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.
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.
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.
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.
Day 01(8:30 AM - 4:30 PM)
Day 02(8:30 AM - 4:30 PM)
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.
Please contact the event manager Marilyn below for the following:
- Discounts for registering 5 or more participants.
- If you company requires a price quotation.
Event Manager Contact: marilyn.b.turner(at)nyeventslist.com
You can also contact us if you require a visa invitation letter, after ticket purchase.
We can also provide a certificate of completion for this event if required.
NO REFUNDS OR TRANSFER ALLOWED ON REGISTRATIONS
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