10times
09 - 10 Nov 2020  • 

Essentials of Compliance Investigations Conference

About 12Sessions 4SpeakersExhibitorsReviewsPhotos

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Estimated Turnout

upto 100
Delegates
Based on previous editions

Editions

09 - 10 Nov 2020
+2 more editions

Frequency

Quarterly
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Learn the most important principles of conducting effective compliance investigations so that you're prepared next time you are called upon. Receive detailed and valuable information from experienced investigators.

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Mon, 09 Nov

Intro/Opening Remarks
Mon, 09 Nov
Session
Investigation Basics

Meric Bloch
• Ethics, fairness, and confidentiality
• Evidence and burdens of proof
• Attorney-client privilege

Mon, 09 Nov
Break
Break
Mon, 09 Nov
Session
Planning the Investigation

Meric Bloch & Al Gagne
• Assessing the initial report
• Determining whether an investigations is needed
• Developing an investigat

Mon, 09 Nov
Break
Break
Mon, 09 Nov
Session
Gathering Evidence & Documentation Issues

Al Gagne
• Getting the paper and record trail in order
• Utilizing and managing relevant documents
• Developing and using standard

Tue, 10 Nov

Intro/Opening Remarks

Meric Bloch & Al Gagne

Tue, 10 Nov
Session
Conducting Interviews

Meric Bloch
• Preparing for interviews
• Types of questions & assessing credibility
• Tips for effective interviewing

Tue, 10 Nov
Break
Break
Tue, 10 Nov
Session
Reporting Results

Al Gagne
• Key elements of a good report
• Practical tips for report-writing
• Reporting to management, the board, and third parti

Tue, 10 Nov
Break
Break
Tue, 10 Nov
Session
After the Investigation

Meric Bloch & Al Gagne
• Identifying and fixing internal control issues and other problems
• Remediation plans
• Lessons learned f

Speaker
Meric Bloch

Meric Bloch

Vice President
Speaker
Albert Gagne

Albert Gagne

Former Director, Ethics & Compliance
Visitor/General
379 USD Member
499 USD Non-Member
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