Together, Reducing Fraud Worldwide

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  • Agenda


    CPE Credit: 4-23 

    The 2013 ACFE Canadian Fraud Conference offers an unparalleled opportunity to learn from Canada’s top anti-fraud professionals. In addition to notable keynote speakers, the program features two tracks covering current fraud issues, investigation techniques and practical solutions.

     

    PRE-CONFERENCE
    Sunday, September 8
    1:00 - 5:00 p.m.
    Taking Data Analytics to the Next Level
    Taking Data Analytics to the Next Level
    Session Level: Intermediate
    Vincent Walden, CFE, CPA
    Partner, Ernst & Young, LLP  

    Given the current trends around big data, the convergence of both structured (financial) and unstructured (text, social media, email, etc.) data has profoundly changed the way companies think about fraud and monitoring for fraud risks - especially in the context of bribery and corruption given the current FCPA regulatory environment. In fact, the ACFE Report to the Nations shows that 33% of the incidents reported globally were corruption related. The key is that new tools need to be implemented to address these risks! In this four hour session you will learn leading ways companies are integrating advanced forensic data analytics ("FDA") to detect rogue employee activities.

     

    You Will Learn How To: 

    Implement new data analytic tools and techniques, including risk scoring

    Apply data analytics to unstructured data

    Use non-traditional data in your analytic anti-fraud efforts

    MAIN CONFERENCE
    Monday, September 9
    8:30 - 9:50 a.m.
    General Session | James D. Ratley, CFE
    Enhancing Your Professional Skepticism
    James D. Ratley, CFE
    President & CEO, Association of Certified Fraud Examiners 

    Exercising professional skepticism is a necessary part of an auditor's job, and especially so when it comes to detecting fraud. But what kinds of inquiries should a questioning mind make to identify a fraud perpetrator's trail? And how does a mindset of professional skepticism translate into fraud-finding action? This session will teach auditors how to think like a fraudster to enhance their professional skepticism and improve their ability to uncover fraudulent activity during their audit engagements.

    Networking Break
    9:50 - 10:05 a.m.
    10:05 - 11:25 a.m.
    Concurrent Sessions
    2B: Utilizing Hotline Benchmarking Data to Improve Ethics and Compliance Program Effectiveness
    Session Level: Intermediate
    Nicholas Ciancio
    Senior Vice President, Strategic Solutions, NAVEX Global 

    Benchmark data is extremely helpful in not only ascertaining areas of concern regarding your overall ethics and compliance program, but in providing a comparison against others in similar industries or organizational size. This session will look at what your hotline data is telling you about activity within your organization, and what you can learn by comparing that data to others in similar positions. It will also look at how one leading organization implemented these findings with great success.

     

    You Will Learn How To: 

    Explore what hotline reporting volumes and reports can tell you

    Examine overall key benchmarking data findings as well as findings by industry

    Identify how different industries vary in their reporting metrics

    Present data to your executive leadership and Board of Directors using best practices

    2A: Becoming an Expert as an Expert Witness 
    Session Level: Intermediate
    Drew Dorweiler, CFE, FRICS, CBV, ASA 
    Managing Partner, Dartmouth Partners Limited 

    Whether you are anticipating your first courtroom experience as an expert or are highly familiar with the rigors of the witness stand, being an effective and successful expert is a critical skill for anti-fraud professionals. Drawing on the presenter’s extensive experiences, this session will explore specific best practice areas including the retention process, independence, evidence gathering, report writing, pre-trial assistance of counsel, attendance at trial, and expert testimony during direct and cross-examination.

     

    You Will Learn How To: 

    Differentiate the role of an expert witness among international jurisdictions

    Excel as an effective and successful expert

    Avoid critical errors when being retained as an expert witness

    Networking Break
    11:25 - 11:40 a.m.
    11:40 a.m. - 1:00 p.m.
    Keynote Lunch | Andreas Pohlmann
    Ethics and Compliance in a Globally Operating Engineering Company: A Management Responsibility of Highest Priority
    Andreas Pohlmann
    Chief Compliance Officer, SNC-Lavalin 

    With approximately 25 years of experience in compliance, governance, public and governmental affairs, Andreas Pohlmann has an extensive background in corporate ethics and governance issues on an international scale. This keynote address will draw on Pohlmann's real-world experience to provide insight into the global issue of compliance.

    Networking Break
    1:00 - 1:15 p.m.
    1:15 - 2:35 p.m.
    Concurrent Sessions
    4B: Tales from the Past: How Fraud Investigation Has Changed and Not Changed
    Session Level: Intermediate
    James Blatchford, CFE, CMA, FCMA, CFI
    Partner Advisory Services, MNP LLP 

    A look from 1982 to 2012 at how fraud investigations have changed, and not changed, given changes in technology, our paperless society, the Canada Sedona principles and now cloud computing. The background will look at historical examples in "the good old days," while the last three-fourths of the presentation will focus on current examples of how major fraud investigations now need to include a multitalented team of lawyers, accountants, IT professionals, data analytic professionals and others. A relatively current case will be included.

     

    You Will Learn How To: 

    Glean insight from how frauds have changed over time

    Work with and form a team of fraud investigators

     4A: Learning from Phony Vendor Schemes: A Case Study Analysis
    Session Level: Intermediate
    Reid Lester
    Lawyer, Partner, Laishley Reed LLP 

    Fraudsters employ some creative techniques to perpetrate phony invoice frauds. Regardless of the exact form of each scheme, there are similarities that can raise red flags for the conscientious investigator, and that can provide insight as to what internal controls can be put into place to detect or prevent most phony vendor schemes. Using case studies, this session will review the patterns of certain phony vendor schemes, identify their similarities and determine what internal weaknesses have commonly been exploited by fraudsters.

     

    You Will Learn How To: 

    Develop effective strategies for risk management

    Take steps to investigate or identify current frauds

    Use loss prevention policies and procedures to identify existing frauds and prevent further losses

    Networking Break
    2:35 - 2:50 p.m.
    2:50 - 4:10 p.m.
    Concurrent Sessions
    5B: The Confession Interview: Ethical, Legal and Psychological Implications for the Forensic Accountant
    Session Level: Advanced
    Scott Porter, CA-IFA
    Senior Investigator, Professional Conduct, Institute of Chartered Accountants of Ontario 

    On February 7, 2010, Detective Jim Smyth elicited a compelling confession from Colonel Russell Williams. The examination of the Williams investigation reveals the ethical, legal, and psychological challenges of investigative interviews, an understanding of which is critical for the forensic accountant to master in order to shape positive investigative outcomes. Starting with a review of Canada’s confession laws and the pitfalls that may arise if the forensic accountant does not have the requisite understanding of these laws, the session will discuss various interview models and their applicability to IFA practitioners when dealing with confession interviews. In addition, video footage from the Williams interview will be reviewed.

     

    You Will Learn How To: 

    Shape positive investigative outcomes in your interviews

    Recognize the key differences between interviewing and interrogation, as well as admissions versus confessions

    Benefit from a standardized model of interview training

    5A: Promoting a Collaborative Environment Among Risk Management, Internal Audit and Compliance Departments
    Session Level: Advanced
    Andrew Simpson, CISA
    COO, CaseWare RCM Inc. 

    Long gone are the days when organizations could afford to treat each risk, fraud and compliance issue as an individual problem and allow business processes, employees and systems to operate in silos. In order for businesses to activate robust fraud detection, diverse teams of fraud investigators, internal auditors, enterprise risk management specialists, business executives and compliance officers must work in unison; each brings a unique perspective and skill set that can be invaluable to the organization. One approach we’ll examine is the Three Lines of Defense Model where management control is the first line of defense in risk management. The various risk control and compliance functions are the second line of defense, and independent assurance is the third. Each team or “line” plays a distinct role to achieve organizational objectives.

     

    You Will Learn How To: 

    Make a business case for collaboration while remaining true to the principles of your profession

    Derive business benefits from risk management and internal audit working collaboratively to fulfill their second and third line of defense mandates

    Tailor the Three Lines Defense Model to fit your organization

    Networking Reception
    4:15 - 6:00 p.m.
    MAIN CONFERENCE
    Tuesday, September 10
    8:30 - 9:50 a.m.
    Keynote Session | Chris Mathers
    Making Money the Old-Fashioned Way: Fraud and Public Corruption
    Chris Mathers
    Corporate Intelligence Expert, Founder of chrismathersinc 

    Does Canada deserve its reputation as being "corruption free?" What will be the impact of the SNC Lavalin charges and the Charbonneau Inquiry on our international reputation? Chris Mathers will discuss the current state of bribery and corruption in Canada, including recent criminal cases that would seem to indicate that we may not be as clean as we think.

    Networking Break
    9:50 - 10:05 a.m.
    10:05- 11:25 a.m.
    Concurrent Sessions
    7D: Leveraging Open Source Intelligence (OSINT) to Combat Fraud
    Session Level: Advanced
    Tyson Johnson, CFE, CPP
    Director, Global Risk Management, ATS Automation 

    The illicit practices of diversion, theft of trade secrets and counterfeiting pharmaceutical drugs have been estimated to be a $200 billion per year industry. Managing and identifying intellectual property infringement can help leaders maintain a competitive advantage and avoid loss in market share. This presentation will review how OSINT can be used to reduce risk exposure, identify potential loss incidents and assist in loss recovery efforts. As fraud investigators and other risk management practitioners seek to harness the overwhelming body of information available through OSINT, this session will provide proactive new solutions to use in the field.

     

    You Will Learn How To: 

    Make effective use of OSINT to reduce fraud risk exposures and support your business objectives

    Leverage OSINT as a “force multiplier” for your loss prevention and investigations staff, assisting in loss recovery and loss avoidance objectives

    Use OSINT for providing value-added support to other business units within your organization

    7C: Investigating and Prosecuting Investment Frauds in Canada and Beyond: Real Case Studies
    Session Level: Advanced
    Norm DeBoer, CFE
    Detective, Waterloo Regional Police Service 

    How can individuals, businesses and governments protect themselves from investment frauds? What proactive measures are investment regulators taking to prevent it? This session will cover the entire process of preparing and prosecuting a criminal fraud prosecution and the best options for recovering lost money. It will also cover questions and answers concerning the epidemic problem of losing trust in financial advisors.

     

    You Will Learn How To: 

    Recognize the signs of an investment fraud

    Prevent or deter investment fraud and recover lost money

    Investigate and prosecute investment frauds in creative and innovative ways

    Networking Break
    11:25 - 11:40 a.m.
    11:40 - 1:00 p.m.
    Keynote Lunch | Ed Rosenberg
    The Risk and Impact of Fraud
    Ed Rosenberg
    Vice President and Chief Security Officer, BMO Financial Group

     

    The risk of fraud is a growing concern as it continually changes and presents new threats. In this general session, Rosenberg provides insight into the evolution of fraud in financial institutions, what we are seeing today and what generic skills are being brought to bear.

    Networking Break
    1:00 - 1:15 p.m.
    1:15 - 2:35 p.m.
    Concurrent Sessions
    9D: Using Technology to Automate Fraud Detection Within Key Business Process Areas
    Session Level: Intermediate
    John Verver, CA, CISA, CMC
    Vice President, Product Strategy & Alliances, ACL Services Ltd. 

    Technology can play a critical role in identifying indicators of fraud in most business process areas. By implementing suites of analytic tests that regularly monitor transactions, management can respond quickly to red flags and reduce the risk of fraud escalation. Through a discussion of typical frauds, symptoms and tests, you will learn how organizations have seen immediate results through the use of audit analytics technology in key business areas.

     

    You Will Learn How To: 

    Use audit analytics techniques to assist in fraud detection

    Identify and assess areas of risk

    Successfully implement fraud detection analytics, in terms of people, process and technology

    9C: Ethical Risk Management
    Session Level: Intermediate
    Messaoud Abda, CFE, CGA, CSI, FICB
    Director, Economic Criminality program, University of Montreal Faculty of Continuing Studies 

    The intangible aspect of ethics and the reasonable doubt concept can be a sensitive issue in an anti-fraud strategy. The concept of the ethical accountability is a new liability and correcting the ethics impairment is as imperative as correcting the market value impairment. In this session, you will learn how to reduce your organization’s ethical risk through knowledge, vigilance, management and caution.

     

    You Will Learn How To: 

    Understand ethics and how cultural ethics can be incorporated in an organization’s anti-fraud strategy

    Identify the threats to ethics that will evolve in fraud and enforce the safeguard measures available

    Face ethical violations and issues with professionalism, determination and success

    Networking Break
    2:35 - 2:50 p.m.
    2:50 - 4:10 p.m.
    Concurrent Sessions
    10D: Dealing with an Investigation by an Outside Authority
    Session Level: Intermediate
    Alex De Zordo
    Partner, Borden Ladner Gervais

    Anne Merminod
    Associate, Borden Ladner Gervais 

    When the Securities Commission, the RCMP or the Transport and Safety Authority come knocking with a warrant, what does one do? This session delivers a step-by-step process of how to cooperate while protecting essential rights, and planning a follow up strategy to ensure enterprise and board protection.

     

    You Will Learn How To: 

    Strategically plan to respond

    Protect the enterprise and direct the Board of Directors

    10C: Fraud: Who Is Winning the Battle?
    Session Level: Intermediate
    Philip Levi, CFE, FCPA, CPA, CFF
    Partner, Levi & Sinclair, LLP 

    Following the collapse of the U.S. Savings and Loan banks in the 1980s, the Treadway Commission identified what has become known as the “Expectation Gap” between the public and the auditor. Since that time, we have seen a dramatic increase in large fraud and an unprecedented increase in the less-publicized, but more costly, smaller frauds. As technology grew, a new breed of outlaw appeared on the scene — the cyber-crook. This session will describe the new battleground, identify the new fraudsters, and explore the role fraud examiners can play in the battle against fraud.

     

    You Will Learn How To: 

    Understand past frauds, not only those that are publicized, and their impact on corporate America

    Review the latest facts from the ACFE’s Report to the Nations 

    Identify the dos and don’ts of reacting to a fraud allegation

    MAIN CONFERENCE
    Wednesday, September 11
    8:30 - 9:50 a.m.
    Keynote Session | Peter Dent
    Bearing the Bad News: Reporting to the Board on Internal Corruption
    Peter Dent, CFE, CPA, CIA, CA-IFA
    Partner & National Practice Leader, Deloitte Forensic, Financial Advisory, Deloitte LLP 

    The internal and external issues related to foreign and domestic corruption in an organization are more pronounced than ever before for Canadian Boards of Directors. Pressure is mounting for boards to assure stockholders that they have effective compliance programs and the boards are seeking the same assurance from those who are investigating allegations of potential wrongdoing. Peter Dent, a Director of Transparency International – Canada, and the National Leader of Deloitte Forensic will discuss the current state of affairs in Canada, how to effectively navigate board communications and reporting of internal investigations, and how to increase awareness within your company to drive enhanced compliance with this growing global problem.

    Networking Break
    9:50 - 10:05 a.m.
    10:05 - 11:25 a.m.
    Closing General Session | Panel Discussion
    The Corruption of Foreign Public Officials Act (CFPOA) and the Fight Against Fraud
    Session Level: Intermediate
    Moderator: Sophie Cousineau 

    In March 2011, Canada was criticised by the Organization for Economic Co-operation and Development (OECD) for insufficient enforcement of the CFPOA’s anti-bribery legislation. This interactive panel features a discussion of the current state of the CFPOA and its impact on fraud-fighters across the nation.

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