Jesse Jauregui was a panelist of the session, "The Aftermath of Internal Fraud Investigations: Effective Depositions & Trial Testimony," during this conference sponsored by the California Bankers Association
(CBA). Internal fraud investigations typically become key issues in legal proceedings, such as criminal prosecutions and civil lawsuits. The legal role of a financial institution's internal fraud investigator differs depending on the nature of the proceedings. Internal investigators typically have limited participation in criminal prosecutions, because the criminal rules of procedure limit discovery. On the other hand, an internal fraud investigator takes a central role in civil proceedings which question the propriety of the investigation. Civil rules of procedure and evidence provide broad liberties to opposing counsel in gathering information to attack an internal investigation. This panel addressed those challenges, including handling of the Suspicious Activity Report (SAR) in the course of the proceedings. The panel also provided practice advice and considerations for maximizing the financial instiitution's ability to defend the investigation, including proper deposition preparation through role playing.
June 16, 2011
Westin South Coast Plaza / Costa Mesa, CA