Workshop by Former SEC Inspector General: How to Conduct Internal Fraud Investigations & Effective Reporting

By: H. David Kotz, Managing Director at Berkeley Research Group LLC
Location :- Orlando, FL | Tuesday, February 16, 2016 | Wednesday, February 17, 2016
“How to Conduct Internal Fraud Investigations & Effective Reporting” – This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 16.5 CPE credits upon completion of training.

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Course Description:

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.

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
    • Fraud
    • 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

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.

CPE-GRC

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 cpe@nasba.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.

Course Outline

Day One (8:30 AM – 4:00 PM)
  • 8:30 – 9:00 AM: Registration
  • 9:00 AM: Session Start Time
  • 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 Two (8:30 AM – 3:30 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?

Meet Your Instructor

H_DAVID_KOTZ_90_112
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.

Venue

Location:
Orlando, FL (Venue to be announced shortly)

February 16-17, 2016
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