Day One - Monday, October 19, 2020

 Session 1  Session 2

Brett Ward, CFI Vice President – Business Development & Client Relations, Wicklander – Zulawski & Assoc.

Presentation: Investigative Prep Practices:  Eliminating Bias/Hurdles In Sensitive Interviews

What are the key components that allow professional investigators to shelve ego, bias and other hurdles prior to a sensitive investigative interview?  During times of economical and civil unrest, the challenges to personal communication have elevated beyond simply handling normal anxiousness during these unique conversations.  The desire and lone goal of any professional interviewer is the #Truth. 

Tenure in this industry often unfortunately leads to complacency in development of skill sets, let alone game plans prior to communication.  Exploring potential considerations such as motive, hurdle, circumstance, explanatory denials, psychological minimizations and other key pieces of negotiating the truth are critical in development of empathy dominant communication with victims, witnesses and subjects.

Come learn what a CFI (Certified Forensic Interviewer) from Wicklander – Zulawski & Associates considers critical to positioning for this goal during his investigative prep practices in order to maintain confidence and effectiveness throughout the interview process.

Amy Wallace, Director, Cyberfraud at Fidelity Investments

Maximilian Gebhardt, Director, CyberFraud at Fidelity Investments

Presentation: Cyberfraud Trends in Financial Institutions

We will explore real world examples of emerging cyber-enabled fraud trends and techniques used by fraudsters against financial institutions of all sizes, while also sharing some best practice tips for early detection and early mitigation. Cyberfraudsters continue to leverage new and improved channel-shifting and cross-institutional fraud attack methods that hamper detection – while a broader cyberfraud marketplace supports deep fraudster specialization and the development of fraud-as-a-service platforms that allow fraudsters to scale attacks cost-effectively. Max will discuss AI and machine-learning trends in the fraud prevention space, with a special focus on the limitations of some data science techniques and some detection methods.

Learning Objectives:

  • Discuss trends in cyber fraud attacking financial institutions
  • Methods of breach of financial data
  • New techniques in combating cyber fraud

Day Two - Tuesday, October 20, 2020

Session 1 Session 2 
Dennis Parker, Instructor, Interviewer at EUO Solutions

Presentation: Detecting Deception during Interviews

Understanding whether or not the person you're talking to is being deceptive is a crucial bit of knowledge.  While most of us walk away with lingering doubts about what has just been said in response to questions its difficult to recall the lists of verbal and non-verbal behaviors associated with deception.  This class explains the physiological reasons an interviewee's behavior changes and how.  Normally this class includes live interviews of members of the class but this time we've inserted interview snippets that illustrate key points. 

This class will help attendees form an understanding why all those verbal and non-verbal behaviors occur when people are being deceptive.  Knowing the "why" is much better than memorizing lists of behaviors to look for. 

Deshietha Partee-Grier, CFE, CAMS, Assistant Vice President - Financial Crime Investigations Unit at Deutsche Bank

Presentation: Synthetic Identity Fraud 

Synthetic Identity Fraud is a fast-growing problem for financial institutions causing millions of dollars in losses for many. It involves fraudsters using a combination of fake and stolen identity information to create fraudulent accounts used to obtain credit, deposit accounts, mortgage accounts, and more. The fraud, if not caught at the initiation of an account, can go undetected by financial institutions. During the presentation, Dee will discuss the best risk mitigating practices in combating this type of fraud.

Educational Objectives

The session will cover the following key areas:

  • Synthetic Identity Fraud Landscape Developments
  • Synthetic Identify Fraud vs Identity Theft
  • Detection & Common Red Flags
  • Risks Mitigation Strategies

Day Three - Wednesday, October 21, 2020

Session 1 Session 2
James Rumph, CFE, CAMS, CPA, CIA, Interim Director/Sr. Consultant, Enterprise Anti-Fraud Team

Presentation: Innovation Meets Fraud

A mature and innovative anti-fraud program can not only have significant impacts on fraud risk, but it can simultaneously enhance customer experience. As organizations across industries mature and innovate in fraud risk management, the importance for others to continue to mature becomes more and more important. This presentation focuses on driving an innovative mindset in fraud risk management activities using the five Committee of Sponsoring Organizations of the Treadway Commission’s (COSO) Fraud Risk Management Principles as guideposts: Fraud Risk Governance, Fraud Risk Assessment, Fraud Control Activity, Fraud Investigation and Corrective Action, and Fraud Risk Management Monitoring Activities.

You will learn how to:

  • Recognize the importance of innovation in fraud risk management
  • Identify best practices based on the COSO Guide

Juliette Gust, CFE, Founder - Ethics Suite

Presentation: Confidential Reporting of Misconduct: A Cornerstone of Effective Ethics and Compliance Programs

The Department of Justice recently issued a third update to its Guidance on the Evaluation of Corporate Compliance Programs. The Guidance states that a “hallmark of a well-designed compliance program is the existence of an efficient and trusted mechanism by which employees can anonymously or confidentially report allegations of a breach of the company’s code of conduct, company policies, or suspected or actual misconduct.” Furthermore, the Criminal Division of the U.S. Department of Justice and the Enforcement Division of the U.S. Securities and Exchange Commission also recently issued an update to earlier guidance provided on the U.S Foreign Corrupt Practices Act (FCPA). This guidance states “The truest measure of an effective compliance program is how it responds to misconduct.” Given the regulatory, financial and reputational risks, organizations must take steps to prevent, detect and deter fraud, theft, and misconduct. Developing a comprehensive confidential reporting, investigation, and tracking program can mitigate losses and brand damage and serve as “lessons learned” to help prevent future, similar incidents.

Day Four - Thursday, October 22, 2020

Session 1 Session 2
Suzanne Elmilady & Tina Ansari, US Attorneys, DOJ Houston

Presentation: A Case Study in Health Care Fraud

Narang, a doctor who owned and practiced at North Cypress Clinical Associates and Dayakar Moparty, who managed and operated Red Oak Hospital conspired to commit health care fraud. During the two week trial, the jury heard evidence that Narang and Moparty unlawfully enriched themselves by submitting false and fraudulent claims for medical tests that were not medically necessary, not provided, or both and then billed at Red Oak Hospital at a higher reimbursement rate.

Additionally, Narang and his co-conspirators falsified home health patient assessment forms documents to make the beneficiaries appear sicker on paper to receive higher reimbursement rates from health care benefit programs such as Blue Cross Blue Shield, Cigna, and Aetna. Moparty also also instructed his employees to falsely bill the medical services at Red Oak Hospital and other entities associated with Moparty, when in fact the patients never received services from Red Oak and the other entities.

At trial, patients consistently testified that they had merely bought a Groupon for weight loss shots, but after meeting with Dr. Narang, they all received the same battery of medical tests that were not needed or provided. Health care benefit programs paid Red Oak Hospital approximately at least $3.2 million. Moparty then covertly paid Narang approximately $3 million dollars to various corporate entities owned by Narang.

At sentencing, Narang received ten years in federal prison and Moparty received nine years in federal prison. 

Michael Tate, CAMS, Anti-Corruption Ethics and Compliance at Western Digital

Presentation: Compliance and Investigations - A Love Story For The Ages

Ethics and Compliance and Internal Investigations – there are very few teams within an organization that are so closely aligned in mission and purpose, yet often we see them facing the same problems as many married couples ... a lack of communication.  

This presentation will highlight the necessity and importance of ongoing collaboration and consistent cadence of communication between the Ethics and Compliance and the Internal Investigations teams, especially as it pertains to timely sharing of information about trends, findings, potential red flags, and policy issues that can easily and rapidly morph from an areas of concern to a violation exposing employees and the corporation to legal risks.

Day Five - Friday, October 23, 2020

Session 1 Session 2
Matt Storlie, CFE, CIDA Manager, Forensic & Litigation, and Risk Advisory Services, Wipfli Inc.

Presentation: Designing Risk-Based Anti-Fraud Tests

Many companies try to use data analytics to monitor internal controls and identify fraud. Unfortunately, they’re typically unable to deliver meaningful results. This session will focus on how to use data analysis tools for fraud detection using data correlation and a risk-based approach. Attendees will learn how to leverage risk-based data analytics to design anti-fraud tests, and tell a story that is both compelling and insightful.

Learning Objectives:

  • Review historical data analytics methodologies and techniques and their shortcomings. 
  • Discuss data correlation and how to develop risk-based anti-fraud tests using IDEA┬«.       
  • Explore how a risk-based approach to data analysis could benefit your organization.

Paul Pettit, Vice President, Performance Improvement, Revenew International

Presentation: Construction Fraud

According to the 2020 Report to the Nations on Occupational Fraud and Abuse the typical organization loses 5% of its revenues to fraud each year. The report provides an analysis of fraud cases investigated worldwide and continues a tradition of shedding light on trends in the characteristics of fraudsters, the schemes they perpetrate and the organizations being victimized.

Specifically, the presentation will look at typical asset misappropriation and corruption schemes during construction projects and their subsequent results, including some actual investigations and case studies.

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