Investigate! Training San Jose Chapter – ACFE January 30, 2014

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Agenda

Introduction

Regulatory Background

Investigate! Film

Group Breakout

Debrief

Epilogue

Lessons Learned

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INTRODUCTION

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Regulatory Background

• Regulators on conducting investigations

o Involve legal counsel

o Certain laws and regulations regarding employees and shipment of company data across borders.

o Privacy Protections

• Spotlight on Foreign Corrupt Practices Act (FCPA)

o 3 key provisions

o Red flags

o FCPA vs UK Bribery Act

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Investigate!

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Objectives

To consider:

• How you would approach an investigation of potential serious misconduct in your company.

• The process of identifying and categorizing different types of forensic evidence.

• The pitfalls of a poorly executed investigation.

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Investigate! – Organization Chart

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INVESTIGATE! FILM

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Case Study Breakout

• What are you general impressions of CGS?

• How would you respond?

• If you were conducting an investigation, how would you do it?

• What are some key considerations prior to starting?

• What are the first steps?

• What procedures would you consider performing?

• Is there anything you learned from the video that you would want to learn more about?

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Epilogue

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Lessons Learned

• What could CGS have done differently?

• What elements should a compliance program include?

• What value does a compliance program provide?

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Compliance Framework

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Investigate! Interactive Simulation

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Questions?

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