ComplianceOnline

"Workshop by Former SEC Inspector General: 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 this workshop.

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
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

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.

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.

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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?
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H. David Kotz

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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Online using Credit card

$1,299.00

Seminar One Registration

February 16-17, 2017, Los Angeles, CA
(Registrations till December 20, 2016 - $1299)
(Registrations till January 10, 2017 - $1399)
(Registrations till January 30, 2017 - $1499)
(Registrations after January 30, 2017 - $1699)

$1,999.00

Seminar One Registration (With 2 Nights Stay)

February 16-17, 2017, Los Angeles, CA

$5,999.00
$7,794.00 (23%)*

Save $1,795.00

Special Group Discount Register for Six attendees

February 16-17, 2017, Los Angeles, CA<
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Early bird seats are limited and based on first-come, first-serve.

Your registration fee includes the workshop, all course materials and lunch.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

Other Registration Option

By order form / PO#

Payment Mode

By Check -
Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 East Bayshore Road Suite 200
Palo Alto, CA 94303
USA

By Wire -

Register / Pay by Wire Transfer

Please contact us to get details of wire transfer option.

Terms & Conditions to Register for the Seminar/Conference/Event

Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @ customercare@complianceonline.com

Payment:
Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund - less a $300 administration fee. No cancellations will be accepted - nor refunds issued - within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

Attendance confirmation and documents to carry to the seminar venue:
After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.

Online using Credit card

$1,299.00

Seminar One Registration

August 3-4, 2017, New York, NY
(Registrations till December 20, 2016 - $1299)
(Registrations till January 10, 2017 - $1399)
(Registrations till January 30, 2017 - $1499)
(Registrations after January 30, 2017 - $1699)




Early bird seats are limited and based on first-come, first-serve.

Your registration fee includes the workshop, all course materials and lunch.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

Other Registration Option

By order form / PO#

Payment Mode

By Check -
Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 East Bayshore Road Suite 200
Palo Alto, CA 94303
USA

By Wire -

Register / Pay by Wire Transfer

Please contact us to get details of wire transfer option.

Terms & Conditions to Register for the Seminar/Conference/Event

Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @ customercare@complianceonline.com

Payment:
Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund - less a $300 administration fee. No cancellations will be accepted - nor refunds issued - within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

Attendance confirmation and documents to carry to the seminar venue:
After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.

Location 1:

Los Angeles, CA
(Venue to be announced shortly)

February 16-17, 2017

Location 2:

New York, NY
(Venue to be announced shortly)

August 3-4, 2017

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
Media Partners
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  • A full page brochure advert
  • Moving banner ad on the website
Gold Partner
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  • Moving banner ad on the website
Silver Partner
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  • Logo placement on the podium
  • Logo on the lanyards for all speakers
  • Exclusive stall at the entrance
  • A full page brochure advert
  • Moving banner ad on the website
Bronze Partner
  • Logo on promotional email campaign
  • Logo on name cards
  • A half page brochure advert
  • Exclusive stall at the entrance
  • A quarter page brochure advert

If you wish to partner with us for this event please contact us: partner@complianceonline.com or call us: +1-888-717-2436.

Sponsors
Platinum Partner
  • Logo on name cards
  • Logo placement on the podium
  • Logo on the lanyards for all speakers
  • Exclusive stall at the entrance
  • A full page brochure advert
Gold Partner
  • Logo on promotional email campaign
  • Logo on name cards
  • A half page brochure advert
  • Exclusive stall at the entrance
  • A quarter page brochure advert
  • Moving banner ad on the website
Silver Partner
  • Logo on name cards
  • Logo placement on the podium
  • Logo on the lanyards for all speakers
  • Exclusive stall at the entrance
  • A full page brochure advert
  • Moving banner ad on the website
Bronze Partner
  • Logo on promotional email campaign
  • Logo on name cards
  • A half page brochure advert
  • Exclusive stall at the entrance
  • A quarter page brochure advert
  • Moving banner ad on the website

If you wish to sponsor this event please contact Cruise Webster: cwebster@complianceonline.com or call us: (207) 576-4173

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Local Attractions of Los Angeles, CA

Griffith Observatory

Griffith Observatory

Griffith Observatory is an icon of Los Angeles, a national leader in public astronomy, a beloved civic gathering place, and one of southern California's most popular attractions. The Observatory is located on the southern slope of Mount Hollywood in Griffith Park, just above the Los Feliz neighborhood. It is 1,134 feet above sea level and is visible from many parts of the Los Angeles basin.

Universal Studios Hollywood

Universal Studios Hollywood

Universal Studios Hollywood is a movie studio and theme park in the Los Angeles County, California, United States. It is one of the oldest and most famous Hollywood movie studios still in use. Its official marketing headline is "The Entertainment Capital of LA", though during the summer it is often advertised as "The Coolest Place in LA. It is the first of many full-fledged Universal Studios Theme Parks located across the world.

Los Angeles County Museum of Art

Los Angeles County Museum of Art

The Los Angeles County Museum of Art (LACMA) is the largest art museum in the western United States. It attracts nearly a million visitors annually. Its holdings of more than 100,000 works span the history of art from ancient times to the present. In addition to art exhibits, the museum features film and concert series.

Beverly Center

Beverly Center

Beverly Center Shopping Mall is a large indoor shopping center located near Beverly Hills. Beverly Center is Southern California's premier fashion destination with over 100 distinctive specialty boutiques reflecting the diverse styles and tastes of Los Angeles. The Center is anchored by Bloomingdale’s, Macy’s and the upscale dining destination, The Capital Grille.

Venice Beach

Venice Beach

Venice Beach is a seaside neighborhood of Los Angeles. Named for its series of canals, Venice is known as a haven for creative types. It is famous for its bohemian boardwalk and for the eclectic Abbot Kinney Blvd. Venice Beach include the beach, the promenade that runs parallel to the beach (“Ocean Front Walk” or just “the boardwalk”), Muscle Beach, the handball courts, the paddle tennis courts, Skate Dancing plaza, the numerous beach volleyball courts, the bike trail and the businesses and residences that have their addresses on Ocean Front Walk.

Los Angeles Zoo and Botanical Gardens

Los Angeles Zoo and Botanical Gardens

The Los Angeles Zoo and Botanical Gardens is located in Los Angeles Griffith Park. The Zoo is home to more than 1,100 mammals, birds, amphibians and reptiles representing more than 250 different species of which 29 are endangered. In addition, the Zoo’s botanical collection comprises several planted gardens and over 800 different plant species with over 7,400 individual plants. The Zoo receives over 1.5 million visitors per year.

Staples Center

Staples Center

Staples Center is a multi-purpose sports arena in Los Angeles. It is one of the major sporting facilities in the Greater Los Angeles Area. The arena is home to the Los Angeles Lakers and the Los Angeles Clippers of the National Basketball Association (NBA), the Los Angeles Kings of the National Hockey League (NHL), and the Los Angeles Sparks of the Women's National Basketball Association (WNBA).

Watts Towers

Watts Towers

The Watts Towers are a complex set of 17 separate sculptural pieces built on a residential lot in the community of Watts. Two of the towers rise to a height of nearly 100 feet. The Watts Towers are one of only nine works of folk art listed on the National Register of Historic Places. The site is one of only four US National Historic Landmarks in the city of Los Angeles.

Getty Center

Getty Center

The Center houses a comprehensive collection of Western art from medieval times to the present, with particular strengths in alchemical texts, Italian futurism, Russian Modernism, Japanese avant-garde art and artists’ letters and sketchbooks throughout the ages. The Center’s campus features numerous garden spaces, fountains and pools as well as outdoor sculptures. The center draws 1.3 million visitors annually.

Local Attractions of New York

Statue of Liberty

Statue of Liberty

A short boat trip brings you from Manhattan to the Statue of Liberty, a gift from France for the centennial of America's Independence which now symbolizes the USA and New York in particular.

Brooklyn Bridge

Brooklyn Bridge

The Brooklyn Bridge, built between 1869 and 1883, connects Brooklyn with Manhattan. The bridge is one of the most magnificent landmarks in all of New York City.

Bryant Park

Bryant Park

Bryant Park is a small but pleasant park located next to the NY Public Library and surrounded by interesting architecture such as the historic Bryant Park Hotel and the modern Bank of America Building.

Central Park

Central Park

Central Park was the first large city park in the United States. The design by Olmsted and Vaux has been copied all over the world. Originally situated in a sparsely populated area, the park is now surrounded by highrises.

Coney Island

Coney Island

Coney Island is a seaside resort in Brooklyn famous for its historic Ferris Wheel and roller coaster, the Cyclone. Long past its heyday, it is still a popular tourist attraction.

Ellis Island

Ellis Island

Now home to the immigration museum, Ellis Island was the immigrant gateway to America. More than 12 million people arrived here on the way to their new life in a new country.

Grand Army Plaza

Grand Army Plaza

Not as famous as its Brooklyn namesake, this plaza sits at the edge of Central Park. The square features a large gilded statue of general William Sherman as well as the Pulitzer fountain.

Lincoln Center

Lincoln Center

Lincoln Center is a large complex devoted to music, dance, and theater. The most famous building at the center is the Metropolitan Opera House, designed by Wallace K. Harrison.

New York Public Library

New York Public Library

One of the world's most acclaimed libraries is housed in a beautiful Beaux-Arts building, designed by architects Carrère and Hastings. The building was completed in 1911 after 9 years of construction.

Park Avenue

Park Avenue

This posh, mostly residential street is lined with many historic buildings like the Waldorf Astoria Hotel, Lever House, Helmsley Building, Seagram Building and Ritz Tower.

Roosevelt Island

Roosevelt Island

Situated on the East River between Manhattan and Queens, Roosevelt Island is best known for its hospitals and asylums that have been here since the 1800s. The island can be reached by an aerial tram.

St. Patrick's Cathedral

St. Patrick's Cathedral

Completed in 1900, this neo-Gothic masterpiece is the country's largest roman catholic cathedral. It is located at Fifth Avenue near Rockefeller Center, now a posh area but at the time of construction well out of the city center.

Times Square

Times Square

Times Square, the most bustling square of New York is known for its many Broadway theatres, cinemas and electronic billboards. It is one of those places that make New York a city that never sleeps.

Washington Square

Washington Square

Washington square park, located in Greenwich village, was created in 1826. The main attraction of the park is the Washington Arch, constructed for the centennial of President Washington's inauguration.

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