The 5th Annual-UTD/Dallas Chapter
Fraud Summit

Co-Sponsors:

Thursday, March 25, 2010

FRAUD WORKSHOPS - CHOOSE FROM ONE OF THREE

John McSwain, Senior Manager, Deloitte Financial Advisory Services LLP —Advanced Fraud Interrogation Methods

Effective interrogations may require the investigator to do more than just ask the right questions. This interactive course combines elements of document discovery, business intelligence gathering, data analytics and interviewing techniques in order to provide a framework for conducting meaningful target interrogations. This course will provide:

• Approaches for collecting hard copy documents and electronic records
• Steps for obtaining critical background information on individuals and entities
• Methods for analyzing large amounts of data in order to identify patterns and anomalies that may lead to the discovery of evidence of malfeasance, including fraud
• Investigative interview techniques:
     o Preparation for an interview
          - Developing questions
          - Avoiding interview pitfalls
          - Selecting location
     o Deception detection
• Highlight distinctions between Interviews and Interrogations

John McSwain is a CPA licensed in Texas with over 23 years investigative experience specializing in corporate fraud and FCPA (Foreign Corrupt Practice Act) investigations. Prior to joining Deloitte Financial Advisory Services LLP (“Deloitte FAS”), Mr. McSwain spent more than 21 years as a Special Agent and Supervisory Special Agent with the Federal Bureau of Investigation (FBI). During his career with the FBI, he conducted numerous complex white collar investigations specializing in the areas of Public Corruption, Healthcare Fraud, and Financial Institution Fraud. Since joining Deloitte FAS in July 2007, Mr. McSwain has provided broad financial and investigatory services to both law firms and Fortune 500 businesses.

Mr. McSwain has over 14 years experience investigating white collar criminal matters, including several related to high profile public officials, public municipalities and corporate executives involved in bribery, kickbacks and money laundering.

Throughout his career, Mr. McSwain has conducted hundreds of interviews as part of criminal investigations and provided expert and summary witness testimony at numerous federal criminal trials and before Federal Grand Juries. He has provided litigation support to Assistant United States Attorneys in several judicial districts throughout the United States and has extensive experience in helping prosecutors develop trial strategy, as well as debrief and prepare government witnesses.

Mr. McSwain is a member of the American Institute of Certified Public Accountants, the Texas Society of CPA’s and the Society of Former FBI Special Agents.
Jim Ratley — Interview Techniques for Auditors and Investigators

Are people lying to you? Do you know for sure? When can actions speak louder than words? Fraudsters, clients and even your own employees may each be hiding something from you. This interactive course will teach you how to be more effective in asking direct and follow-up questions, while evaluating both verbal and non-verbal responses, so you can be a better listener and observer during subject interviews.

James D. Ratley graduated from the University of Texas at Dallas, with a Bachelor’s Degree in Business Administration. In 1971, he joined the Dallas Police Department as a police officer.

Mr. Ratley was assigned to several police department divisions including vice, child abuse, and internal affairs. He was a member of numerous department task forces which concentrated on major fraud cases.

In 1986, Mr. Ratley left the police department to join Wells & Associates, a forensic accounting practice, where he was in charge of fraud investigations. He handled investigations regarding internal frauds, conflicts of interest, and litigation support. In 1988, he was named Program Director for the Association of Certified Fraud Examiners and oversaw all aspects of the ACFE’s training and education programs.

In 2006, Mr. Ratley was named President of the ACFE. In this role, he works to promote the ACFE to the public and other professional organizations and continues to assist in the development of anti-fraud products and services to meet the needs of ACFE’s members. In addition, he is a member of the ACFE’s faculty, and teaches regularly at workshops and conferences on a variety of fraud-related subjects.

In 2005, Mr. Ratley was awarded the Association of Certified Fraud Examiners’ Cressey Award. The Cressey Award is the ACFE’s highest honor. It is bestowed annually for a lifetime of achievement in the detection and deterrence of fraud.

Mr. Ratley is a member of the Association of Certified Fraud Examiners, Austin Chapter and a member of the Board of Advisors for the Institute for Bank Director Education. He was also a Visiting Scholar at the University of Nebraska in Lincoln. In addition, he has been certified as a Master Peace Officer by the Texas Commission on Law Enforcement Standards and Education.
Glyn Smith — Best Practices in Ethics and Compliance and How to Audit

This course is designed to dive into the key elements of a best practice governance program and provide fresh ideas on how internal audit can take an active role in helping an organization promote an ethical culture and build a strong ethical foundation that will lead to sustainable success. The course will cover:

• Elements of corporate governance
• Governance lessons learned from the recent financial crises and scandals
• What auditors can do to help promote and strengthen an organization’s governance program
• Governance challenges and the latest thoughts on best practices in governance

Glyn Smith has nineteen years of diversified experience working in public accounting and with public and private sector entities including large-cap and fast growth public companies as well as government entities. Until 2005, Mr. Smith served as Director of Internal Audit for MCI where he played a role in helping the company successfully move forward and emerge from bankruptcy after the WorldCom fraud.

Because Mr. Smith played a key role in helping to uncover the fraud at WorldCom, he has unique insights that can help organizations lay strong ethical foundations and better prevent scandal in this new era of responsibility. Mr. Smith has been featured in media such as CNBC’s American Greed, the Wall Street Journal and CFO.com. He helps thousands of corporate executives and professionals across the globe by consulting on, training and speaking to the most timely topics and concerns of the 21st century, including enterprise risk, the current crises and recent scandals - lessons learned and the way forward; questions every board member should ask; what companies can do to prevent and detect fraud; and ethical leadership. In addition, Mr. Smith speaks to high school and college students to share lessons learned from the recent frauds and the importance of building a strong ethical foundation.

Mr. Smith previously served on the Accounting Advisory Board for the University of Alabama and is the past president of the Central Mississippi Chapter of Internal Auditors. He holds a number of professional designations including Certified Public Accountant, Certified Internal Auditor and Control Self-Assessment.

$250 per person – seating is limited to the first 50 registrants for each session. You may only choose one of the three sessions to attend.

8 hours CPE credit
Location: UTD-Richardson
Time: 8:00PM-5:00PM

Registration closed on March 12, 2009

Friday, March 26, 2010

FRAUD CONFERENCE - HOT TOPICS & SPEAKERS

One of our keynote speakers will be Aaron Beam, Past CFO of Healthsouth, who will speak on his personal experiences and subsequent conviction related to HealthSouth – All attendees will receive a copy of his book which Aaron will be available to sign.
Participants will choose from a variety of breakout sessions to hone their fraud-detecting skills and practically apply what they have learned.
Advanced fraud techniques and case studies for those looking for more than just the basics.

Friday agenda in PDF

$200 per person if paid by January 31st and $600 for four people if paid by January 31st.

$250 per person if paid between February 1st through March 12th.

Seating is limited
7 hours CPE credit
Location: UTD-Richardson
Time: 8:00AM-5:00PM
Discounted Accommodations are available at the Renaissance of Richardson located near campus ($85 nightly rate) – The group rate code is “utdutda” and the phone # is 972-367-3333

Registration closed on March 12, 2009

Payment is due at the time of registration.
Price includes all materials, continental breakfast, refreshment breaks, lunch and cocktail hour.
There is a $50 cancellation fee per registrant on cancellations received prior to February 1. Refunds will not be granted after February 1, 2009, however, substitutions are permitted.
Should you need to cancel or change your registration please contact Pamela Krakosky at pkrakosky@verizon.net no later than noon the day before the meeting.

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