Fraud-Related Compliance




CPE Credit: 8
Course Level: Intermediate
Prerequisite: Basic knowledge of compliance concepts and fraud examination techniques

Managing anti-fraud compliance obligations can be a daunting task. Anti-fraud laws and regulations often impose monitoring, auditing, collecting and reporting requirements on regulated entities. And often, regulated entities must coordinate such efforts into a variety of fraud-prevention plans. Moreover, when anti-fraud regulations change, fraud examiners must be ready to implement any new requirements to ensure their companies remain in compliance.

This course will explain how national and international laws and regulations apply to your business and how to ensure compliance with industry practices and anti-fraud laws and regulations.


Upcoming Courses 

No courses are scheduled at this time. Please view our  Calendar of Events for other upcoming seminars.  


You Will Learn How To:  

Mitigate the risk for penalties under the Federal Sentencing Guidelines at your organization

Implement the elements of an effective compliance and ethics program

Comply with anti-fraud laws and regulations, including the FCPA, commercial bribery statutes, SOX, anti-trust regulations and industry-specific legislation

Identify the need and plan for investigations into suspected non-compliance or fraud

Create an effective fraud prevention program 

Who Should Attend:  

Attorneys, legal professionals and law enforcement personnel

Bank and financial institution auditors

Detectives and private investigators

Governance, risk management and compliance officers

Internal auditors, forensic accountants and bank examiners

Certified Fraud Examiners and other anti-fraud professionals 


Ethics Icon  This course satisfies the ACFE’s requirement of two Ethics CPE hours per year. To read more about the Ethics CPE requirement for CFEs, please visit 


Members: $295
Non-Members: $395 

CPE Credit


Field of Study
Specialized Knowledge 


Course Level


Basic knowledge of compliance concepts and fraud examination techniques 

Advanced Preparation 



Delivery Method 


  Day One  
7:30-8:00 a.m.   Registration & Continental Breakfast   
8:00-9:20 a.m. 

Introduction and the Federal Sentencing Guidelines 

This course focuses on fraud-related compliance programs. New laws and regulations governing businesses require additional targeted compliance efforts. In addition, learn about the cost of fraud and how compliance programs will likely save businesses much of their revenue. The Federal Sentencing Guidelines are also covered in this section as well as the seven elements of an effective compliance and ethics program.

9:20-9:35 a.m.  Break 
9:35-10:55 a.m. 

Areas of Compliance (Part 1) 

In this session, you will learn about government regulations created to regulate businesses. You will cover the Foreign Corrupt Practices Act (FCPA) and the two principal components of the act, the anti-bribery provisions and the accounting provisions. Discuss the Sarbanes-Oxley Act of 2002 (SOX), introduced to increase corporate responsibility, The Public Company Accounting Oversight Board (PCAOB), created to oversee the auditors of public companies, and the Dodd-Frank Act, which enacted sweeping reform to the financial services industry.

10:55-11:10 a.m.  Break  
11:10 a.m.-12:30 p.m. 

Areas of Compliance (Part 2) 

This session is a continuation of the previous session, going into further detail about compliance regulations. There are industry-specific laws and regulations which deal with unique compliance issues. The Bank Secrecy Act and the PATRIOT Act set laws and regulations designed to combat money laundering and prevent financial institution fraud. This session will also cover health care and international laws and regulations.

12:30-1:30 p.m.  Group Lunch  
1:30-2:50 p.m. 

Investigation and Response 

In this session, you will learn how to determine when an investigation is necessary, plan the investigation, establish an investigative team and approach, and conduct the investigation. It is also necessary to learn how to report your findings to management as well as present the case to government or law enforcement.

2:50-3:05 p.m.  Break  
3:05-4:25 p.m.  

Fraud Prevention Programs 

Establishing fraud prevention programs early not only works to prevent fraud, but also avoids the impact of enforcement actions if they arise. This session will teach you how to build a solid fraud prevention program that establishes tone at the top and ethical policies and procedures. You will also learn how to build a fraud risk assessment team and conduct fraud risk assessments within your organization.

Event Cancellation Policy 

Our cancellation policy is intended to keep costs low for attendees. Due to financial obligations incurred by ACFE, Inc. you must cancel your registration prior to the start of the event. Cancellations received less than 14 calendar days prior to an event start date are subject to a $100 administrative fee. No refunds or credits will be given for cancellations received on or after the start date of the event. Those who do not cancel and do not attend are responsible for the full registration fee.


Satisfaction Guarantee 

ACFE seminars are unmatched in scope and effectiveness and backed by our unconditional satisfaction guarantee. If you attend an ACFE event and are not completely satisfied, please contact an ACFE Member Services Representative at or call (800) 245-3321 / +1 (512) 478-9000.


NASBA CPEThe Association of Certified Fraud Examiners, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:


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