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.
- 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.
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.
- 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
- Psychology of Fraudsters
- Compliance programs
- Internal controls
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
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.
We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail firstname.lastname@example.org.
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.