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
· 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.