Conducting Internal Investigations: Insights from Former SEC Inspector General 2015

Key Topics

• How to initiate an internal investigation
• 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
• Discussion of investigative techniques utilized in different situations
• How to gather evidence in an internal investigation
• How to locate relevant (hard copy and electronic) documents in an investigation
• How to ensure the credibility of an internal investigation
• How to draft comprehensive investigative reports
• How to conduct effective witness interviews

Who should Attend

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