Executive Investigations

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Remediation & Restatements Common remediation points • Policies and procedures • Internal controls • Personnel actions & leadership changes • Documentation & retention • Training • Fraud "tools" & "programs" • Internal compliance/audit © Grant Thornton 28
Remediation & Restatements Remediation considerations • Non-disclosed remediation • Timing of remediation • External auditor involvement • Management buy-in • Who performs the remediation • Resources to get it done • Oversight and subsequent period follow-up © Grant Thornton 29
Page 1 and 2: When Allegations point to the C-Sui
Page 3 and 4: Agenda • Fraud Background, Trends
Page 5 and 6: Fraud Background, Trends & Executiv
Page 17 and 18: "Whistleblower Improvement Act" •
Page 19 and 20: Investigation Response & Reporting
Page 27: Agenda • Fraud Background, Trends
Page 31 and 32: Remediation & Restatements Restatem

Executive Investigations

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