7. Legal, Ethics and Compliance Issues
Anti-Fraud Programs Under the Public Company Accounting Oversight Board’s Auditing Standard 5
Monday 10:20 - 11:40 a.m.
Evaluating anti-fraud programs has been challenging due to the lack of authoritative guidance. PCAOB Auditing Standard 5 changes the rules but leaves much room for interpretation. New publications from various sources can raise your evaluation to a higher level of quality and insight. These new tools are starting a transformation of AFPC evaluations that will radically change the nature and extent of practice in this critical anti-fraud area. Learn how to apply these tools and discuss your experiences with other practitioners.
Effective Case Preparation
Monday 1:40 - 3:00 p.m.
This presentation will address (1) preparing for court, (2) case reports, and (3) extraneous offenses. The purpose is to have an experienced trial attorney explain what happens when you actually get into the courtroom. Learn how to prepare for court, write reports, prepare exhibits and organize your work product to focus on the end-line user — “the jury”. This session also explains (the what and how) of one of the most lethal and under-utilized trial tools that are available to criminal investigators — extraneous offenses.
“How To” Guide to Fraud and Forensics
Monday 3:30 - 4:50 p.m.
Companies are often faced with the difficult task of investigating allegations of corporate fraud. Implementing and administering sound investigative guidelines is critical to the success of the investigation and avoidance of criminal and civil liabilities. This session provides guidance for anyone involved in managing or conducting investigations of fraud. Attendees will learn methods for conducting efficient, effective and professional investigations. The session focuses on the receipt of an allegation to preparation of the final report, including tips for better reporting and remediation tactics.
Compliance as Fraud Prevention
Tuesday 9:50 - 11:10 a.m.
In today’s world, it is essential for organizations in both the public and private sectors to establish a comprehensive compliance program. Failure to have a robust compliance program as part of a fraud prevention program can have devastating consequences for an organization. These consequences can range from fraud and abuse to having a deferred prosecution agreement and/or other court imposed sanctions. Using examples and insights from their experiences, the presenters (Darryl Neier, MS, CFE and Dr. George Curtis, Esq, of Utica College) will discuss the importance, value, and return on investment of establishing a preventative fraud program as part of a comprehensive compliance program.
Background Checks and the Law
Tuesday 1:40 - 3:00 p.m
Background screening is a strategic step many organizations take to hire the right candidate; however, many companies are unaware of current regulations and focused business practices that can help them more expeditiously meet their needs. Learn best practices of employment screening for risk management and better hiring decisions giving you peace of mind that your organization is fully compliant legally and accessing all the information available that’s pertinent to making an informed hiring decision.
Who Killed Sarbanes-Oxley?
Tuesday 3:30 - 4:50 p.m. / Wednesday 8:30 - 9:50 a.m.
In this session, we’ll take a fifth-year anniversary look back on SOX, including changes to legislation Auditing Standards, and their impact on corporations around the world. What were the lessons learned, challenges overcome, benefits reaped, changes encountered? We’ll also take a predictive look at the future of SOX, as well as the interaction of SOX with other regulations.
Uniform Fraudulent Transfer Act (UFTA): Recouping Fraud Losses
Wednesday 10:10 - 11:30 a.m.
The UFTA is a robust and effective legal mechanism, useful in recouping of fraudulent losses. This presentation introduces fraud professionals to the general purpose and function of the Act. Topics addressed in this session include: the background of the Act, its structure and elements, traditional applications, practical applications in fraud remediation cases and actual case histories.
There will be 2 Pre-Conference Courses:
The main conference will have 9 parallel tracks.
- Fraud Investigation: Tools, Tips and Techniques
- Fraud Fighting Proactively: Prevention and Deterrence
- Emerging Trends, Current Issues & International Incidents
- Auditing for Fraud
- Using Technology in the Detection of Fraud
- Risk Management
- Legal, Ethics and Compliance Issues
- Fighting Fraud in the Field
- Best Practices and Case Studies