Broadcast Date: Thursday, June 20, 2024
from 12:00 pm to 1:30 pm (ET)
Overview:
In today’s complex business landscape, maintaining robust corporate governance practices is paramount for ensuring transparency, accountability, and ethical conduct within organizations. One of the crucial components of effective corporate governance is the implementation of thorough and efficient internal investigations processes.
Join Matthew B. Greenblatt of FTI Consulting, Inc. and David C. Ware of Gibson, Dunn & Crutcher LLP, for this CLE webcast as they delve into strategies and best practices for enhancing corporate governance through effective internal investigations.
Key topics include:
- Internal investigations as an aspect of proper corporate governance
- Elements of an effective internal investigation framework and the critical legal and regulatory considerations in the internal investigation framework
- Best practices
Learning Objectives:
- Learn how internal investigations support corporate governance with oversight, audits, whistleblowing, and regulatory compliance.
- Create procedures to initiate, scope, manage evidence, and handle legal aspects for confidential and compliant investigations.
- Execute interviews, involve forensic accountants, and prepare reports for Audit Committees and Regulators, especially in regulatory contexts.
- Apply practical insights from real cases and expert advice to improve the efficiency and effectiveness of internal investigations.
Credit:
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-Demand Webcast; Group-Internet Based
NASBA Field of Study:
Business Law – Technical
Prerequisite:
General knowledge of internal investigations
Course Code:
1411037
Total Credits:
CPE Credit:
1.5 CPE (Not eligible for QAS (On-demand) CPE credit)
CLE Credit:
GA CLE 1.50 General - Approved Until: 12/31/2024
CA CLE 1.50 General - Approved Until: 6/20/2026
PA CLE 1.50 General - Approved Until: 6/20/2026
TN CLE 1.50 General - Approved Until: 6/20/2025
WI CLE 1.50 General - Approved Until: 12/31/2025
VT CLE 1.50 General - Approved Until: 12/31/2025
NJ CLE 1.50 General - Credits through Reciprocity
NY CLE 1.50 Areas of Professional Practice - Credits through Reciprocity
AR CLE 1.50 General - Credits through Reciprocity
CT CLE 1.50 General - Credits through Reciprocity
NH CLE 1.50 General – Meets the requirements of NH Supreme Court Rule 53
MS CLE 1.50 General - Approved Until: 06/20/2025
Pending CLE Application:
NONE
Self-Apply:
AL, CO, DE, FL, ID, IN, IO, KS, KY, LA, NC, ME, MN, MT, NE, NV, NM, ND, OH, OK, OR, SC, TX, UT, VA, WA, WV, WY
If you’d like us to apply for CLE, you may opt to pay the CLE processing fee here.
No MCLE Requirements:
DC, MD, MA, MI, SD
Not Eligible for CLE:
AK, AZ, HA, MO, IL
How to Claim CLE Credits Per State:
https://knowledgewebcasts.com/how-to-claim-cle-credits-per-state/
CLE State Requirements:
https://knowledgewebcasts.com/cle-state-requirements/
CPE State Requirements:
Speaker Panel:
Matthew B. Greenblatt, Senior Managing Director
FTI Consulting, Inc.
Matthew Greenblatt is a Senior Managing Director at FTI Consulting and is based in New York. Matt has almost 30 years of experience in forensic accounting and internal investigations; investigations of Ponzi schemes; auditing and accounting matters; litigation consulting; post-acquisition and shareholder disputes; and advising troubled companies.
Mr. Greenblatt has conducted multiple forensic investigations in connection with cases involving diversions of funds and fraudulent accounting activity by management and continues to manage a team of professionals and forensic accountants in connection with FTI’s retention by the trustee under SIPA in the Madoff matter, continuing to serve as an expert witness in the trustee’s efforts to recover billions of dollars for the victims.
David C. Ware, Partner
Gibson, Dunn & Crutcher LLP
David C. Ware is a partner in the Washington, D.C. office of Gibson, Dunn & Crutcher. He is a member of the firm’s Securities Enforcement, Accounting Firm Advisory and Defense, and White Collar Defense and Investigations Practice Groups. Mr. Ware’s practice focuses on government investigations and enforcement actions and internal investigations in the areas of auditing and accounting, securities fraud, and related aspects of federal regulatory and criminal law. He also counsels clients on compliance with SEC and PCAOB rules and standards. Prior to joining Gibson Dunn, Mr. Ware spent nearly six years at the PCAOB’s Division of Enforcement and Investigations, rising to the position of Associate Director.
Agenda:
Matthew B. Greenblatt, Senior Managing Director FTI Consulting, Inc.
and
David C. Ware, Partner
Gibson, Dunn & Crutcher LLP
- Internal investigations as an aspect of proper corporate governance:
- Panel to discuss how and why Internal Investigations sit within a matrix of board and management oversight, internal audit, regulatory responses, whistleblower hotlines, and other processes
- Investigations play a key role in all of the company’s corporate governance processes operating correctly
- Panel to discuss requirements around ICFR and disclosure controls and procedures that are critical to develop the robust internal investigation capability for both prevention and detection of violations
- Elements of an effective internal investigation framework and the critical legal and regulatory considerations in the internal investigation framework:
- How to structure and initiate the internal investigation
- Define the nature and scope of the internal investigation
- Preserve and protect the electronic documents and other evidence
- Prepare for and conduct witness interviews
- How to maintain the attorney-client privilege and deal with confidentiality issues
- Internal investigations in the context of an external regulatory investigation, etc.
- Understand the need to retain other outside professionals (e.g., forensic accountants)
- Conducting a Section 10A investigation where auditors are the main audience
- Prepare reports/presentations to the Audit Committee, Special Committee, Auditors, Regulators, etc.
- Best practices:
- Real world scenarios based on the experts’ past experience
- Suggested “Do’s and Don’ts”
- Lessons Learned
Date & Time:
Thursday, June 20, 2024
12:00 pm to 1:30 pm (ET)
Who Should Attend:
- White-Collar Lawyers
- Corporate Attorneys
- In-House/General Counsel
- Top Level Management
- Board Members
- Risk and Compliance Professionals
- Regulatory Professionals
- HR Professionals
- Internal Auditors
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