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CFO March 1, 2011 Laton McCartney	Where There's Smoke, There's Fraud Sarbanes-Oxley has done little to curb corporate malfeasance. Therefore, CFOs should implement a range of fraud-prevention measures.
IndustryWeek August 18, 2010	Costly Fraud Some 5% of a manufacturing company's annual revenue is lost to occupational fraud.
Inc. September 18, 2002 Carole Matthews	Preventing Small-Business Fraud Small businesses are more likely to become the victims of fraud than larger businesses. Here's how you can prevent fraudulent activity in your workplace.
IndustryWeek January 20, 2010 Jill Jusko	Not a Financial Exec? It's not only financial executives who could benefit from an awareness of fraud risks in their organizations.
On Wall Street April 1, 2013 Kenneth Corbin	SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more.
Bank Systems & Technology February 29, 2008 Nancy Feig	Internal Fraud Still a Danger as Banks Adjust Strategy Internal fraud occurs every day at banks across the world. New internal fraud-detection technologies allow banks to identify suspicious employee behavior.
CFO June 1, 2010 Marie Leone	Someone Is Up to No Good Test your knowledge of the latest trends in corporate fraud.
Bank Technology News October 2004 Holly Sraeel	Fraud is Rising, But Victims, Banks are Fighting It Talk about fraud in banking circles and one will inevitably hit a nerve.
CFO August 1, 2005 Kris Frieswick	Background Checks Worries about personnel integrity are creating a few worries of their own. Apart from the philosophical question of whether the practice violates an applicant's right to privacy, widespread use of elaborate background checks poses several problems for employers.
Financial Advisor October 2012 Brian Hamburger	Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.
Bank Technology News March 2007 John Adams	Offline Fraud Continues to Flourish in an Online World Web fraud gets the headlines, but offline fraud accounts for a high percentage -- almost 70% -- of operating losses. It's a problem that IT pros ignore at their peril.
CFO June 1, 2010 Marie Leone	Something Wicked This Way Comes Fraudsters are preying on corporate coffers and catching the crooks will take more than accounting controls.
PC Magazine May 16, 2007	Who Gets Hit Most by Online Fraud? Protect yourself now! Find out where and how most online fraud originates.
On Wall Street August 1, 2009 Mark Astarita	Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry.
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
Entrepreneur September 2007 C.J. Prince	To Catch a Thief Employee fraud hits growing businesses hardest. Here's what you can do to make sure there's not a thief among you.
CFO April 1, 2008 Avital Louria Hahn	Crunching the Words New software purports to give auditors clues as to when executives' public statements indicate that fraud may be at hand.
U.S. Banker April 2011	Noted & Noteworthy A recently released survey from electronic-payments firm ACI Worldwide found that nearly one-third of consumers say they were victims of credit or debit card fraud in 2010.
Registered Rep. October 6, 2004 Leitch & Gaffen	Raymond James Fights the SEC's Fraud Charges The SEC brought fraud charges against the Tampa-based firm, saying the firm had looked the other way when a former broker scammed investors of approximately $44.5 million between 1999 and 2000.
Registered Rep. September 2, 2009 John Churchill	SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible.
Wall Street & Technology August 22, 2007 Melanie Rodier	Employee Fraud Not Being Properly Addressed By Financial Industry, Government, Survey Says Financial institutions widely believe employee fraud to be driven by increased access to technology, poor hiring and screening practices, and organized crime, according to a new survey.
Bank Systems & Technology May 24, 2007 Nancy Feig	International Fraud Could Be Slowed By Data Sharing, Study Shows First Data study reveals that data sharing could be the key to stopping cross-border bank fraud.
Financial Planning October 1, 2006 William Cavell	Compliance Tips Tips for Before and During an SEC Exam
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.
Investment Advisor February 2009 Melanie Waddell	Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC.
Investment Advisor October 2007 Melanie Waddell	Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized.
Entrepreneur July 2006 Jacquelyn Lynn	Honesty Pays Insurance fraud is not only a crime - it's costly, too.
Investment Advisor March 2009 James J. Green	News: SEC's Top Cop Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private sector.
Financial Planning July 1, 2008 Jane Worthington	Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination.
Bank Technology News June 2006 Rubina Johannes	The Demographics Of ID Fraud Not every group is victimized, or protected, in the same way or at the same level. Javelin examines how incidents and precautions differ based on age, income and ethnicity.
CFO April 1, 2009 S.L. Mintz	The Gauge of Innocence Fraud takes many forms. Count on all of them to increase this year.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
U.S. Banker July 2005 Holly Sraeel	Want to Make a CEO Wince? Talk About Fraud. When bankers refer to fraud in public, it often comes off as if the theft does not involve a human being. Behind the financial losses and data breaches are people-on both sides of the problem.
InsideFlyer December 2014	Loyalty Program Fraud Skift recently reported that 72 percent of airline loyalty programs have fallen victim to fraud.
CFO October 1, 2002 Alix Nyberg	Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency?
U.S. Banker December 2010 Katie Kuehner-Hebert	Inside Jobs Large and small banks alike are dealing with a spike in fraud, much of it by trusted employees.
Bank Technology News July 2005	Securing Customer Data Gets Tougher Each Day When bankers refer to fraud publicly, it often comes off as if the theft does not involve human beings. But behind the recent spate of data breaches are people-on both sides of the problem. Want to make a CEO wince? Talk about fraud in real terms.
On Wall Street December 1, 2011 Michelle Lodge	Five Questions With Laura Carstensen What do advisors need to say to their clients, especially their older clients, about fraud?
On Wall Street November 1, 2009	Marcia Kramer Mayer Marcia Kramer Mayer of NERA Consulting speaks about how the SEC should look to the example set by the IRS, which uses computerized searches to identify investment fraud problems.
Wall Street & Technology June 29, 2005 Maria Santos	Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002.
Bank Technology News February 2007 Glen Fest	Identity Fraud: ID Theft Victims, Losses Take Welcome Nosedive New account vulnerabilities are toughened, but 'vishing,' limited alerts practices, and consumers' misguided personal trust in acquaintances still leave the doors wide open.
InternetNews October 23, 2006 Ed Sutherland	Online Brokers Hit By Fraudsters SEC and other regulators investigate millions in losses of E*Trade and TD Ameritrade customers.
Bank Systems & Technology May 5, 2007 Maria Bruno-Britz	Fraud Techniques Evolve in Parallel with Bank Products and Defenses As fraudsters' techniques evolve alongside the products and services offered by financial institutions, new steps must be introduced to stop them.
Bank Systems & Technology December 23, 2008 Mike Fenton	2009 Bank Tech Forecast: Banks Must Become Proactive to Stop Fraud Despite the steady decline in the number of checks written over the past few years, check fraud continues to be a major concern for banks and retailers.
Bank Systems & Technology August 27, 2009 Maria Bruno-Britz	Evolving Fraud Schemes Keep Pressure on Evolving Payments Instruments While some of the latest schemes borrow from scams past, today's fraud schemes are as sophisticated as banks' most advanced payments systems. And stopping them is still a challenge.
The Motley Fool May 21, 2010 Jennifer Schonberger	The Senate's Cop Cracks Down on Financial Fraud "Fraud and potential criminal conduct were at the heart of the financial crisis," Senator Ted Kaufman (D, Del) said in a speech last month on the Senate floor.
Investment Advisor January 2006 Melanie Waddell	The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE).
Insurance & Technology November 28, 2005 Maria Woehr	Experian Fights Fraud To combat fraud in the insurance industry, Experian has released Commercial Fraud Insight, which authenticates customer and claims information.
Investment Advisor October 2009 Melanie Waddell	SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff.
Insurance & Technology January 14, 2008 Anthony O'Donnell	Technology Plays Critical Role In Fighting Fraud Liberty Mutual Agency Market special investigative unit manager says anti-fraud technology is key to identifying certain types of fraud.