Course Description:

This course provides specific and concrete instruction on how to manage competing regulatory oversight and includes specific and hands-on advice on cultivating an ethical culture, managing whistleblower complaints, surviving several types of regulatory examinations, including SEC broker-dealer and investment advisor examinations, FINRA broker-dealer and investment advisor examinations, and CFTC and NFA examination of FCMs, defending both SEC and FINRA Enforcement actions, participating in the regulatory comment process, and defending FCPA claims.

The instructor, H. David Kotz, is the former Inspector General of the Securities and Exchange Commission (SEC), who held a senior position at the SEC during the financial crisis and the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"). Mr. Kotz will draw upon his varied experiences at the SEC in teaching the class and will provide real-life examples of his tenure at the SEC, and his efforts to oversee the regulation put into place as part of Dodd-Frank.

Course Benefits:

  • Specific instruction on cultivating an ethical culture and managing corporate governance issues.
  • Specific instruction on how to respond to and manage whistleblower complaints.
  • Specific instruction on how to survive various types of regulatory examinations.
  • Specific instruction on how to defend governmental Enforcement actions.
  • Specific instruction on how to conduct internal investigations.

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

Learning Objective:

  • 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 how to defend SEC and FINRA regulatory examinations.
  • Learn how to defend SEC and FINRA Enforcement actions.
  • 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.

Areas Covered:

  • Corporate governance
  • Ethics policies and culture
  • SEC Regulatory Examinations
  • FINRA Regulatory Examinations
  • Whistleblower Complaints
  • SEC Enforcement actions
  • FINRA Enforcement actions
  • Internal investigations
  • Fraud Investigations.

Who Will Benefit:

All professionals who want to expand their knowledge on corporate governance, regulatory examinations and Enforcement actions, internal investigations and managing whistleblowing complaints.

  • Compliance
  • Internal Audit
  • Human Resource
  • Legal Counsel
  • Management Officials
  • Finance
  • Commercial Banks
  • Investment Banks
  • Custodial Entities
  • Broker-Dealers and Investor Advisers

Topic Background:

Compliance professionals currently face a myriad of overlapping and confusing regulations and regulators. In the aftermath of the financial crisis, new regulations and increased aggressiveness on the part of regulators have led to growing demands placed on financial firms. The volume and pace of regulatory change causes new and diverse pressures on compliance functions. Over the years, the financial regulatory system has been modified to address various sources of potential financial instability and attempt to provide regulation and a structure for areas where there are purported regulatory gaps. With each new crisis, there are efforts made to address perceived weaknesses in the regulatory system. The result is a complex regulatory system in which federal agencies have overlapping jurisdictions. These structures have resulted in tremendous confusion on the part of compliance professionals who have to make decisions to allocate often scarce resources to compliance efforts necessitated by the overlapping regulatory schemes.

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
  • 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
  • Defending Regulatory Examinations
    • SEC Examinations
      • Preparation for the Exam
      • Dealing with the SEC Examiners
    • FINRA Examinations
      • Preparation for the Exam
      • Dealing with the SEC Examiners
    • Comprehensive Case Studies
  • Defending Enforcement Actions
    • SEC Enforcement Actions
      • Commencement of the SEC Actions
      • Discovery
      • The Wells Process
      • Trends in SEC Enforcement
    • FINRA Enforcement Proceedings
      • Commencement of the FINRA Proceedings
      • Discovery
      • Conduct of the FINRA Hearing
    • Comprehensive Case Studies
  • Internal fraud 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
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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