Fraud Case Management Checklist Template
Prevent fraud and streamline investigations with our Fraud Case Management Checklist Template. Ensure compliance, identify red flags, and optimize your workflow for faster, more effective fraud resolution. Download now!
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Initial Assessment & Reporting
Tasks related to the initial identification, documentation, and reporting of suspected fraud.
Date of Initial Suspicion
Description of Initial Suspicion/Incident
Reported By (Role/Department)
Estimated Potential Loss (USD)
Severity Level (Initial)
Supporting Documentation (Initial)
Evidence Gathering & Preservation
Activities focused on collecting, securing, and analyzing evidence to support the fraud investigation.
Date Evidence Collected
Time Evidence Collected
Detailed Description of Evidence Collected
Supporting Documents (e.g., Bank Statements, Emails)
Location of Evidence Source (Physical or Digital)
Type of Evidence (e.g., Financial Record, Email)
Quantity of Documents Collected (if applicable)
Investigation & Analysis
Detailed examination of financial records, interviews, and other data sources to identify the scope and perpetrators of fraud.
Summary of Initial Interview(s)
Financial Records - Bank Statements
Estimated Financial Loss (USD)
Suspected Perpetrator(s) - Initial Assessment
Date of Suspected Fraudulent Activity
Description of Unusual Transaction Patterns
Potential Motives (Select all that apply)
Legal Review & Consultation
Seeking legal advice and ensuring compliance with relevant laws and regulations throughout the case.
Date of Initial Legal Consultation
Legal Counsel Assigned
Summary of Initial Legal Advice Received
Estimated Legal Fees (Initial Estimate)
Legal Hold Implemented?
Uploaded Documents (e.g., Engagement Letter)
Remediation & Recovery
Steps taken to recover losses, prevent future fraud, and strengthen internal controls.
Estimated Financial Loss
Recovery Method Selected
Detailed Recovery Plan Description
Target Date for Initial Recovery
Supporting Documentation for Recovery Efforts
Amount Recovered to Date
Status of Recovery Efforts
Reporting & Documentation
Finalizing reports, maintaining thorough documentation, and fulfilling reporting obligations to relevant stakeholders.
Case Summary Report
Report Submission Date
Estimated Financial Loss
Supporting Financial Documents
Report Classification (e.g., Internal, External)
Investigating Officer Signature
Key Findings and Conclusions
Prevention & Controls
Reviewing existing fraud prevention mechanisms and developing improved controls to reduce future risk.
Review and Update Fraud Prevention Policies?
Strengthened Internal Controls (Select All That Apply)
Frequency of Employee Security Training (Months)
Date of Last Policy Review
Implementation of Whistleblower Program?
Closure & Audit
Officially closing the case, conducting a final audit to assess effectiveness, and documenting lessons learned.
Case Closure Date
Total Recovered Amount (USD)
Summary of Audit Findings & Recommendations
Case Outcome
Auditor Signature
Lessons Learned and Recommendations for Improvement
Compliance with Legal Requirements
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