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Audit Analytics In The Financial Industry

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Audit Analytics In The Financial Industry

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Author : Jun Dai
language : en
Publisher: Emerald Group Publishing
Release Date : 2019-10-28

Audit Analytics In The Financial Industry written by Jun Dai and has been published by Emerald Group Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2019-10-28 with Business & Economics categories.

Split into six parts, contributors explore ways to integrate Audit Analytics techniques into existing audit programs for the financial industry. Chapters include topics such as fraud risks in the credit card sector, clustering techniques, fraud and anomaly detection, and using Audit Analytics to assess risk in the lawsuit and payment processes.

Audit Analytics In The Financial Industry

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Author : Jun Dai
language : en
Publisher: Emerald Group Publishing
Release Date : 2019-10-28

Culture Audit In Financial Services

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Author : Roger Miles
language : en
Publisher: Kogan Page Publishers
Release Date : 2021-06-03

Culture Audit In Financial Services written by Roger Miles and has been published by Kogan Page Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-06-03 with Business & Economics categories.

In the next wave of conduct regulation in financial markets, from 2021 conduct regulators in the UK and elsewhere expect firms to produce evidence on how they are improving behaviour and culture. Facing this, many practitioners are anxious that their current reporting and management information (MI) are irrelevant to meeting as-yet unclear regulatory expectations. This book provides the insights and tools firms need to report on culture, securing both enhanced business value and the regulator's approval. Culture is now seen as a key contributor to good governance, feeding into existing discourse on environmental, social and governance (ESG) factors and the emerging dialogue on 'non-financial (mis)conduct', but conventional measures of business quality are unfit for the new reporting agenda. Culture Audit in Financial Services follows the arc of 'behavioural regulation' to examine what the regulator really wants, before offering guidance on how culture audit differs from conventional auditing, how to put the latest pure-research findings to work, and the key features of well-designed conduct and culture reports. Written by an impartial author and a variety of contributors with extensive experience working with practitioners, regulators, and many of the world's finest academic initiatives, this book is filled with practical, grounded advice on how best to approach this new challenge and avoid infractions.

Audit Analytics

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Author : J. Christopher Westland
language : en
Publisher: Springer Nature
Release Date : 2024-04-04

Audit Analytics written by J. Christopher Westland and has been published by Springer Nature this book supported file pdf, txt, epub, kindle and other format this book has been release on 2024-04-04 with Business & Economics categories.

This book, using R and RStudio, demonstrates how to render an audit opinion that is legally and statistically defensible; analyze, extract, and manipulate accounting data; build a risk assessment matrix to inform the conduct of a cost-effective audit program; and more. Today, information technology plays a pivotal role in financial control and audit: most financial data is now digitally recorded and dispersed among servers, clouds and networks over which the audited firm has no control. Additionally, a firm’s data—particularly in the case of finance, software, insurance and biotech firms—comprises most of the audited value of the firm. Financial audits are critical mechanisms for ensuring the integrity of information systems and the reporting of organizational finances. They help avoid the abuses that led to passage of legislation such as the Foreign Corrupt Practices Act (1977), and the Sarbanes-Oxley Act (2002). Audit effectiveness has declined over the past two decades, as auditor skillsets have failed to keep up with advances in information technology. Information and communication technology lie at the core of commerce today and are integrated in business processes around the world. This book is designed to meet the increasing need of audit professionals to understand information technology and the controls required to manage it. This 2nd edition includes updated code and test. Machine learning, AI, and SEC’s EDGAR data are also, improved and updated. The material included focuses on the requirements for annual Securities and Exchange Commission audits (10-K) for listed corporations. These represent the benchmark auditing procedures for specialized audits, such as internal, governmental, and attestation audits. Many examples reflect the focus of the 2024 CPA exam, and the data analytics-machine learning approach will be central to the AICPA’s programs, in the near future.

Financial Services Anti Fraud Risk And Control Workbook

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Author : Peter Goldmann
language : en
Publisher: John Wiley & Sons
Release Date : 2010-01-07

Financial Services Anti Fraud Risk And Control Workbook written by Peter Goldmann and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010-01-07 with Business & Economics categories.

Myth-busting guidance for fraud preventionin a practical workbook format An excellent primer for developing and implementing an anti-fraud program that works, Financial Services Anti-Fraud Risk and Control Workbook engages readers in an absorbing self-paced learning experience to develop familiarity with the practical aspects of fraud detection and prevention at banks, investment firms, credit unions, insurance companies, and other financial services providers. Whether you are a bank executive, auditor, accountant, senior financial executive, financial services operations manager, loan officer, regulator, or examiner, this invaluable resource provides you with essential coverage of: How fraudsters exploit weaknesses in financial services organizations How fraudsters think and operate The tell-tale signs of different types of internal and external fraud against financial services companies Detecting corruption schemes such as bribery, kickbacks, and conflicts of interest, and the many innovative forms of financial records manipulation Conducting a successful fraud risk assessment Basic fraud detection tools and techniques for financial services companies, auditors, and investigators Fraud prevention lessons from the financial meltdown of 2007-2008 Written by a recognized expert in the field of fraud detection and prevention, this effective workbook is filled with interactive exercises, case studies, and chapter quizzes, and shares industry-tested methods for detecting, preventing, and reporting fraud. Discover how to mitigate fraud risks in your organization with the myth-busting techniques and tools in Financial Services Anti-Fraud Risk and Control Workbook.

Continuous Auditing With Ai In The Public Sector

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Author : Lourens J. Erasmus
language : en
Publisher: CRC Press
Release Date : 2024-09-18

Continuous Auditing With Ai In The Public Sector written by Lourens J. Erasmus and has been published by CRC Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2024-09-18 with Business & Economics categories.

The effectiveness of internal audit activities is important for the sustainability of change in the public sector. In this sense, the tools and techniques used and the level of competencies of public sector auditors are decisive. This book deals with the effects of current technological developments in the public sector on auditing and risk management activities. Therefore, it is a resource for public internal auditors to create a digital audit strategy based on artificial intelligence (AI) and blockchain-based applications. Institutionalisation of their structures is important for public sector internal auditors. For this, basic requirements, future expectations, and best practices are explained. The digital business model is presented to produce value-added audit findings and outputs that guide public internal auditors and all digital-era stakeholders. This book is a pioneering work based on continuous auditing/continuous monitoring approaches using various AI and blockchain-based tools and techniques. There is nothing more valuable to the success of a public internal auditor than a detailed understanding of the business. The important lesson in developing business knowledge, especially in the new audit universe emerging with digital transformation, is that all auditors must understand that they never finish learning about business processes, risks, and control points in the digital era. They must constantly push themselves to be motivated and learn about the business operations they audit to implement new audit approaches powered by AI. In addition to obtaining up-to-date business information from process owners and stakeholders, public auditors responsible for conducting an AI-based continuous audit programme should also look inside their departments for a different perspective on business information that impacts continuous audit programme phase details and has the potential to add value. It should be noted that the additional source of information begins with your individual audit experience, digital skills, and qualifications.

Handbook Of Big Data Research Methods

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Author : Shahriar Akter
language : en
Publisher: Edward Elgar Publishing
Release Date : 2023-06-01

Handbook Of Big Data Research Methods written by Shahriar Akter and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-06-01 with Business & Economics categories.

This state-of-the-art Handbook provides an overview of the role of big data analytics in various areas of business and commerce, including accounting, finance, marketing, human resources, operations management, fashion retailing, information systems, and social media. It provides innovative ways of overcoming the challenges of big data research and proposes new directions for further research using descriptive, diagnostic, predictive, and prescriptive analytics.

Ai S Transformative Impact On Finance Auditing And Investment

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Author : Ghosn, Fadi
language : en
Publisher: IGI Global
Release Date : 2025-05-29

Ai S Transformative Impact On Finance Auditing And Investment written by Ghosn, Fadi and has been published by IGI Global this book supported file pdf, txt, epub, kindle and other format this book has been release on 2025-05-29 with Business & Economics categories.

AI's transformative impact on finance, auditing, and investment revolutionizes the way financial systems operate, making processes more efficient, accurate, and data driven. In finance, AI automates complex tasks like risk assessment, fraud detection, and predictive analytics, allowing firms to make more informed decisions and manage risk with precision. In auditing, AI tools enhance the ability to analyze large amounts of financial data, identifying discrepancies that may have gone unnoticed, improving transparency and accountability. Investment strategies are reshaped as AI-powered algorithms optimize portfolio management, forecast market trends, and execute trades in real time, reducing human error and enabling faster decision-making. While these advancements offer incredible benefits, they also raise concerns about security, data privacy, and the potential for job displacement in traditional financial roles, which requires further exploration. AI's Transformative Impact on Finance, Auditing, and Investment examines how AI technologies are revolutionizing these critical sectors. It examines foundational AI concepts, including machine learning, natural language processing, and their applications in risk management, fraud detection, financial forecasting, and audit automation, discussing ethics, regulatory considerations, and future trends. This book covers topics such as policymaking, data analytics, and financial technology, and is a useful resource for business owners, policymakers, economists, academicians, researchers, and data scientists.

Qfinance The Ultimate Resource 4th Edition

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Author : Bloomsbury Publishing
language : en
Publisher: A&C Black
Release Date : 2013-09-26

Qfinance The Ultimate Resource 4th Edition written by Bloomsbury Publishing and has been published by A&C Black this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-09-26 with Business & Economics categories.

QFINANCE: The Ultimate Resource (4th edition) offers both practical and thought-provoking articles for the finance practitioner, written by leading experts from the markets and academia. The coverage is expansive and in-depth, with key themes which include balance sheets and cash flow, regulation, investment, governance, reputation management, and Islamic finance encompassed in over 250 best practice and thought leadership articles. This edition will also comprise key perspectives on environmental, social, and governance (ESG) factors -- essential for understanding the long-term sustainability of a company, whether you are an investor or a corporate strategist. Also included: Checklists: more than 250 practical guides and solutions to daily financial challenges; Finance Information Sources: 200+ pages spanning 65 finance areas; International Financial Information: up-to-date country and industry data; Management Library: over 130 summaries of the most popular finance titles; Finance Thinkers: 50 biographies covering their work and life; Quotations and Dictionary.

Advances In Taxation

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Author : John Hasseldine
language : en
Publisher: Emerald Group Publishing
Release Date : 2020-10-19

Advances In Taxation written by John Hasseldine and has been published by Emerald Group Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2020-10-19 with Business & Economics categories.

This volume presents studies from expert contributors exploring topics such as: corporate tax planning, tax-related accounting misstatements and uncertain tax positions, financial statement readability, the tax effects of a major pension scheme change, and non-professional investor and taxpayer judgments and perceptions.

Audit Analytics In The Financial Industry

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