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March 12 | Investigations: Before & After
Topic: 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:
- Understand how to design an independent, defensible, and consistent investigation assignment process
- Identify ways to use a framework to assess root cause and quantify ethics at your organization
- Explore ways to leverage hotline data to provide insight and opportunities for targeted, preventative intervention
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.
Presenters
Karl Hertel 
VP, Compliance
Charter Communications
Karl is the Vice President of Corporate Compliance at Charter Communications. Among other things, Karl’s team is responsible for the code of conduct; conflicts-of-interest; the company hotline, case management system, investigation process; investigation quality assessments, data analytics, and audit committee reporting.
Prior to his time at Charter, Karl spent 18 years at PwC in St. Louis, MO; Little Rock, AR; London, England; and Melbourne, Australia. He served domestic and international clients (incl. Fortune 100 and FTSE 100) across various industries. Karl provided multiple client service offerings, including external financial statement audits; full outsource and co-source internal audit; staff augmentation; second line-of-defense; deficiency remediation; compliance; risk management; and program maturity assessments.
Karl graduated from the University of Missouri-Columbia (“Mizzou”) with a bachelor’s and master’s degree in accountancy. He is a Certified Public Accountant (CPA) in Missouri and a Certified Compliance & Ethics Professional (CCEP) through the SCCE.
Meredith Kingsley
Partner
Alston & Bird LLP
Meredith Jones Kingsley is a partner in the Litigation & Trial Practice Group. She focuses her practice on complex commercial litigation and representing corporations in government and internal investigations. Meredith serves clients in a variety of industries, including automotive, health care, and banking.
Meredith has extensive experience defending companies against qui tam litigation and associated government investigations and representing domestic and foreign companies in investigations by the Department of Justice, U.S. Attorney’s offices, and foreign competition authorities. Meredith has experience representing clients in state and federal courts and arbitration. She served as appointed co-defense counsel in a federal murder trial. Meredith’s other litigation and trial experiences include preparing witnesses for depositions, government interviews, and arbitrations; appearing for and arguing on behalf of clients in all phases of an auto parts multidistrict litigation (MDL) proceeding; and arguing two appeals before the Eleventh Circuit.
Before joining Alston & Bird, Meredith served as a law clerk to the Honorable Jennifer B. Coffman of the U.S. District Courts for the Eastern and Western Districts of Kentucky. She received her J.D. in 2009 from Wake Forest University School of Law, where she was symposium editor of the Wake Forest Law Review. Meredith earned her B.A., cum laude, in international business administration from Rhodes College in 2005 and a graduate diploma in commerce from Victoria University in Wellington, New Zealand.
Kurt Kolakauskas
Partner
PwC Investigations & Compliance
Kurt is a Partner in PwC’s Forensic Services practice based in Philadelphia, PA. He has over seventeen years of experience in economic crime investigations, forensic accounting, and risk consulting at PwC. He serves Boards and Executive stakeholders at Fortune 500 and large privately held companies, in a variety of industries, to prevent, respond to, and emerge stronger from fraud and crisis events.
Kurt specializes in the design and execution of response and prevention strategies related to crises stemming from fraud, regulatory investigations, SEC and DOJ litigation, FCPA/UKBA violations, earnings manipulation, and related party transactions. Kurt has significant experience responding to multi-jurisdictional regulatory risks and threats facing global organizations. From 2013 to 2015, Kurt helped lead PwC’s Forensic Services practice in Buenos Aires, Argentina, serving global clients throughout Latin America.
Kurt graduated from Villanova University with a bachelor’s degree in accountancy. He is a Certified Public Accountant in Pennsylvania, United States.