K2’s Case Studies in Fraud and Control Failures

6 Credits: Auditing
Event Date: June 7, 2021 7:30 am


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K2’s Case Studies in Fraud and Control Failures

Course Level
CPE Credits

6 Credits: Auditing
Event Date: June 7, 2021 7:30 am

Course Description

Fraud continues to plague businesses at epidemic levels, and internal control weaknesses and failures contribute to fraud’s large presence in organizations today. In this session, you will learn about the pervasiveness of fraud, the control failures that contribute to fraud, and what you can do to mitigate fraud risk. Using a case study approach, you will learn using real-world examples of recent scams and identify the control weaknesses and failures that contributed to each crime.

The design and application of information technology general controls (ITGCs) and information technology application controls (ITACs) is a specific focus of this session. With strong IT controls in place, your business can reduce the risk of fraud substantially. Further, you can use IT-based controls to help overcome other control issues that your organization might face.

Participate in this session to learn how you can reduce the risk of fraud in your organization – the survival of the business might depend on it!

Major topics include:

  • Detailed examination of many of the widely reported frauds of the past decade
  • Examples of control failures and weaknesses that lead to fraud
  • Identify critical information technology general controls and application controls that should be in place to deter and prevent fraud
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Learning Objectives

Upon completing this course, you should be able to:

  • Recognize control failures and weaknesses that can lead to fraud
  • Define information technology general controls and information technology application controls and distinguish between the two
  • Identify examples of critical internal controls, including information technology controls
  • List recommendations for improving internal controls in an organization
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Course Specifics

Course ID


Advanced Preparation


Compliance Information

NASBA Provider Number: 103220

CFP Notice: Not all courses that qualify for CFP® credit are registered by Western CPE. If a course does not have a CFP registration number in the compliance section, the continuing education will need to be individually reported with the CFP Board. For more information on the reporting process, required documentation, processing fee, etc., contact the CFP Board. CFP Professionals must take each course in it’s entirety, the CFP Board DOES NOT accept partial credits for courses.

Meet The Experts

Thomas G. (Tommy) Stephens, Jr. Headshot

Thomas G. (Tommy) Stephens, Jr., CPA, CITP, CGMA, received a Bachelor of Science in Business Administration (Major in Accounting) from Auburn University in 1985. In 1994, Mr. Stephens opened his public accounting practice in the metropolitan Atlanta area. In his practice, Mr. Stephens provided accounting, tax, and consulting services to individuals and a wide variety of small and emerging businesses. He developed a successful consulting practice providing installation and support services of small business accounting software. Additionally, he has authored and presented continuing professional education courses to accounting and finance professionals. Mr. Stephens has lectured nationally on subjects such as internal controls for …

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