This course provides specific and concrete instruction on how to
prepare for, CONDUCT AND WRITE UP THE RESULTS OF INTERNAL FRAUD
INVESTIGATIONS AND PRESENT AN EFFECTIVE REPORT. The course will also
provide guidance on gathering evidence in an investigation and
describe strategies for interviewing different types of witnesses.
Filled with comprehensive case studies and numerous mock exercises,
this course provides hands-on instruction and exercise on how to
improve evidence gathering and investigating skills. LEARNING
OBJECTIVES: * Realistic and comprehensive instruction on how to
prepare for an internal fraud investigation. * Realistic and
comprehensive instruction on how to conduct witness interviews in an
internal fraud investigation. * Realistic and comprehensive
instruction on how to respond to whistleblower complaints. *
Realistic and comprehensive instruction on how to prepare a thorough
report of investigation. * Understand how to prepare for an internal
fraud investigation. * Learn how to conduct witness interviews in an
internal investigation. * Learn about various responses to
whistleblower complaints. * Learn how to gather evidence in an
internal investigation. * Learn how to orally present the results of
the investigation. * Learn how to prepare a comprehensive report of
investigation. * Learn about the psychology of fraudsters. * Learn
how to investigate FRAUD AND MISCONDUCT IN THE FEDERAL GOVERNMENT. *
Internal investigations * Fraud investigations * Whistleblower
complaints * Gathering evidence * Presenting the results of an
internal investigation * Drafting reports of investigation * Fraud
* Psychology of Fraudsters * Compliance programs * Internal
controls The instructor, H. David Kotz, is the former Inspector
General of the Securities and Exchange Commission (SEC), who conducted
some of the highest-profile internal investigations ever, including
the investigation of why the SEC failed to uncover Bernie Madoff’s
$50 billion Ponzi scheme, will draw upon his varied experiences at the
SEC in teaching the class. He will provide real-life examples of his
tenure at the SEC, and his efforts to overcome numerous challenges in
the many high-profile internal investigations he conducted.
WHO WILL BENEFIT:
* Internal and external audit professionals
* Finance and accounting management
* Compliance professionals
* Human resource
* Loss prevention and risk specialists
* Security professionals
* Fraud examiners
* Audit report writers
* Procurement/purchasing and Payables Specialists
* Senior financial management seeking to reduce their vulnerability
to costly frauds
* CFO's/senior financial managers
* Regulatory affairs
* Quality assurance
* University officials and researchers
* Insurer claims executives
* State or local police insurance fraud investigators
* Controllers and corporate managers
* Anti-fraud professionals
* Small business owners
* Officers in supervisory positions
* Legal counsel and management officials who want to expand their
knowledge in how to conduct internal fraud investigations, and wish to
learn strategies on how to combat and investigate fraud
Topic Background:
In the current political and regulatory environment, government
oversight and enforcement activities are increasing rapidly and
internal and external scrutiny over corporate practices is at an
all-time high. Prompt and thorough internal investigations of
allegations of fraud, mismanagement and misconduct are critical to
companies that need to respond to a governmental investigation or
threatened litigation or are simply concerned with internal
management, outside boards, or shareholder pressure. There are many
potential pitfalls associated with conducting a fraud or other
internal investigation.
FIELD OF STUDY:
* Auditing: 5 CPE Credits
* Finance: 4 CPE Credits
* Regulatory Ethics: 3 CPE Credits
* Specialized Knowledge and Applications: 2 CPE Credits
* Communications: 2 CPE Credits
* Personnel/HR: 0.5 CPE Credits
* Total CPE credits earned in this seminar: 16.5 CPE Credits
Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: Basic knowledge of internal
investigations, including how to gather evidence and conduct witness
interviews.
Day 01(8:30 AM - 4:30 PM)
* 08.30 AM - 09.00 AM: REGISTRATION
* 09.00 AM: SESSION START
* WHISTLEBLOWERS AND WHISTLEBLOWER COMPLAINTS
* How to manage complaints
* How to deal with whistleblowers
* INTERNAL FRAUD INVESTIGATIONS
* Introduction
* How to determine which INVESTIGATIONS TO CONDUCT
* Comprehensive case study
* GATHERING EVIDENCE
* Collecting documents
* Collecting electronic mail
* Collecting other electronic documentation
* INTERVIEWING TECHNIQUES
* Strategies for conducting interviews
* Mock interview exercises
Day 02(8:30 AM - 4:30 PM)
* PRESENTING THE RESULTS OF THE INVESTIGATION
* Instruction on presentation techniques
* Mock oral presentation exercises
* PREPARING A COMPREHENSIVE REPORT OF INVESTIGATION
* Determining what to include in report
* How to deal with Exculpatory evidence
* Comprehensive case study
* INVESTIGATING FRAUD AND MISCONDUCT IN THE FEDERAL GOVERNMENT
* How to deal with internal pressures
* How to deal with external pressures
* Comprehensive case study
* THE PSYCHOLOGY OF FRAUDSTERS
* How fraudsters think?
* How to detect fraud?
* How to ensure internal controls are in place?
H. DAVID KOTZ
Managing Director at Berkeley Research Group LLC
H. David Kotz is a Managing Director at Berkeley Research Group, a
leading global expert services and consulting firm, and specializes in
regulation of and securities trading by broker-dealers, investment
advisers, hedge funds, insurance companies and banks. He is a member
of BRG's Capital Markets Practice, where he specializes in the
regulation of and securities trading by broker-dealers, investment
advisers, hedge funds, insurance companies and banks. He consults with
and provides expert testimony on behalf of clients in a wide variety
of areas relating to securities fraud, Ponzi schemes, securities
market regulation, internal control risk policies, regulations of
Futures Commission Merchants and commodities trading regulation. Kotz
also focuses on internal investigations and matters relating to
Foreign Corrupt Practices Act ("FCPA") and Anti-Money Laundering
regulations. He also serves as a compliance monitor for firms that
have entered into deferred prosecution agreements and similar
arrangements with government agencies.
Prior to BRG, Kotz served for over 4 years as the Inspector General of
the Securities and Exchange Commission ("SEC"). During his tenure at
the SEC, he conducted the widely publicized investigation of the
failure of the SEC to uncover Bernard Madoff's $50 billion Ponzi
scheme. As part of the Madoff investigation, Kotz personally led
interviews of nearly 122 individuals with knowledge of facts or
circumstances surrounding the SEC's examinations and/or investigations
of Madoff and his firms, including a several-hour, in-person interview
with Bernie Madoff, and led the review of approximately 3.7 million
e-mails and thousands of pages of documentary evidence regarding
Madoff's Ponzi scheme. His investigation culminated with a 457-page
report of investigation with over 550 exhibits which described
Madoff's Ponzi scheme and why the SEC failed to uncover it. Kotz also
authored numerous, additional high-profile reports of investigation
while at the SEC concerning, among others, the $7 billion Ponzi scheme
perpetrated by Allen Stanford, an SEC settlement of an Enforcement
action against Bank of America, and alleged SEC coordination with
Congress and the White House concerning the timing of the bringing of
an SEC Enforcement action against Goldman Sachs & Co. In addition, he
authored a landmark audit report analyzing the SEC's oversight of Bear
Stearns and the reasons for its collapse. This report was utilized by
both the U.S. House Committee on Financial Services and the Financial
Crisis Inquiry Commission as a basis for making recommendations on
U.S. financial reform. He has testified before Congress on numerous
occasions, including televised appearances before the House Financial
Services Committee and Senate Banking Committee regarding the Madoff
and Stanford Ponzi schemes. He also previously served as Inspector
General of the Peace Corps.
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