
1107July 2011
Corporate Compliance Insights: Adapting to a new regulatory environment
Learn how company compliance functions are adapting in the increasing enforcement environment.
1106June 2011
Fraud and Investigations Winning employees' hearts and minds
Find out what companies can do given the whistleblower provisions of the Dodd-Frank Act.
1106June 2011
Insurance claims Considerations for property insurance claims in the transportation industry
Learn what characteristics are unique to the transportation industry and can cause complexities in coverage and measurement of property and business interruption claims.
1104April 2011
Fraud Investigation & Dispute Services Conflict minerals: Dodd-Frank Act Section 1502
New law may force thousands of companies to disclose "conflict minerals." Learn more about the proposed rule, the implications and the possible next steps.
1104April 2011
Strategic Records ManagementRecords management: seven best practices for staying ahead of the curve
Traditionally focused on maintaining physical records, companies now must find ways to manage a rising tide of electronic information. This paper outlines the best practices that can help companies meet the growing challenges of records management.
1005May 2010
Corporate ComplianceNavigating the changing compliance landscape
Read about the areas of compliance most relevant to pharma companies given the high levels of regulation they face.
1003Mar 2010
Fraud and InvestigationsAsk the authors: Misappropriation of Assets
Part two of the series discusses the latest fraud trends and steps companies can take to better detect fraud.
1001Jan 2010

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Fraud & Investigations

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