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Informationen zum Autor Catherine is Group Compliance Officer for Maitland (www.maitlandgroup.com) and also an Associate Lecturer in Financial Services at the Isle of Man College of Further Education. Prior to her current position she was Head of Legal, Compliance and Risk - Global Fund Services, Bank of Bermuda (Isle of Man) Ltd. She has been in the financial services industry for 20 years. She has also held positions as Manager, Marketing and Product Development for an international financial services provider, and was a Policy Adviser to the Isle of Man Government Financial Supervision Commission specialising in the development of the regulatory framework for collective investment schemes. She is a Fellow of the Chartered Institute of Bankers, a Member of the Securities Institute, a Member of the Society of Financial Advisers and an Associate of the Life Insurance Association by Diploma.She lectures internationally on subjects including fund management, regulation and compliance, insider dealing, investor protection regimes, and mortgage lending, and is Associate Lecturer, Financial Services at the Isle of Man College of Further Education. She has been engaged by the Africa Centre for Investment Analysis to deliver a 3-day course in November 2003 covering Insider Dealing Regimes, Investor Protection Regimes and International Funds.
List of contents
What are the emerging trends in fraud at present?; Legal definitions of, and the law relating to, fraud; Different types of fraud; Some current analytical methods in fraud risk management; risks may you encounter in your business, fraud management systems should you have in place; Internal frauds External frauds; Information, Network and Internet Security; what the non-IT professional needs to know; post-event fraud management; what to do when your concerns are aroused; Immediate steps; securing the materials: The investigation: who should conduct it and who should be informed/involved?; Investigative techniques; Dealing with external parties;Dealing with insurers; Dealing with regulators; Dealing with the Law Enforcement Authorities; Fraud and regulated entities: senior management responsibilities; The aftermath of a fraud; The Law relating to evidence and the investigation of fraud
