Building a Comprehensive Fraud Investigative Report

Why Should You Attend:

This webinar will highlight how to build a comprehensive fraud investigation report. It will be presented by the former Inspector General of the SEC, who has conducted several high profile fraud investigations in history, including investigations into Bernie Madoff’s $50 billion Ponzi scheme and the collapse of Bear Stearns.

The webinar will provide valuable lessons learned from these investigations on how to plan fraud investigations, gather evidence and draft the investigative report. Concrete tips will be provided with respect to each aspect of corporate fraud investigations.

Learning Objectives:

• Learn how to ensure the credibility of a fraud investigative report.
• Learn how to approach and establish an investigative plan for a fraud investigative report.
• Learn how to conduct effective witness interviews of witnesses as well as the target of the fraud investigation.
• Learn how to deal with witnesses who lie or fail to be forthcoming in a fraud investigation.
• Learn how to locate and gather documents (including electronic ones) related to the fraud investigation.
• Learn how to build a comprehensive investigative report of fraud, including how to deal with exculpatory evidence.
• Learn how to present the results of corporate fraud investigation.

Areas Covered in the Webinar:

• Description of and anecdotes from several high-profile fraud investigations, including the investigation of how the SEC failed to uncover Bernie Madoff’s $50 billion Ponzi scheme.
• How to locate relevant (hard copy and electronic) documents in a fraud investigation
• A discussion of fraud investigative techniques utilized in different situations
• How to ensure the credibility of a fraud investigation
• How to conduct effective witness interview
• How to build comprehensive fraud investigative reports, including how to deal with exculpatory evidence

Who Will Benefit:

• Compliance Officers
• Risk Assessment Professionals
• Internal Investigators and Auditors
• Operational Managers
• CEOs and Senior Management Officials in Small to Mid-Size Firms
• Human Resource Professionals
• Employment Managers
• Public Agency Managers
• Finance and Accounting Management
• Security Professionals
• Fraud Examiners
• Forensic and Management Accountants, Accounts Payable and Financial Analysts
• Controllers
• Accounting Managers
• Investors, Brokers, Money Managers, etc.
• Lending Officers
• Credit and Collection Department Personnel
• Payroll

Instructor Profile:

H. David Kotz presently serves as a managing director at Berkeley Research Group (BRG), a leading global expert services and consulting firm. 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. Mr. 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.

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