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Investigate slides 30 jan 2014


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Investigate slides 30 jan 2014

  1. 1. Investigate! Training San Jose Chapter – ACFE January 30, 2014
  2. 2. Agenda Introduction Regulatory Background Investigate! Film Group Breakout Debrief Epilogue Lessons Learned PwC 2
  4. 4. Regulatory Background • Regulators on conducting investigations o Involve legal counsel o Certain laws and regulations regarding employees and shipment of company data across borders. o Privacy Protections • Spotlight on Foreign Corrupt Practices Act (FCPA) o 3 key provisions o Red flags o FCPA vs UK Bribery Act PwC 4
  5. 5. Investigate! PwC 5
  6. 6. Objectives To consider: • How you would approach an investigation of potential serious misconduct in your company. • The process of identifying and categorizing different types of forensic evidence. • The pitfalls of a poorly executed investigation. PwC 6
  7. 7. Investigate! – Organization Chart PwC 7
  9. 9. Case Study Breakout • What are you general impressions of CGS? • How would you respond? • If you were conducting an investigation, how would you do it? • What are some key considerations prior to starting? • What are the first steps? • What procedures would you consider performing? • Is there anything you learned from the video that you would want to learn more about? PwC 9
  10. 10. Epilogue PwC 10
  11. 11. Lessons Learned • What could CGS have done differently? • What elements should a compliance program include? • What value does a compliance program provide? PwC 11
  12. 12. Compliance Framework PwC 12
  13. 13. Investigate! Interactive Simulation PwC 13
  14. 14. Questions? This publication has been prepared for general guidance on matters of interest only, and does not constitute professional advice. You should not act upon the information contained in this publication without obtaining specific professional advice. No representation or warranty (express or implied) is given as to the accuracy or completeness of the information contained in this publication, and, to the extent permitted by law, PricewaterhouseCoopers LLP, its members, employees and agents do not accept or assume any liability, responsibility or duty of care for any consequences of you or anyone else acting, or refraining to act, in reliance on the information contained in this publication or for any decision based on it. © 2013 PricewaterhouseCoopers LLP, a Delaware limited liability partnership. All rights reserved. All rights reserved. PwC refers to the US member firm, and may sometimes refer to the PwC network. Each member firm is a separate legal entity. Please see for further details.