• Investigating Conflicts of Interest 


    7:30 a.m. - 8:00 a.m.  

    Registration - Breakfast Pastries  

    8:00 a.m. - 9:20 a.m.  

    Introduction and Legal Elements of Conflicts of Interest 

    Conflict of interest cases are among the most difficult white-collar offenses to investigate; they generally occur at the upper levels of an organization and involve several characteristics that present unique challenges to a fraud examiner. This session introduces the elements of conflicts of interest, examines why they occur and discusses the legal elements involved in investigating such schemes.

    9:20 a.m. - 9:35 a.m.  


    9:35 a.m. - 10:55 a.m.  

    Typical Conflict of Interest Situations 

    The specific conflict scenarios described in this session all have common elements, and illustrate the general moral and legal maxim that a person cannot serve “two masters.” The scenarios presented are variations of the rule that a fiduciary, agent or employee must act in good faith, with full disclosure, in the best interest of the principal. You will also learn how to detect conflicts of interest and what red flags to look for.

    10:55 a.m. - 11:10 a.m. 


    11:10 a.m. - 12:30 p.m.  

    Investigation Methodology 

    This session will cover the methodology and approach that can be used in investigating conflicts of interest cases. You will discuss how to plan for the investigation, who should be on the investigation team, specific interviewing tips and techniques for conflicts of interest investigations and other considerations to keep in mind while working a conflict of interest case.

    12:30 p.m. - 1:30 p.m.  

    Group Lunch  

    1:30 p.m. - 2:50 p.m.  

    Document Collection, Organization and Analysis 

    Internal company records, public records and non-public external documents are almost always important in a conflict of interest case. Once the relevant data and documents have been obtained, the investigation team must analyze the content before moving forward with the investigation. In this session, you will learn about different sources of information, as well as techniques and best practices for collecting, organizing, and analyzing the evidence you gather.

    2:50 p.m. - 3:05 p.m.  


    3:05 p.m. - 4:25 p.m.  

    Civil Actions and Civil Litigation
    Victims of conflicts of interest can pursue civil actions to recover their losses from the perpetrator. This session explores the process of undertaking these civil actions and provides tips for fraud examiners on how to work with attorneys to make the case successful. In addition, you’ll learn how to protect yourself against civil claims that defendants might use to impede the investigation or to create side issues at trial.


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