Expert Profile
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.
Trainings by Expert
Evidence Gathering in a Fraud Investigation
Category:
Banking and Financial Services
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Risk Management
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Corporate Governance
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Banks and Credit Unions
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Accounting and Taxation
,
Financial Fraud
,
Internal Audit & Control
,
Ethics, Fraud & Corruption
,
Risk Management & Controls
,
Corporate Risk
,
Financial Risk Management
,
Audit & Inspection-Role
,
Internal Audit
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Compliance & Ethics
,
Financial Services and Trading
Conducting Internal Investigations: Insights from Former SEC Inspector General
Category:
Banking and Financial Services
,
Risk Management
,
Corporate Governance
,
Internal Audit & Control
,
Ethics, Fraud & Corruption
,
Corporate Governance Laws
,
Risk Management & Controls
,
Corporate Risk
,
Audit & Inspection-Role
,
Internal Audit
,
Finance, Sox & Internal control
,
Compliance & Ethics
,
Regulatory Affairs
,
Financial Services and Trading
How to Conduct Corporate Fraud Investigations: Planning, Gathering and Drafting a Comprehensive Investigative Report
Category:
Banking and Financial Services
,
Risk Management
,
Corporate Governance
,
Internal Audit & Control
,
Ethics, Fraud & Corruption
,
Policies and Processes
,
Audit & Inspection-Role
,
Internal Audit
,
Documentation and Policy Management
,
Corporate Policy management
,
Finance, Sox & Internal control
,
Compliance & Ethics
2015 SEC Enforcement Initiatives and Controls to Defend Them
Category:
Banking and Financial Services
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Risk Management
,
HR Compliance
,
Corporate Governance
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Accounting and Taxation
,
Internal Audit & Control
,
Board of Directors
,
Regulatory Requirements
,
Documentation & Recordkeeping
,
Corporate Governance Laws
,
Audit & Inspection-Role
,
HR Audit
,
Internal Audit
,
Financial Audit
,
Finance, Sox & Internal control
,
Compliance & Ethics
,
Regulatory Affairs
Building a Comprehensive Fraud Investigative Report
Category:
Banking and Financial Services
,
Corporate Governance
,
Accounting and Taxation
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Reporting, Metrics, Policies
,
Accounting/ Reimbursement fraud
,
Financial Fraud
,
Internal Audit & Control
,
Ethics, Fraud & Corruption
,
Audit & Inspection-Role
,
Internal Audit
,
Documentation and Policy Management
,
Corporate Policy management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Compliance & Ethics
,
Financial Services and Trading
,
Accounting Audits
Defending FCPA Claims and Minimizing FCPA Exposure
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
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Corporate Governance
,
Banks and Credit Unions
,
Financial Fraud
,
Internal Audit & Control
,
Ethics, Fraud & Corruption
,
Risk Management & Controls
,
Financial Risk Management
,
Audit & Inspection-Role
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Financial Services and Trading
SEC Examinations - Practical Tips on How to Defend Yourself
Category:
Banking and Financial Services
,
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Banks and Credit Unions
,
Financial Fraud
,
Risk Management & Controls
,
Audit & Inspection-Role
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Finance, Sox & Internal control
,
Financial Services and Trading
Red Flags of Internal Fraud, Asset Misappropriation, and Corruption
Category:
Banking and Financial Services
,
Risk Management
,
SOX Compliance
,
Corporate Governance
,
Banks and Credit Unions
,
Financial Fraud
,
Internal Audit & Control
,
Ethics, Fraud & Corruption
,
Corporate Governance Laws
,
Risk Management & Controls
,
Financial Risk Management
,
Audit & Inspection-Role
,
Internal Audit
,
Financial Audit
,
Documentation and Policy Management
,
Banking & Finance
,
Regulatory Affairs
,
Financial Services and Trading
