SCCE Conducting Compliance Investigations

ABOUT THE EVENT

Join us online on September 27th -28th 2022 for gaining tools you need to  become a better Investigator. You will get guidance from experienced practitioners on the core principles of conducting effective compliance investigations. You’ll receive comprehensive instructions on planning your investigation, gathering evidence, conducting interviews, and much more.

Highlights of the Session :

Investigation Basics:  • Ethics, fairness, and confidentiality • Evidence and burdens of proof •Attorney-client privilege

Planning the Investigation : • Assessing the initial report • Determining whether an investigation is needed • Developing an investigation strategy and plan

Gathering Evidence & Documentation Issues : • Getting the paper and record trail in order • Utilizing and managing relevant documents • Developing and using standard policies, procedures, and forms for investigations

Conducting Interviews:  • Preparing for interviews • Types of questions & assessing credibility • Tips for effective interviewing

Reporting Results:  • Key elements of a good report • Practical tips for report-writing • Reporting to management, the board, and third parties

After the Investigation: • Identifying and fixing internal control issues and other problems • Remediation plans • Lessons learned from the investigation