ComplianceOnline

Evidence Gathering in a Fraud Investigation

Instructor: H. David Kotz
Product ID: 703261
Training Level: Intermediate
  • Duration: 75 Min

recorded version

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Read Frequently Asked Questions

This training on fraud investigation will explain how to deal effectively with allegations of fraud and how to conduct internal investigations. It will provide the attendees tips on how to gather evidence in a fraud investigation.


"Evidence Gathering in a Fraud Investigation" - This course is approved by NASBA (National Association of State Boards of Accountancy). Attendees of Live Webinar are eligible for 1.5 CPE credit up on full completion of the course.

Why Should You Attend:

Millions of investors have lost their lifesavings in high-profile frauds over the past several years, including Bernie Madoff’s $50 billion fraud and Allen Stanford’s $7 billion scheme. These frauds have also led to significant liability and exposure for feeder funds, accounting firms and custodial banks.

Corporations are also under increasing scrutiny and many companies have been faced with ethical scandals and allegations of mismanagement and misconduct. Given this trend, companies should be reviewing their protocols regarding how to deal effectively with allegations of fraud and how to conduct internal investigations. It is critical for companies to ensure that they have systems established to properly investigate allegations of improprieties and misconduct that are raised within the company.

This webinar highlights how one can conduct effective and through investigations of allegations of fraud. Presented by the former Inspector General of the SEC, who investigated several of the largest and highest-profile frauds in history, including Bernie Madoff’s $50 billion Ponzi scheme and Allen Stanford’s $7 billion Ponzi scheme, the webinar provides specific and concrete tips on how to gather evidence in a fraud investigation.

Areas Covered in the Webinar:

  • Analysis of the Bernie Madoff Fraud
  • Discussion of investigative techniques utilized in different situations
  • Evidence gathering challenges and solutions
  • How to ensure the credibility of an internal investigation
  • How to locate relevant (hard copy and electronic) documents in an investigation
  • How to conduct effective witness interviews
  • How to draft comprehensive investigative reports

Who Will Benefit:

  • Compliance Officers
  • Risk Assessment Professionals
  • Internal Investigators
  • CEOs and Senior Management Officials of small to mid-size firms
  • Operational Managers
  • Internal Auditors
  • Staff with roles and responsibilities in compliance departments
  • Staff with roles and responsibilities in risk assessment departments
Instructor Profile:
H. David Kotz

H. David Kotz
Managing Director, Berkeley Research Group LLC

H. David Kotz , presently serves as a Director at Berkeley Research Group, a leading global expert services and consulting firm. Mr. Kotz focuses on internal investigations and matters relating to Foreign Corrupt Practices Act 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. He also serves as an expert witness in litigation matters relating to securities regulation and the identification of fraud.

Prior to Berkeley Research Group, Kotz served for over 4 years as the Inspector General of the Securities and Exchange Commission (SEC). During his tenure at the SEC, he authored the landmark, widely publicized report investigating the failure of the SEC to uncover Bernard Madoff’s $50 billion Ponzi scheme. Mr. Kotz also authored numerous high-profile reports of investigation while at the SEC concerning, among others, a $7 billion alleged Ponzi scheme perpetrated by Allen Stanford, an SEC settlement of enforcement action against Bank of America, and alleged SEC coordination with Congress and the White House concerning the timing of the bringing of an 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. He has testified before Congress, 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.

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 mismanagement and misconduct are critical to companies that need to respond to a governmental investigation or threatened litigation.

Corporations are under increasing scrutiny and many companies have been faced with ethical scandals and allegations of mismanagement and misconduct. Understanding how to react to allegations is critical to managing the process as effectively as possible.

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 Minutes CPE
Auditing 30 0.6
Finance 30 0.6
Personal Development 15 0.3
Total Duration - 75 Min Total Credits - 1.5

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