Conducting Investigations: A Beginner's Guide


Presented by: Barry Thompson   

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    We have designed this program specifically for the individual with little or no previous training in financial institution investigations. If you are new to this function, having worked in the area for less than three years or are newly assigned to the duties of conducting investigations this is the program for you.

This webinar has 6 main areas of study for attendees:
  1. Initial notification of an incident or case
    • How to conduct the initial interview.
    • The importance of active listening, remaining objective and protecting confidentiality.
    • Opening a case file and the potential use of case management software.
    • Determining what is important to note for your case file.
    • How to resign from a case involving an ethics problem for you.
  2. Research and evidence collection
    • How to design a plan for investigating the case.
    • Know the resources you can depend upon for help during the investigation.
    • Taking control of the evidence you need to prosecute the case civilly or criminally.
  3. Documentation
    • The importance of having staff document what they witnessed during or after an incident.
    • Learn what to document and what to exclude from your notes.
    • Understand that the case file will be provided to the opposing attorney by the legal process.
  4. Attorneys
    • Working with your lawyer.
    • Handling the sudden arrival or telephone call from the opposing attorney.
    • Know what to expect prosecuting criminally or civilly.
  5. Getting law enforcement to prosecute your case.
    • Developing what is needed by law enforcement to accept the case.
    • Know the proper law enforcement agency to contact for prosecution.
  6. Reporting back to the line of business
    • During your investigation you may discover improper procedures or problems with staff. This webinar will review how to handle these situations.
The basic question of every investigator is "what am I responsible for when conducting the investigation." You major responsibility is to gather information, evaluate the information and draw a conclusion after learning the "who, what, when, where and why" of the case. This will lead you to be able to make recommendations to operations on improvements needed to mitigate future losses.

The Objectives
  • This webinar will show you how to take control of your investigations
  • You will learn to work smarter -- not harder -- in preparing your investigations
  • This program provides you with vital insights when working with law enforcement
  • Outline the Basic Steps for Financial Investigations
  • Understand the Importance of Documentation and Evidence Collection
  • Learn how to handle the Pressure of the Investigation and Managements Reaction
Who Should Attend
  • Audit
  • Risk Management Officers
  • Security Officers
  • Anyone who conducts investigations for your financial institution
About the Speaker: Barry Thompson is an international speaker, trainer, consultant and writer who contributes to Bankers' Hotline and; he is also a special advisor to Bankers' Hotline. He is a security and compliance "guru" for and organizes security conferences for trade groups.

Barry is recognized as a speaker worldwide, presenting in Brussels, Belgium to European bankers on internal fraud; at the United Nations on identity theft; and to Japanese bankers on bank security. Barry has worked in the financial services industry for over three decades, and has held the positions of security officer, compliance officer, treasurer, senior vice president, and executive vice president. He has handled over 900 security cases and has been involved with investigations and prosecutions at federal, state and local levels.

This program was recorded in its entirety in February 2014. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

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  • Model: cd_investigations0214
  • Manufactured by: Glia Group, Inc.

This product was added to our catalog on Thursday 02 January, 2014.

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