ComplianceOnline
"How to Minimize FCPA Exposure and Conduct Comprehensive Internal Investigations" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 13.8 CPE credits upon completion of this workshop.

Course Description:

In the current political and regulatory environment, government oversight activities are at an all-time high. The Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have become increasingly aggressive in prosecuting FCPA claims. The Government has been focusing more and more on identifying individuals in addition to corporations who may have FCPA liability and exposure. There also has been a significant trend in favor of bringing actions against banks and other financial institutions. When faced with FCPA claims, companies must take appropriate steps in a timely fashion or face significant liability in both civil and criminal venues. Understanding how best to navigate FCPA claims and conduct comprehensive and thorough internal investigations is crucial to reducing potential exposure.

Prompt and thorough investigations of allegations of corruption and bribery are critical to companies as they attempt to reduce their FCPA exposure. There are many potential pitfalls associated with conducting an internal investigation.

This course provides specific and concrete instruction on how to prepare for, conduct and write up the results of internal investigations. 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 on how to minimize FCPA exposure and conduct internal investigations. The instructor, H. David Kotz, is the former Inspector General of the 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.

Seminar Fee Includes:

Lunch
AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar



Learning Objectives:

  • Learn how to establish policies and procedures to cultivate an ethical culture and manage corporate governance issues.
  • Learn how to establish a whistleblower program that can effectively respond to and manage whistleblower complaints.
  • Learn in what circumstances should one self-disclose violations.
  • Learn how to conduct internal investigations.
  • Learn how to conduct witness interviews in an internal investigation.
  • 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.


Course Benefits:

  • Specific instruction on how to minimize FCPA exposure.
  • Specific instruction on how to respond to and manage whistleblower complaints.
  • Specific instruction on how to observe a culture of compliance in an organization.
  • Specific instruction on how to respond to governmental Enforcement actions.
  • Specific instruction on how to conduct internal investigations.


Areas Covered:

  • Corporate governance
  • FCPA exposure and liability
  • Whistleblower Complaints
  • Due diligence
  • Self-Disclosure of Violations
  • Governmental Enforcement investigations
  • Internal investigations
  • Fraud Investigations.


Who Will Benefit:

  • Compliance
  • Internal Audit
  • Human Resource
  • Legal Counsel
  • Management Officials
  • Officials in The Financial Arena
  • Commercial and Investment Banks


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:
  • Administrative Practice: 3.6 CPE Credits
  • Behavioral Ethics: 1 CPE Credits
  • Communications: 2 CPE Credits
  • Finance: 3.6 CPE Credits
  • Regulatory Ethics: 3.6 CPE Credits
  • Total CPE credits earned in this workshop: 13.8 CPE Credits

Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: None





Course Outline:

Day 1 (8:30 AM – 4:30 PM) Day 2 (8:30 AM – 4:30 PM)
  • 8:30 – 9:00 AM: Registration
  • 9:00 AM: Session Start Time

FCPA exposure and liability

  • Introduction to the FCPA
  • Corporate Governance
    • Creating Effective Policies and Procedures
    • Ensuring Accountability within an Organization
    • Red Flags of an Unethical Culture
    • Ethical Decision-Making
    • Comprehensive Case Studies
  • Whistleblowers and Whistleblower Complaints
    • How to manage complaints
    • How to deal with whistleblowers
    • How to put appropriate whistleblower policies and procedures into place
    • Comprehensive Case Studies
  • Self-Disclosure of Potential Violations Defending Regulatory Examinations
    • Comprehensive Case Studies

Internal investigations

  • Introduction and how to determine which investigations to conduct
  • Gathering Evidence
    • Collecting documents
    • Collecting electronic mail
  • Interviewing techniques
    • Strategies for conducting interviews
    • Mock interview exercises
  • 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 studies




Meet Your Instructor

H. David Kotz
Former Inspector General of the Securities and Exchange Commission

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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