October Meeting
Thursday the 4th
Cityplace Conference Center

Janice McQuary is the Assistant Deputy Comptroller for Specialties and Operations for the Office of the Comptroller of the Currency’s (OCC) Southern District.  As she has over 20 years of experience with the OCC she has had numerous opportunities to evaluate the overall practices of financial institutions.  Janice will share with us her thoughts as to how important a strong corporate governance process is when evaluating the overall risk of a company.  She will provide us with some common warning signs that indicate that a company might have issues with corporate governance as well as best practices.  Janice will focus on the types of situations or policy and procedure gaps that would cause her and her team concern and require her to further investigate a company.  She will also recant some of her more egregious examples of companies which displayed poor corporate governance and ethics and discuss the negative consequences they faced as a result.

Janice joined the OCC in 1981 and in her current role she is responsible for ensuring that systemic risks in commercial credit, retail credit, capital markets, consumer compliance, information technology, asset management, and fraud are identified and addressed through an appropriate supervisory response.   Janice is a graduate of the University of North Texas.

Randall Brown is responsible for developing and maintaining the Baylor Healthcare Systems (BHCS) Hotline.  He will speak about he importance implementing a hotline as well as the factors a company should consider when developing a hotline.  He will also focus on the oversight and operational processes of hotlines.  Randall will share his thoughts about effectively managing hotline calls.  He will speak to common issues that are communicated via hotlines as well as challenges and pitfalls he has experienced.  Lastly he will focus on how internal audit groups can support and audit the overall Ethics hotline process.

Randall is a seasoned professional with more than 13 years of experience in internal audit, compliance, financial analysis, and fraud investigation.  He currently serves as a Senior Corporate Compliance Consultant for Baylor Health Care System (BHCS) in Dallas, Texas.  Prior to assuming his compliance responsibilities, Randall served as the Internal Audit Manager for BHCS and also as an Internal Auditor for Transamerica Rental Finance Corporation.  During his audit career, Randall supervised numerous project teams and directed and performed countless risk assessments, audits, consultations, and investigations.

Randall holds a Bachelor’s Degree in Accounting from the University of Texas at Arlington and is a Certified Internal Auditor and holds the designation of Certified in Healthcare Compliance.

Many businesses as well as their audit committees have been asking themselves if they are doing enough to prevent fraud.  Also external auditors are asking companies what they are doing to prevent fraud as part of their activities to be in compliance with SAS 99.  As a result, in order for companies to assert they have strong corporate governance processes as well as a solid internal control environment they are reassessing their antifraud programs.  Bill Rudolph is a Director in the Forensic practice at KPMG‘s Dallas office and conducts investigations and assists companies with antifraud programs and controls, including fraud and compliance risk assessments.  As a result he has been exposed to, evaluated and designed numerous anti – fraud programs and will share with us some lessons learned and best practices as a result of his experiences.

Before coming to KPMG in August 2000, Bill Rudolph worked for the Federal Bureau of Investigation for 10 years, where he conducted and participated in White Collar Crime investigations as a Financial Analyst and was involved in high profile investigations.  He was a contributor to KPMG’s recent antifraud programs and controls whitepaper, has national responsibilities in fraud risk management and the financial services industry; his recent engagements have included fraud and financial reporting investigations, fraud and compliance risk assessments, and other fraud risk management engagements.  He is currently engaged as the director of anti-fraud for the Road Home program, the approximately $10 billion Federal program for rebuilding in Louisiana following the hurricanes in 2005

1 Hour Continuing Education

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This meeting is being held at Cityplace Conference Center
2711 North Haskell Street
Dallas, Texas 75204