March 12 | Investigations: Part 1

Topic: Investigations: Part 1 – Before & After the Investigation

Summary: Conducting corporate investigations is one of the best ways to learn about how companies work, how to implement meaningful preventive controls, and to understand how ethical culture and human psychology play a role in corporate misconduct. And of course, the regulators agree. The US Federal Sentencing Guidelines and Department of Justice guidance still place a heavy emphasis on building and maintaining an accessible reporting channel and investigative process.

This session will dive into all aspects of the investigations program lifecycle, EXCEPT for the investigation itself. While investigation protocols are important, companies also must address the challenges of working with multiple stakeholders, keeping track of consistent response and remediation, and leveraging data analytics to proactively identify risks and gaps in training, policies, monitoring, and controls. Our panelists will emphasize the importance of managing the intake process, initial analysis, and assignment to the right investigation teams on the front end, and how to lead the response, remediation, and analysis after. Implementation of these process-driven programs can protect the integrity of your company’s investigations program and, as a result, have a positive impact on your organization’s culture and values.

Learning Objectives:

Date & Agenda: Wednesday, March 12, 2024 | 11:30am – 1pm.

• 11:30 AM: Welcome & Introductions
• 11:35 AM: Panel Presentation
• 12:35 PM: Open Q&A
• 12:55 PM: Closing

Please note: CEU’s are awarded for program run time, not including lunch and networking.

Audience: This event is open to all compliance & ethics professionals.

Location: This is a virtual program conducted on the Zoom platform. Access link will be provided to registrants with their order confirmation.

CEU/CLE: We are happy to provide up to 1.2 credits for SHRM. This education activity has been submitted to the Compliance Certification Board (CCB)® and the GA Bar and is currently pending their review for approval of CCB CEUs (SCCE) and CLEs (GA Bar). Additionally, participants can request a participation certificate to use to self-submit for other professional development credits, including CPEs with the GA State Accountancy Board. Credits will be issued based on actual run time and attendance.