Fraud Prevention CPE Bundle

Conducting Effective Background Checks

CPE: 5 | Course Level: Basic

This online self-study course will help you make sense of these issues by reviewing the fundamentals of performing background checks, exploring the various types of background checks and the purposes of each and addressing the legal considerations to take into account when performing a background check.

Note: While the principles of this course are applicable to investigators worldwide, many of the specific resources may not be as applicable to investigations conducted outside the U.S.

You Will Learn How To:

• Decide when to conduct a background check.
• Discern the types of records available when executing background checks.
• Develop a background check policy that will improve the quality of your organization’s employees and other business relationships.
• Assess the major laws that govern background checks, including the Fair Credit Reporting Act; various anti-discrimination laws; financial and health privacy laws; considerations for state-specific laws; and anti-corruption statutes.
• Identify research strategies and resources for effective background checks.

CPE Information

• NASBA Information: Business Law and Regulatory Ethics
• Advanced Preparation: None
• Last Updated: June 2024
• Delivery Method: QAS Self-Study

Corporate Governance for Fraud Prevention

CPE: 4 | Course Level: Intermediate

Corporate Governance for Fraud Prevention describes the principles, functions and essential components of a corporate governance system. It addresses the controversy of CEO duality, the recommended committees any organization should have on its board of directors and how to set the appropriate tone at the top. This course also discusses corporate governance best practices that you can tailor to your organization’s structure and needs since there is no one-size-fits-all approach. 

You Will Learn How To:

• Identify components essential for an effective corporate governance system.
• Differentiate respective duties of individuals responsible for the corporate governance structure.
• Recognize why effective corporate governance is necessary for an organization and for the economy.
• Determine best practices that can be implemented within an organization to improve corporate governance.

CPE Information

• NASBA Information: Business Management & Organization
• Advanced Preparation: None
• Last Updated: July 2024
• Delivery Method: QAS Self-Study

Employee Monitoring

CPE: 2 | Course Level: Basic

Employee monitoring can take many forms, from simple video surveillance to complex software that monitors all activity on a computer network. This course discusses the types of employee monitoring, as well as related legal considerations and best practices.


You Will Learn How To:

• Identify the advantages and disadvantages of employee monitoring.
• Compare the legal foundations of workplace privacy in different countries.
• Recall the legal restrictions and special considerations for various methods of employee monitoring.
• Determine the best practices for employee-monitoring programs.

CPE Information

• NASBA Information: Regulatory Ethics
• Advanced Preparation: None
• Last Updated: September 2024
• Delivery Method: QAS Self-Study

Evaluating and Testing Anti-Fraud Controls

CPE: 3 | Course Level: Intermediate

In the wake of high-profile scandals and increased global regulation, companies are becoming more aware of the need to create an anti-fraud atmosphere to minimize fraud and misconduct. One way companies address these issues is by assessing risks within their company and implementing the necessary controls. In this course, we will discuss how vital it is for organizations to evaluate and test their anti-fraud controls on an ongoing basis. This not only helps them achieve their objectives, but also provides reasonable assurance to stakeholders that the organization operates in an efficient and effective manner.

You Will Learn How To:

• Determine how evaluating and testing anti-fraud controls contribute to an effective control environment.
• Recall various components of anti-fraud controls.
• Recognize techniques used to evaluate and test anti-fraud controls.
• Identify and communicate internal control deficiencies.

CPE Information

• NASBA Information: Auditing
• Advanced Preparation: None
• Last Updated: March 2023
• Delivery Method: QAS Self-Study

How to Build an Effective Ethics Program

CPE: 3 | Course Level: Basic

An effective ethics program emphasizes your organization’s commitment to high standards, gives employees a guideline on how to make ethical decisions and provides a protocol for reporting ethical violations. 

In this course, you will learn how to create and implement an effective ethics program, examine challenges that may arise after implementation and take steps to ensure the program remains successful.

You Will Learn How To:

• Identify why good people do bad things.
• Identify the essential components of an ethics and whistleblower policy.
• Determine best practices to use for developing and implementing an effective ethics training program.
• Ascertain the impact of ethics on employees and the culture of an organization.

CPE Information

• NASBA Information: Regulatory Ethics
• Advanced Preparation: None
• Last Updated: June 2024
• Delivery Method: QAS Self-Study

Fraud Prevention

CPE: 3 | Course Level: Basic

Every day companies entrust their employees with cash, checks, inventory, trade secrets and other assets. While the majority of employees are honest, under the right circumstances, even the most loyal employees might steal if given the motive and opportunity to do so. 

So, what can companies do? If most employees will steal under the right circumstances, then how can theft and fraud be prevented? This course addresses these questions and provides a guide to reducing your organization’s losses due to fraud. 

Fraud Prevention also explores ways to sell fraud prevention to management and provides an overview of internal controls and preventative measures that you can implement to mitigate fraud. 

 
You Will Learn How To:

• Recognize why people commit fraud.
• Identify criminal behavior and common motives for fraud.
• Categorize common occupational fraud schemes and determine which preventive controls mitigate these schemes.
• Select fraud-prevention measures at the entity level.

CPE Information

• NASBA Information: Auditing
• Advanced Preparation: None
• Last Updated: October 2023
• Delivery Method: QAS Self-Study