Emerging Trends in Fraud Analytics:
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1 Global Risk Advisory Services Emerging Trends in Fraud Analytics: Accounting for Words Text Analytics is a promising new forensic technique for the investigator 4 th Annual Text Analytics Summit Vincent Walden, CFE, CPA Pavan Jankiraman, CFE 2008 Ernst & Young LLP. All rights reserved. For Internal Use Within E&Y Only; Not for Distribution to Clients.
2 Topics About Unstructured (Text) Data Text Analytics Defined Practical Applications Proposed Methodology Risk Advisory Services 1
3 About Unstructured (Text) Data Risk Advisory Services 2
4 Data: Electronically Stored Information ( ESI ) Structured Databases Accounting Systems / GL CRM Numbers-Based Unstructured Documents Presentations & Graphics Text-Based Risk Advisory Services 3
5 ESI in Today s Organization Text Graphics CRM Databases Accounting Systems Spreadsheets 80% Unstructured Data Presentations Source: Gartner Research 20% 80% Risk Advisory Services 4
6 Risk Considerations Brand or reputation damage due to leak of unstructured data Legal implications as a result of a data breach containing customer information Personal Data Privacy & Security Act and the Notification of Risk to Personal Data Act Increased risk of legal exposure due to discovery Federal Rules of Civil Procedures (ediscovery) Loss or misuse of confidential or trade secret data due to inappropriate protection Risk Advisory Services 5
7 How Important is Text? O.K. let s review what you didn t know and when you didn t know it. Risk Advisory Services 6
8 Text Analytics Defined Risk Advisory Services 7
9 Text Analytics: Tools & technologies that seek to identify, classify and parse words in electronic documents. Native (original electronic) documents Scanned (including paper) documents Text Analytics Cataloguing Indexing Filtering Audit Trail Central Repository Risk Advisory Services 8 Analysis & Reports
10 Practical Applications Risk Advisory Services 9
11 Practical Applications Pro-Active Fraud Detection FCPA Mergers & Acquisitions Transaction Due Diligence Identification of High Risk Departments Journal Entry Analysis Cost Accounting Data Repository Audits / Compliance Testing Risk Advisory Services 10
12 Data Repository Audits / Compliance Testing Create rules from ERM Policies and Procedures Enterprise Records Management Policies & Procedures Remediation CLASSIFICATION CATEGORIES Test Categories With Text Analytics Environment Retention Policy Legal Retention Policy Accounting Retention Policy Human Resources Retention Policy Engineering Retention Policy Determine Root Cause Identify Data Categorized Incorrectly Risk Advisory Services 11
13 Proposed Methodology & Analytics Risk Advisory Services 12
14 Text Analytics Methodology Step 1: Step 2: Step 3: Step 4: Step 5: Assess Key Business Risks & Co-Develop Expectations Identify & Collect Key Custodian Data Sources Process Text Data & Stage for Analysis Conduct Online Review of Text Communicate Results Week: One - Two Three Four Five Risk Advisory Services 13
15 Text Analytics Methodology Step 1: Step 2: Step 3: Step 4: Step 5: Assess Key Business Risks & Co-Develop Expectations Identify & Collect Key Custodian Data Sources Process Text Data & Stage for Analysis Conduct Online Review of Text Communicate Results Week: One - Two Three Four Five Risk Advisory Services 14
16 Risk Assessment Heat Map Prioritize by: Likelihood of Occurrence Business Impact Risk Advisory Services 15
17 Text Analytics Methodology Step 1: Step 2: Step 3: Step 4: Step 5: Assess Key Business Risks & Co-Develop Expectations Identify & Collect Key Custodian Data Sources Process Text Data & Stage for Analysis Conduct Online Review of Text Communicate Results Week: One - Two Three Four Five Risk Advisory Services 16
18 Identify Key Data Sources Drill Down Risk Advisory Services 17
19 Text Analytics Methodology Step 1: Step 2: Step 3: Step 4: Step 5: Assess Key Business Risks & Co-Develop Expectations Identify & Collect Key Custodian Data Sources Process Text Data & Stage for Analysis Conduct Online Review of Text Communicate Results Week: One - Two Three Four Five Risk Advisory Services 18
20 Text Analytics Methodology Step 1: Step 2: Step 3: Step 4: Step 5: Assess Key Business Risks & Co-Develop Expectations Identify & Collect Key Custodian Data Sources Process Text Data & Stage for Analysis Conduct Online Review of Text Communicate Results Week: One - Two Three Four Five Risk Advisory Services 19
21 Text Analytics Identifies the Who, What & When WHO? WHAT? WHEN? Risk Advisory Services 20
22 Text Analytics Identifies the Who, What & When WHO? WHAT? WHEN? Risk Advisory Services 21
23 Who is Communicating With Whom? Who is communicating with whom the most? Risk Advisory Services 22 Who is Joe talking to related to a particular subject matter?
24 Sentiment Analysis Sentiment by Concept Sentiment by Keyword and Person Risk Advisory Services 23
25 Text Analytics Identifies the Who, What & When WHO? WHAT? WHEN? Risk Advisory Services 24
26 What is Being Communicated? Term frequency within the data. Entity Extraction: Top dollar amounts, people, places, names, phone numbers, etc. Risk Advisory Services 25
27 What is Being Communicated? Real life example of clustering for an FCPA investigation Risk Advisory Services 26
28 What is Being Communicated? Real life example of clustering for an FCPA investigation Risk Advisory Services 27
29 What is Being Communicated? List of Key Concepts Frequency of Key Concepts Mentioned In Risk Advisory Services 28
30 More Like This ML Select interesting content Pull back similar documents More Like This Risk Advisory Services 29
31 Text Analytics Identifies the Who, What & When WHO? WHAT? WHEN? Risk Advisory Services 30
32 When are Key Communications Occurring Communication frequency by topic and/or individuals Risk Advisory Services 31
33 Text Analytics Methodology Step 1: Step 2: Step 3: Step 4: Step 5: Assess Key Business Risks & Co-Develop Expectations Identify & Collect Key Custodian Data Sources Process Text Data & Stage for Analysis Conduct Online Review of Text Communicate Results Week: One - Two Three Four Five Risk Advisory Services 32
34 Don t Let This Happen To You Still, I think we can all take some pride in being one of the signature bankruptcies of our time. Risk Advisory Services 33
35 Questions & Answers Vincent Walden ERNST & YOUNG LLP Ernst & Young All Rights Reserved. Ernst & Young is a registered trademark.
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