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Best Practices for Conducting Internal Investigations, Part 1

Speakers: Sean Sarsfield, CPA/CFF, CFE, CVA, & Michael Dawkins, Attorney
 
Topic: Best Practices for Conducting Internal Investigations, Part 1
The presentation will cover the best techniques an entity should employ to effectively gather information from employees as well as from business records, including accounting records, correspondence, and e-mails. This will help to assure that the breadth of the fraud or other illegality is discovered and so that management can take corrective action. Mr.’s Sarsfield and Dawkins will explain how the investigation may be carried out to avoid unnecessary disruption in the entity’s daily operations. They will also discuss the various tools at the disposal of the investigator, which can assist in identifying and extracting relevant information and possibly lower costs. Internal investigations must be conducted in a manner which protects the best interests of the entity. If certain practices are followed, the business entity will conduct the investigation confidentially, minimizing the risk that competitors or potential litigants will discover and use the information to the detriment of the entity. The investigation must identify responsible parties within the entity so that appropriate discipline or even termination of employment may be carried out. Other areas covered are: • To whom should the results of the investigation be reported? • What should be included in the report? • In what situations should the results of the investigation be reported to law enforcement or government regulators?

Bio's: 

Michael Dawkins, Attorney, Baker Donelson, Jackson, MS:

Michael is a member of the firm’s Government Enforcement and Investigations Group.  His law practice consists mostly of white-collar criminal defense, conducting internal investigations and counseling clients on environmental compliance and enforcement. His education and background as an accountant facilitate his investigation and management of cases involving allegations of the material misstatement of financial statements due to fraud or error and matters relating to financial statement auditor compliance with Generally Accepted Auditing Standards.  He has represented individuals and companies investigated for or charged with various crimes, including financial, accounting and tax fraud, public corruption, health care fraud, theft of trade secrets, crimes against the environment, mail fraud and wire fraud.  Mike has conducted various internal investigations and “shadow” investigations of federal grand jury investigations.  

Sean Sarsfield, BKD Director Forensics & Valuation Services:
Sean is a Director with BKD’s Forensics & Valuation Services division and leads its Houston and Mississippi forensics practice, providing forensic accounting, fraud investigation, business interruption and litigation support services. For over twenty years Sean has provided advice to attorneys, executives, and shareholders to assist them throughout the dispute process.  He has extensive experience guiding his clients through the duration of the legal process, from initial fact gathering and discovery through arbitration, mediation, and trial.  This includes preparation for the deposition of fact and opposing expert witnesses, providing financial opinions through expert witness reports and testimony, and assistance with trial preparation.  Sean provides fraud detection and forensic accounting services for the investigation of allegations of embezzlement, misappropriation of assets, financial reporting fraud, and breach of fiduciary duty.    

Virtual and In-person attendance at Baker Donelson Memphis, TN, office located in the First Horizon Bank building.
In person limited to 22 to 24 people.  In person registration closes on Monday evening.

For in-person attendees, we will use a boxed lunch from Holiday Ham: Please complete the menu during registration.
  • Bread options: white or wheat

  • Protein options: smoked ham, smoked turkey, chicken salad, tuna salad, or pimento cheese.
Bottle water will be provided.

When:
Wednesday, April 20, 2022, 12:00 PM until 1:00 PM
Where:
First Horizon Bank
Suite #2000
165 Madison Ave
Memphis, TN  38103

Additional Info:
Event Contact(s):
George Mullins
Category:
Mid South ACFE CPE Meeting/Webinar
Registration is closed
Payment in Full In Advance Or At Event
Webinar meeting link will be sent via email from Prolaera by 11:00am on the day of the webinar for virtual attendees only.

There will be four polling questions during the webinar, and three must be completed in order to obtain CPE.

Payment by PayPal during registration preferred.

Payment at event option will require you to print the invoice and mail with your check to 1138 N Germantown Parkway Suite 101 #131, Cordova, TN 38016. CPE will be issued once payment has been received for webinar.
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Virtual Registration