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Who should attend How to Minimize FCPA Exposure and Conduct Comprehensive Internal Investigations
Compliance Internal Auditors, Human Resources, Legal Counsel, Management Officials, Officials in The Financial Arena, Commercial and Investment Banks
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Seminar Summary:

In the current political and regulatory environment, government oversight activities are at an all-time high. The Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have become increasingly aggressive in prosecuting FCPA claims. (see full course description)

 
 
 

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Training Course Syllabus:


How to Minimize FCPA Exposure and Conduct Comprehensive Internal Investigations

In the current political and regulatory environment, government oversight activities are at an all-time high. The Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have become increasingly aggressive in prosecuting FCPA claims. The Government has been focusing more and more on identifying individuals in addition to corporations who may have FCPA liability and exposure. There also has been a significant trend in favor of bringing actions against banks and other financial institutions. When faced with FCPA claims, companies must take appropriate steps in a timely fashion or face significant liability in both civil and criminal venues. Understanding how best to navigate FCPA claims and conduct comprehensive and thorough internal investigations is crucial to reducing potential exposure.

Prompt and thorough investigations of allegations of corruption and bribery are critical to companies as they attempt to reduce their FCPA exposure. There are many potential pitfalls associated with conducting an internal investigation.

This course provides specific and concrete instruction on how to prepare for, conduct and write up the results of internal investigations. 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 on how to minimize FCPA exposure and conduct internal investigations. The instructor, H. David Kotz, is the former Inspector General of the 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.


Learning Objectives:
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 in what circumstances should one self-disclose violations.
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.


Course Benefits:
Specific instruction on how to minimize FCPA exposure.
Specific instruction on how to respond to and manage whistleblower complaints.
Specific instruction on how to observe a culture of compliance in an organization.
Specific instruction on how to respond to governmental Enforcement actions.
Specific instruction on how to conduct internal investigations.

Areas Covered:
Corporate governance
FCPA exposure and liability
Whistleblower Complaints
Due diligence
Self-Disclosure of Violations
Governmental Enforcement investigations
Internal investigations
Fraud Investigations.

Course Outline:
Day 1 (8:30 AM – 4:30 PM)

8:30 – 9:00 AM: Registration
9:00 AM: Session Start Time
FCPA exposure and liability

Introduction to the FCPA
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
Self-Disclosure of Potential Violations Defending Regulatory Examinations
Comprehensive Case Studies

Day 2 (8:30 AM – 4:30 PM)

Internal 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

Seminar Summary:

In the current political and regulatory environment, government oversight activities are at an all-time high. The Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have become increasingly aggressive in prosecuting FCPA claims. (see full course description)

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