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 Ethics Topics Related to: Whistleblower, Suspicious Activity Reports, and the Internal Auditor’s Role as an Officer

Chapter Training
5/14/2013 7:30 AM
5/14/2013 12:00 PM
FM Global, 270 Central Ave, Johnston, RI 02919 |
Ethics Topics Related to: Whistleblower, Suspicious Activity Reports, and the Internal Auditor’s Role as an Officer
 
 
The seminar will cover:
 
Developments in “Whistleblower” related cases
 
Suspicious Activity Reports
·         The role of the Internal Auditor relating to fraudulent activity
·         Suspicious Activity Reports (SAR)
o   Who is obligated to file a SAR?
o   When am I obligated to file a SAR?
o   How do I fill out a SAR?
·         Confidentiality and Safe Harbor Rules
o   May I discuss a SAR filing?  If so, with whom?
o   Information has been subpoenaed, what are my obligations?
·         SAR interplay with Currency Transaction Reports (CTR)
Internal Auditor’s Role as an Officer
·         Significance of “Officer” Status
·         Fiduciary Duties
·         Conflicts of Interest
·         Indemnification
·         Case Law review of Internal Auditor involvement
 
When: May 14, 2013
Registration 7:30-8:00 am, seminar from 8:00am-12:00pm  (4 CPE)
 
Speakers: From  Partridge, Snow and Hahn, LLP: John J. Partridge, Esq. Counselor at Law, David C. Morganelli, Esq. Counselor at Law, and David J. Pellegrino, Esq. Counselor at Law 
 
Where: FM Global | 270 Central Ave | Johnston, RI 02919
 
Cost: Member - $55; Non-Member - $70; Students - $10;  Group Discount $40 per person for groups of three or more.