Corporate Fraud & Whistleblower Programs Webinar
Overview
Fraud can happen anytime, anywhere, to anyone. This informative webinar will discuss key challenges faced by companies when dealing with Ethics, FCPA, Fraud & the Disclosure Process and will show you the best tactics for preventing, recognizing and combating fraud. We will also provide the latest update on whistleblower incentives and safeguards. Learn how to protect your company and clients with an in-depth review of:
- US regulatory and international enforcement
- Updates on the Foreign Corrupt Practices Act (FCPA)
- Recent trends in the SEC's whistleblower program and awards
Objective
To provide financial professionals with the knowledge and skills to prevent, recognize and combat fraud from within and outside of their organizations, in order to protect themselves and their clients.
SPEAKER:
Susan D. Resley, Partner, Morgan Lewis
Emphasis
- Basic Steps & Examples of Financial Fraud
- Cooperation with SEC
- FCPA Enforcement
– General trends
– Risks by country
– Risks by industry - Whistleblower Program
- Internal Investigations
– Determine who investigates
– Management of investigation
– Collection and preservation of dates
– Reporting investigation observations and findings
– Disclosure
– Attorney-Client privilege - Best Practices for Compliance Programs
– Proactive
– Strong audit committee
– Expert accounting staff
– Clear accounting and disclosure policies
– Robust ICFR and disclosure controls
– Strong internal audit function
– Fraud risk assessment
– Whistleblower/ethics hotline
– Reactive
– Prompt investigation of issues
– Prompt remediation
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