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Fraud and Audit

Training employees to prevent fraud e-Learning Course Demos

Fraud and Audit the SecuRetain Way

Equip your employees with a fundamental understanding of how fraud regulations, anti-money laundering, and the Foreign Corrupt Practices Act apply to their jobs and arm them with the functional knowledge and practical skills to mitigate risk using frameworks, processes, and case studies.
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Empower your organization to meet the fraud regulatory and federal/state training requirements

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Complete the fraud e-learning course series available at less than 1/3 of the price

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Track progress and course completion for yourself or an entire enterprise with the SecuRetain platform

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Customize Fraud and Audit Management courses reflecting your policies, procedures, and frameworks

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Use the SecuRetain platform to distribute your training content along with SecuRetain courses in your own private space

Corporations can save more than 15% by developing in-house skills. The series of courses aim to enhance end to end knowledge.

Preview e-Learning Courses

Comprehensive Financial Risk Mitigation

From financial institutions to accounting teams, educated staff is your best defense against financial crime.

Learning Outcomes from Fraud and Audit Based e-Learning Courses

The nine-part series of fraud management courses designed to build strong professional knowledge and practical skills to help develop, implement, and other compliance/anti-fraud programs at your organization.
  • Understand internal fraud, external fraud, corruption, asset misappropriation, financial statement fraud, the scale of the problem, factors contributing to fraud and fraudulent behavior, and why people commit fraud
  • Understand the fundamentals of fraud, the different types, the fraud triangle components, the fraud tree, common fraud schemes, fraud response, and preventive steps
  • Fraud management program objectives, fraud risk management framework basics, governance, assessments, and requirements
  • Identify potential risks, likelihood and impacts, analysis, reporting results, prevention, detection, and response programs
  • Understand the fraud triangle, fraud diamond, and 10-80-10 rule
  • Have detailed knowledge of fraud classification categories, subcategories, fraud schemes, and methods used by perpetrators
  • Learn about fraud tree schemes using a step-by-step approach with the help of case studies and case laws associated with each classification, category, subcategory, and fraud scheme
  • Learn about different fraud case laws associated with culture, tone at the top, code of ethics, global regulations, and fraud regulatory requirements
  • Understand the fraud perpetrator characteristics, understand what are the red flags and how to identify them, categorize the red flags, and rank red flags per fraud triangle components and the fraud tree

SecuRetain’s Fraud and Audit e-Learning Courses

Browse all Fraud and Audit category courses available for you on our SecuRetain platform
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Anti Money Laundering Awareness

Objective

Money laundering is any act or attempted act to conceal or disguise the source, ownership, or control of money or assets derived from criminal activity. The Bank Secrecy Act of 1970 (BSA) and many other laws internationally requires financial institutions to assist government agencies to detect and prevent money laundering. This awareness and professional development online course will provide an overview of the requirements imposed on those persons subject to the Anti-Money Laundering Law, including information relating to currency transaction reports, suspicious activity reports, and customer identification programs. 

The course is intended to drive a culture of compliance from the top down and demonstrate to regulators and examiners their dedication to a standardized risk-based approach for protecting against money laundering threats and financial crime risks. The course is useful for organizations to satisfy mandatory training requirements within certain industries.

In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning followed by the end of the course final assessment.
  • Course ID: CO00103
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • What it is and how does it work?
  • Why people and organizations launder money?
  • How money laundering works: basic process
  • Legal consequences for money laundering, including state and federal (U.S.) penalties
  • Applicable laws and regulation
  • Insider trading

Foreign Corrupt Practices Act (FCPA) and UK Bribery Act 2010 Part II

Objective

The U.S. Congress enacted the Foreign Corrupt Practices Act (FCPA) in 1977 in response to findings that companies had been making hundreds of millions of dollars of questionable payments to foreign government officials, politicians, and political parties. The purposes of this act are to halt the bribery of foreign officials and restore public confidence in the integrity of the American business system. The head of the DOJ's Criminal Division recently described the agency's focus on FCPA enforcement and warned executives and employees of personal accountability for FCPA violations.

This FCPA training course explains the major principles of U.S. anti-corruption laws, persons subject to FCPA, implications, consequences, etc. This interactive FCPA training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, FCPA resources, and hallmarks of an effective compliance program. 

In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning followed by the end of the course final assessment.
  • Course ID: CO00302
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Overview of the FCPA
  • Study the implications of the FCPA
  • Learn about the enforcement and penalties
  • Study the U.S. Sentencing guidelines
  • Understand the SEC and DOJ FCPA guidance
  • Study the DOJ and SEC hallmarks of an effective compliance program
  • Learn about the DOJ’s evaluation of compliance programs
  • Learn about UK Bribery Act 2010
  • Study the UK Bribery Act 2010 provisions
  • Study the consequences of non-compliance with the Bribery Act 2020 – Case Study

Foreign Corrupt Practices Act Awareness (FCPA) Part I

Objective

The U.S. Congress enacted the Foreign Corrupt Practices Act (FCPA) in 1977 in response to findings that companies had been making hundreds of millions of dollars of questionable payments to foreign government officials, politicians, and political parties. The purposes of this act are to halt the bribery of foreign officials and restore public confidence in the integrity of the American business system.

The head of the DOJ's Criminal Division recently described the agency's focus on FCPA enforcement and warned executives and employees of personal accountability for FCPA violations. This FCPA training course explains the major principles of U.S. anti-corruption laws, persons subject to FCPA, implications, consequences, etc. The course is based on the FCPA Resource Guide released by the DOJ and SEC. This interactive FCPA training course will ensure employees at all levels understand their roles and responsibilities in protecting your company from the risk of bribery and corruption. The section ‘Consequences of Non-Compliance’ will educate employees on the ‘do’s and don’ts of FCPA’. 

In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning followed by the end of the course final assessment.
  • Course ID: CO00301
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Foreign Corrupt Practices Act (FCPA) Global Perspective
  • Overview of the FCPA and UK Bribery Act
  • FCPA Key Concepts
  • Anything of Value
  • Foreign Officials
  • Persons Subject to the FCPA
  • Implications of the FCPA
  • Consequences of Non-Compliance
  • Enforcement and Penalties
  • Effective Compliance Program & amp; Red Flags
  • DOJ’s Evaluation of Compliance Programs

Fraud Management Part I

Objective

The Association of Certified Fraud Examiners (ACFE) published the results of the survey in its 2018 Report to the Nations on Occupational Fraud & Abuse. Organizations around the world lose an estimated 5% of their annual revenues to fraud, according to a survey of Certified Fraud Examiners (CFEs) who investigated cases between January 2016 and December 2017. Internal fraud is an illegal act of employee against the company, and external fraud is perpetrated against the company by customers. 

The course is designed to ensure employees understand internal fraud, external fraud, corruption, asset misappropriation, financial statement fraud, the scale of the problem, factors contributing to fraud, and the national and international regulatory requirements in the ten-part series of fraud management courses designed to educate employees, managers, and management. 

This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. The course includes knowledge questions as users progress through the training and the final assessment test.
  • Course ID: FR00101
  • Duration: 0 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Understand Fraud and Examples of Fraud
  • Understand the Different Types of Fraud
  • The Scale of the Problem
  • Learn about Fraud Triangle Components
  • Understand the Fraud Tree
  • Learn about Factors Contributing to Fraudulent Behavior or Why People Commit Fraud
  • Learn about Who Commits Fraud
  • Knowledge of Common Fraud Schemes
  • Understand Fraud Response
  • Management Preventive Steps

Fraud Management Part II

Objective

The Association of Certified Fraud Examiners (ACFE) published the results of the survey in its 2018 Report to the Nations on Occupational Fraud & Abuse. Organizations around the world lose an estimated 5% of their annual revenues to fraud, according to a survey of Certified Fraud Examiners (CFEs) who investigated cases between January 2016 and December 2017. Risk is any threat to the business and represents the uncertainty and inability of the corporation to achieve its goals. The organization needs to create an organizational culture and structure conducive to fraud risk management.

The tone at the top should reflect the perception of fraud detection and prevention. The course is designed to ensure employees understand fraud risk management basics, how to develop a fraud risk management program and fraud risk governance. The course is Part II in the ten-part series of fraud management courses designed to educate employees, managers, and management. 

This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. The course includes knowledge questions as users progress through the training and the final assessment test.
  • Course ID: FR00102
  • Duration: 0 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Understand Fraud Basics
  • Learn Fraud Risk Management Basics
  • Understand How to Document Roles and Responsibilities
  • Understand the Objectives of Fraud Risk Management Program
  • Learn How to Develop a Fraud Risk Management Program
  • Understand Fraud Risk Management Framework Basics
  • Understand the Importance of Fraud Risk Governance
  • Learn How to Plan for Fraud Risk Assessments
  • Learn About Effective Fraud Risk Assessment Requirements

Fraud Management Part III

Objective

Committee of Sponsoring Organizations of the Treadway Commission (COSO) along with the Association of Certified Fraud Examiners (ACFE) published the Fraud Risk Management Guide (guide), intended to serve as best practices guidance for organizations to follow in addressing the fraud risk assessment principles. Risk is any threat to business and represents uncertainty and inability of the corporation to achieve its goals. The organization needs to create an organizational culture and structure conducive to fraud risk management. The tone at the top should reflect the perception of fraud detection and prevention.

The course is designed to ensure employees understand the fraud risk assessment framework, how to execute fraud risk assessment, implement anti-fraud strategy, and features of the whistleblower program. The course is Part III in the ten-part series of fraud management courses.

This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. The course includes knowledge questions as users progress through the training and the final assessment test.
  • Course ID: FR00103
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Learn How to Develop the Fraud Risk Management Program
  • Learn How to Plan for Fraud Risk Assessments
  • Learn How to Execute Fraud Risk Assessments
  • Section I - Fraud Risk Assessment Framework
  • Step 1 - Identify Potential Inherent Fraud Risks
  • Step 2 - Assess the Likelihood and Impact
  • Step 3 - Evaluate Department Likely to Commit Fraud
  • Section II - Analysis
  • Section III - Reporting the Results
  • Understand Fraud Risk Assessment with Practical Examples
  • Learn about Prevention, Detection, and Respond Programs for Fraud
  • Understand Antifraud Strategy Key Elements
  • Learn about Sound Internal Control System Requirements
  • Understand Typical Features of the Practical and User-Friendly Hotline and Whistleblower Program
  • Learn about Investigations Basics, Enforcement, and Corrective Actions

Fraud Management Part IV

Objective

Organizations around the world lose an estimated 5% of their annual revenues to fraud, according to a survey of Certified Fraud Examiners (CFEs) who investigated cases between January 2016 and December 2017. Culture is a set of shared values, assumptions, or beliefs. It is described as the underlying mindset of an organization and shapes/influences people’s attitudes and behaviors. 

Culture affects the speed and flexibility with which organizations can adapt to changes and opportunities. In an organization, values and cultural leadership must come from the top. The role of the board and senior management is critical in setting the right culture. Senior management also needs a mechanism for measuring and monitoring a firm’s culture. The course is one of the important lessons in fraud management. 

This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. The course includes knowledge questions as users progress through the training and the final assessment test.
  • Course ID: FR00104
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

Understandingthe importance of:

  • Culture
  • Toneat the top
  • Codeof ethics
  • Learnabout different fraud case laws associated with culture, tone at the top, andcode of ethics
  • Learnabout global regulations and fraud
  • Understandthe regulatory requirements

Fraud Management Part V

Objective

Organizations around the world lose an estimated 5% of their annual revenues to fraud, according to a survey of Certified Fraud Examiners (CFEs) who investigated cases between January 2016 and December 2017.

It is difficult to understand the state of mind of a fraudster when he commits fraud. The tool developed by Donald Cressey, an American Sociologist, and Criminologist, called the Fraud Triangle, is a framework commonly used in auditing to explain the motivation behind an individual's decision to commit fraud. In addition to the Fraud Triangle, the course explains the other fraud management tools: Fraud Diamond and Fraud 10-80-10 Rule. The course contains detailed knowledge of fraud classification categories, subcategories, fraud schemes, and methods used by perpetrators. The course is dedicated to enhancing the knowledge about fraud schemes and fraud tree. 

In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning followed by the end of the course final assessment.
  • Course ID: FR00105
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Understand the fraud triangle, fraud diamond, and 10-80-10 rule
  • Gain knowledge of fraud tree, occupational fraud, and abuse categories
  • Learn about corruption, asset misappropriations, and fraudulent financial reporting schemes
  • Detailed knowledge of fraud classification categories, subcategories, fraud schemes, and methods used by perpetrators
  • Study check fraud, electronic payment tampering, credit card schemes, and financial institution fraud
  • To enhance the knowledge of how to catch the perpetrators study section Fraud Management Part VI. The Part VI explains the fraud tree with case law associated with each classification, category, subcategory, and fraud schemes.

Fraud Management Part VI A

Objective

One of the findings from the survey by Certified Fraud Examiners (CFEs) based on the investigation of fraud cases between January 2016 and December 2017 included that organizations around the world would lose an estimated 5% of their annual revenues to fraud.

The course Fraud Management Part VIA and VI B include case studies to explain the fraud under each classification, category, subcategory, and fraud schemes within Fraud Tree. The elaborate examples of fraud along with the knowledge of fraud prevention techniques for each fraud scheme provide the learner with very detailed knowledge to implement the fraud prevention programs. 

This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. The course includes knowledge questions as users progress through the training and the final assessment test.
  • Course ID: FR00106
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Fraud tree schemes explained step by step with the help of case studies and case laws associated with each classification, category, subcategory, and fraud schemes
  • Learn about fraud prevention programs for each classification
  • Understand fraud tree, occupational fraud, and abuse categories
  • Learn about corruption and financial statement fraud financial reporting schemes
  • Understand fraud classification categories, subcategories, fraud schemes, and methods used by perpetrators

Fraud Management Part VI B

Objective

One of the findings from the survey by Certified Fraud Examiners (CFEs) based on the investigation of fraud cases between January 2016 and December 2017 included that organizations around the world would lose an estimated 5% of their annual revenues to fraud.

The course Fraud Management Part VIA and VI B include case studies to explain the fraud under each classification, category, subcategory, and fraud schemes within Fraud Tree. The elaborate examples of fraud along with the knowledge of fraud prevention techniques for each fraud scheme provide learners with very detailed knowledge to implement the fraud prevention programs. 

This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. The course includes knowledge questions as users progress through the training and the final assessment test.
  • Course ID: FR00107
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Fraud tree schemes explained step by step with the help of case studies and case laws associated with each classification, category, subcategory, and fraud schemes
  • Learn about fraud prevention programs for each classification
  • Understand fraud tree, occupational fraud, and abuse categories
  • Study the asset misappropriations caselaws, schemes and prevention guidance
  • Understand fraud classification categories, subcategories, fraud schemes, and methods used by perpetrators

Fraud Management Part VII

Objective

One of the findings from the survey by Certified Fraud Examiners (CFEs) based on the investigation of fraud cases between January 2016 and December 2017 included that organizations around the world would lose an estimated 5% of their annual revenues to fraud.

An act of fraud typically involves not only the commission of the scheme itself but also efforts to conceal the misdeeds. Understanding the methods fraudsters use to cover their crimes can help organizations better design prevention mechanisms and detect the warning signs of fraud. The course Fraud Part VII will help you understand the fraud perpetrator characteristics, how to identify fraud in an organization, what are the red flags, how to identify them. You will learn to categorize the red flags, rank red flags per fraud triangle components and fraud tree, how to identify corruption red flags, detect corruption fraud.

This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. The course includes knowledge questions as users progress through the training and the final assessment test.
  • Course ID: FR00108
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Understand the fraud perpetrator characteristics
  • Understand how to identify fraud in an organization
  • Understand what are the red flags and how to identify them
  • Learn to categorize the red flags
  • Learn to rank red flags per fraud triangle components and fraud tree
  • Learn how to identify corruption red flags and detect corruption fraud
  • Learn how to identify financial statement fraud red flags and detect financial statement fraud

Fraud Management Part VIII

Objective

One of the findings from the survey by Certified Fraud Examiners (CFEs) based on the investigation of fraud cases between January 2016 and December 2017 included that organizations around the world would lose an estimated 5% of their annual revenues to fraud.

An act of fraud typically involves not only the commission of the scheme itself but also efforts to conceal the misdeeds. Understanding the methods fraudsters use to cover their crimes can help organizations better design prevention mechanisms and detect the warning signs of fraud. The course Fraud Part VIII includes detailed case studies and prevention techniques for each fraud area of Asset Misappropriation described in the fraud triangle: Theft of Cash on Hand, Theft of Cash Receipts, Billing Schemes, Payroll Schemes, Expense Reimbursement Schemes, Check Tampering, Register Disbursements, Misuse, and Larceny. 

This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. The course includes knowledge questions as users progress through the training and the final assessment test.?
  • Course ID: FR00109
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Asset Misappropriation -->Cash -->Theft of Cash on Hand
  • Asset Misappropriation -->Cash -->Theft of Cash Receipts
  • Asset Misappropriation -->Cash -->Fraudulent and Disbursement -->Billing Schemes
  • Asset Misappropriation -->Cash -->Fraudulent and Disbursement -->Payroll Schemes
  • Asset Misappropriation -->Cash -->Fraudulent and Disbursement -->Expense Reimbursement Schemes
  • Asset Misappropriation -->Cash -->Fraudulent and Disbursement -->Check Tampering
  • Asset Misappropriation -->Cash -->Fraudulent and Disbursement -->Register Disbursements
  • Asset Misappropriation -->Inventory and All Other Assets -->Misuse 
  • Asset Misappropriation -->Inventory and All Other Assets -->Larceny

Information Technology General Controls (ITGC) COSO Framework Part II

Objective

The employees must understand the Sarbanes-Oxley Act (SOX) passed to protect shareholders and the general public from accounting errors and fraudulent practices in enterprises, and the role of information technology. Under section 302, the companies need to implement systems that protect against data manipulation, provide the ability to track timelines, and can determine who had access to data and when. Under section 409 compliance mandates the timely disclosure of any information and section 802 states the information technology team’s role in SOX compliance to preserve records. 

The course ITGC Part II is designed to ensure employees understand the importance of their role in a public company and comply with the regulatory requirements by implementing correct security controls to ensure that financial data is accurate and protected against loss. You will learn about evaluating and auditing IT general controls.

In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning followed by the end of the course final assessment.

  • Course ID: CS00702
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Learn about Information Technology General Controls (ITGCs) basics 
  • Study the IT and Risk Control Approach
  • Learn to evaluate IT General Controls
  • Learn about Auditing Security Administration Controls
  • Learn about Auditing Maintenance Controls
  • Learn about Auditing Computer Operations Controls
  • Learn about Auditing Systems Development Controls
  • Learn about Auditing Outsourced Services Controls
  • Study the Key Considerations for Effective SOX Testing

Information Technology General Controls (ITGC) Part I SOX

Objective

The employees must understand the Sarbanes-Oxley Act (SOX) passed to protect shareholders and the general public from accounting errors and fraudulent practices in enterprises and the role of information technology. Under section 302, the companies need to put systems that protect against data manipulation, provide the ability to track timelines, and determine who had access to data and when.

The course provides a detailed understanding of the COSO components, objectives, entity-level consideration, financial reporting assertions, use COBIT, ISO 27000, ITIL for SOX compliance, and more. The course content is precise and to the point with a focus on knowledge application and practical considerations. The course ensures employees understand the importance of their role in a public company and comply with the regulatory requirements by implementing proper security controls to ensure that financial data is accurate and protected against loss.

In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning, followed by the end of the course final assessment.


  • Course ID: CS00701
  • Duration: 60 mins
  • CPE: 1 HR
  • Course Type: e-Learning
Course Details

What you will learn?

  • Study the Sarbanes-Oxley Act (SOX)
  • Learn about the COSO framework and its relationship with SOX
  • Learn about SOX and Corporate Governance requirements
  • Study the internal controls
  • Understand the relevance of IT controls for SOX compliance
  • Understand the fundamentals of ITGC
  • Study the types of IT controls
  • Study the general IT process controls and controls testing
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