Conducting Internal Investigations: Insights from Former SEC Inspector General

Why Should You Attend:

Corporations are under increasing scrutiny and many companies have been faced with ethical scandals and allegations of mismanagement and misconduct. In addition, more and more whistleblowers have been coming forward in recent years to present allegations of impropriety. Given these trends, companies should be reviewing their protocols regarding how to conduct internal investigations in a manner that puts the issues to rest. It is critical for companies to ensure that they have systems established to properly investigate allegations of improprieties and misconduct that are raised within the company. The failure to conduct an appropriate internal investigation may lead to significant exposure on the part of a company.

This webinar will highlight how one can conduct effective and thorough internal investigations. Presented by the former Inspector General of the SEC, who conducted several of the largest and highest-profile investigations in history, including Bernie Madoff’s $50 billion Ponzi scheme and the collapse of Bear Stearns, this webinar will provide specific and concrete tips on how to conduct credible and thorough internal investigations.

Areas Covered in the Webinar:

• Description of and anecdotes from several high-profile investigations, including the investigation of how the SEC failed to uncover Bernie Madoff’s $50 billion Ponzi scheme.
• How to initiate an internal investigation
• How to gather evidence in an internal investigation
• Discussion of investigative techniques utilized in different situations
• How to ensure the credibility of an internal investigation
• How to locate relevant (hard copy and electronic) documents in an investigation
• How to conduct effective witness interviews
• How to draft comprehensive investigative reports

Who Will Benefit:

• Compliance Officers
• Risk Assessment Professionals
• Internal Investigators
• CEOs and Senior Management Officials of Small to Mid-size Firms
• Operational Managers
• Internal Auditors
• Staff with Roles and Responsibilities in Compliance Departments.
• Staff with Roles and Responsibilities in Risk Assessment Departments.

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.

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 mismanagement and misconduct are critical to companies that need to respond to a governmental investigation or threatened litigation.

Corporations are under increasing scrutiny and many companies have been faced with ethical scandals and allegations of mismanagement and misconduct. Understanding how to conduct thorough and credible internal investigations is critical to managing the process as effectively as possible.

Follow us :