Is accounting fraud a compliance or ethics issue?

By Gerry Zack, CCEP, CFE, CIA

Please feel free to contact me anytime to share your thoughts.

Compliance with accounting standards is an area in which few compliance professionals dare to tread. Yet, one look at the circumstances behind most financial reporting fraud cases reveals the same types of problems that compliance and ethics programs are designed to address. Is this because accounting rules are complicated? Perhaps it’s because there is a reliance (overreliance?) on outside auditors to audit the financial statements. Or is the finance and accounting function somehow considered “out of scope” for the compliance and ethics program? It shouldn’t be.

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