About the Meeting and Seminar
Is Your Organization Prepared to Probe Potential Misconduct?
When assessing governance activities under IIA Standard 2110.A1, Internal Auditors must consider the design, implementation, and effectiveness of the organization’s ethics-related objectives, programs, and activities. Increasingly, this evaluation includes consideration of how the organization handles the investigation of potential violations involving the Code of Ethics / Code of Conduct. Often, the difference between effective and ineffective ethics investigations is prior planning.
This session will highlight the relevant areas which Internal Auditors should evaluate within the ethics investigation process, including:
· Identification and designation of internal cross-functional partners;
· Preemptive identification of external service providers;
· Protocols for interviewing suspect employees;
· Setting expectations of privacy regarding internal electronic communications and work space; and
· Establishing and maintaining the attorney client privilege in the U.S. and overseas.
Speaker Bio: Scott Moritz – Protiviti
Scott is a Managing Director in Protiviti’s New York office and leader of the Investigations and Fraud Risk Management practice. He has more than 26 years of investigative and regulatory compliance experience working with a variety of organizations, government and regulatory agencies to identify, triage, investigate and remediate a wide variety of risks. With extensive experience investigating transnational crime, corruption and money laundering, Scott is widely regarded as a leading authority on the evaluation, design, remediation, implementation and administration of corporate compliance programs, codes of conduct, training and internal audit programs. Scott innovated the use of risk scoring and enabling technologies to identify, investigate and remediate high risk commercial relationships and case manage overall compliance processes, and has participated in the strategic design and implementation of several of the world’s leading anti-corruption programs.
Hilton - Frontenac
1335 S. Lindbergh Blvd.
St. Louis, MO 63131
REGISTRATION: 7:30 – 8:00 a.m.
PRESENTATION: 8:00 – 10:00 a.m.
Cost & RSVP Information
RSVP contact: Please RSVP by January 14, 2014 to Darren Johnson at 618-234-2120 – extension 2543 or firstname.lastname@example.org. Or using the link provided below.
Registration and Payment Methods: Registration and Payment can be made using the following link, or you can pay in check or cash at the meeting. Register Here
Meeting Cost: $60 for IIA members; $75 for non-members