"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.

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,, e-mail

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:
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.

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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Courtyard New York Manhattan/Central Park
1717 Broadway (Broadway & 54th street),
New York, New York, 10019, USA
Tel: +1-212-324-3773

August 3-4, 2017

How to Reach

General Driving Directions:

Driving directions from LaGuardia Airport - LGA - 10 miles SW:
  • Take Central Terminal Drive west for 0.2 mile to LaGuardia Road.
  • Travel 0.1 mile on LaGuardia Road and take the ramp onto LaGuardia Access Road.
  • Travel 0.3 mile and take the ramp on the left onto Grand Central Parkway.
  • Travel 0.9 mile to exit 4 for I-278 West/Brooklyn-Queens Expressway West toward Staten Island.
  • Merge onto Brooklyn-Queens Expressway East.
  • Travel 1.0 mile merge onto I-278 West/Brooklyn Queens Expressway East.
  • Travel 2.2 miles to exit 35 for I-495/LI Expressway toward Midtown Tunnel/Eastern LI/Greenpoint Avenue.
  • Travel 0.1 mile to exit 35W on the left for I-495 West for the Midtown Tunnel/Manhattan.
  • Travel 0.4 mile and merge onto I-495 West-partial toll road.
  • Travel 2.7 miles.
  • Take the exit for East 37th Street and make a slight left onto East 37th Street.
  • Take the first right onto 3rd Avenue.
  • Travel 0.2 mile to East 42nd Street and turn left.
  • Travel 0.6 mile to 6th Avenue and turn right.
  • Travel 0.6 mile to West 55th Street and turn left.
  • Travel 0.2 miles to Broadway and turn left.
Driving directions from John F Kennedy International Airport - JFK: 18.7 miles SW:
  • Travel northeast and take the ramp to Airport Exit.
  • Merge onto the JFK Access Road.
  • Travel 0.2 mile and merge onto the Van Wyck Expressway.
  • Travel 0.7 mile and merge onto I-678 N/​Van Wyck Expressway.
  • Travel 7.4 miles to exit 12B for I-495 West/​LI Expressway toward Midtown Tunnel.
  • Travel 0.5 mile and merge onto I-495 West-partial toll road.
  • Travel 7.7 miles and take the exit for East 37th Street and make a slight left onto East 37th Street.
  • Take the first right onto 3rd Avenue.
  • Travel 0.2 mile to East 42nd Street and turn left.
  • Travel 0.6 mile to 6th Avenue and turn right.
  • Travel 0.6 mile to West 55th Street and turn left.
  • Travel 0.2 miles to Broadway and turn left.

Other Transportation:

Bus Station
  • Port Authority New York City 0.7 miles S
Subway Station
  • NYC Subway (#1-Red line) 0.2 miles S
  • NYC Subway (E, B, D lines) 0.1 miles S
Train Station
  • Grand Central Station 1 miles SE
  • Penn Station New York City 1 miles S

Disclaimer: Directions to the venue above have been taken from the hotel website. Attendees are advised to check with the hotel for confirmation of these directions before starting for the venue. ComplianceOnline is not responsible for any inaccuracies in the same.

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For more details and other sponsorship options at this event, please contact Event Manager: or call: +1-650-238-9656

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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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