Any transaction or explanation that does not make sense, any failure to follow policy, or any obvious conflicts of interest between investigator and investigated may be a legitimate sign that points toward fraud. Generally, there is strength in numbers: The more signs you find, the more likely you are to be on the trail of fraud. Objective indicators like missing money are more powerful than subjective indicators such as a spending spree. The more you recognize the objective indicators, the greater chance you have of eliminating financial fraud within your company. This article presents checklists of early indicators of fraud in six categories: financial, organizational, procurement and sales, human, documentary, and other things that do not appear to make sense.
Journal of Investment Compliance – Emerald Publishing
Published: Apr 1, 2004
Keywords: Financial institutions; Investments; Investment funds; Investors; Investments
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