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Banking Investigators Forum Round up

On Thursday, 26th May ACi proudly hosted its first Banking Investigators Forum event, kindly sponsored by Forensic Risk Alliance. The event was attended by banking investigators from 80 different banks and covered a range of issues, all of which had been selected by delegates as points of interest.

Our prestigious speakers included:

  • Colin Bell, CEO, HSBC
  • Stephen M Kohn, Managing Partner, Kohn & Kohn LLP
  • Jonathan Shatford, Head of Investigations, JP Morgan EMEA
  • Madalina Florea, Head of SM?MRT Investigations, Lloyds Banking Group
  • Michael Delf, Global Employee Conduct Director, Citibank
  • Charlie Steele, Partner, FRA
  • Dave Francis, Head of Litigation & Investigations, NatWest Bank Plc
  • Lorene Wiggin, Managing Investigator, NatWest Bank Plc
  • Gerben Schreurs, Partner, FRA
  • Jamie Brown, Executive Director, Head of Fraud Intelligence and Investigations, Standard Chartered Bank
  • Paul Carroll, Manager, Fraud Inestigations, Intelligence & Policy, TSB
  • Ronan Guckian, Deputy Head, Financial Crime Unit, KBC Bank
  • Magdalena Boskik, Head of RegTech and Crypto Compliance Services, Sygnum Bank
  • Katerina Androutsou, RegTech & Crypto Compliance Services, Sygnum Bank
  • Robert Clarke, Managing Director, Global Head of Investigations, Citibank
  • Cecillie Fjellhoy, romance scam victim

During the day, delegates grappled with a range of issues such as whether investigative interviews should always be recorded, the current crypto landscape and what it means for investigators, and skills and tools that investigators should have for successful outcomes.

The day was ably managed by Simon Scales who had the delegates giggling in their seats with his engaging and witty moderating style.

Feedback from attendees has been outstanding. For example one delegate said,

“The event was run really efficiently, the venue was excellent but mostly important the speakers and subject matter was just brilliant. Often I see people on their phones at lot at these events catching up with emails etc but as I looked around, like myself everyone was listening intently. It really was one of the best conferences I have attended in many years (ignoring the pandemic). Thanks to everyone involved, with a little special mention to Simon who I thought was amazing as an MC.Already looking forward to the next one, please keep my details within your database. I will be selling the events for you as I speak with all of my bank investigator contacts throughout the whole industry. So many of them would have benefitted and enjoyed yesterday.”

You can read our event programme here. Thank you to everyone involved especially our sponsor Trevor Wiles and the FRA team, Simon Scales, our speakers and not least of all the delegation who made it such a special event.

We look forward to seeing everyone next year.

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ACi Launches its Investigations Principles and Good Practice Guidance

In this short video extract ACi members briefly discuss the Principles

ACi is delighted to announce the launch of its new Investigations Principles and Good Practice Guidelines guidance. This is the first wide-reaching practitioner-led Principles and good practice guidance developed for the global corporate investigations profession.  These foundational Principles and Guidelines are the culmination of working group discussions with a highly diverse group of corporate investigation subject matter experts, both in-house and external, from various industries and sectors. They are intended to help guide the work of corporate investigators. 

The ACi would like to thank all those who contributed subject matter expertise in our working groups, and our group leads Mary Eastwood Jones, Jeff Giddings, Patrick Wellens and content creator Esther-Gail Fraser. The following are some quotes from our members about the importance of our Investigation Principles.

Jeff Giddings, Senior Investigator at OSCE said, “Core principles and guidelines are foundations for a successful corporate investigative function. The ACi Principles and Good Practice Guidelines are fusions taken across the wide spectrum of ACi members. Given the multitude of industries represented in the ACi, it was a challenge in getting consensus for having succinct, yet inclusive, principles and guidelines.  To my knowledge, this has never been accomplished until now, which demonstrates the strength and commitment of the ACi and its members.  This is truly trailblazing.”

Patrick Wellens, Investigations Expert said,”The creation of the new Principles and Good Practice Guidelines fits perfectly in the mission of the ACi to professionalize Corporate Investigations. It is a major achievement to now have a common set of Standards and Good Practice Guidelines that can be applied across Corporate Investigators in any industry. I am personally very proud to have actively contributed to these documents.”

Ash Sharma, Group Investigations Manager, Anglo American, said, “Corporate Investigation is a unique profession. The Corporate Investigator might be asked to investigate financial crime, physical or psychological safety, health or environmental breaches, data and cybercrime amongst others. Corporation Boards, employees, investors, customers and the wider community expect the highest standards from these investigators. The ACi will ensure these expectations are met by educating, supporting and mentoring their members. The release of the ACi Principles and Good Practice Guidelines is an exciting achievement for the profession. I am proud to be part of this community and support the evolution of the profession.”

Steve Young, CEO, ACi, said, “Investigators are bound by the moral imperative to find the true facts. For me, the ACi principles underpin this obligation, which we all carry as members of the corporate investigations community. “

Mary Eastwood Jones, ED, ACi added, ‘The work we do carries great responsibility to establish the facts ethically- the consequences of a poorly or unfairly executed investigation can be devastating for the people and organisations involved. I am proud to be part of this first practitioner-led foundational project and am so grateful to all in our community who have collaborated and reached consensus to make this possible. The Investigation Principles are integral to conducting robust and ethical investigations, and are essential on our journey to professionalising corporate investigations.’

Please visit our web pages for further details.

Tools and Takeaways to Upskill your Investigations Practice 

April 6 2022
16:00 – 17:00 BST 

11.00 – 12.00 EDT
08.00 – 09.00 PDT

The nature of corporate communication is shifting, and that rate of change is accelerating—new channels and data types are continuously springing and it’s becoming increasingly easy for it all to be recorded and archived… somewhere. But how do you target and capture only the relevant information and quickly make sense of it when you do? The complexity and volume are now simply beyond human ability to keep up with.

In this session, experts will talk through the cutting-edge techniques and tools that are being applied to sift through rising data volumes from a host of different communication platforms and show you how in-house teams are easily applying powerful AI to zero in on and simply review the data most relevant to your matter. 

Corporate investigation experts from Capital One and Lam Research will join to discuss the rising challenges they are seeing and how they are adapting their investigations practices. 

Register

Panel: 

Amelia Chen, Sr. Manager, Product Marketing – Corporate Solutions at Relativity  

Amelia is the Senior Manager, Product Marketing – Corporate Solutions at Relativity where she oversees the product marketing function for the corporate segment. With a background in finance, sales, strategic partnerships and marketing, Amelia is passionate about understanding the market and finding the most effective and resonant ways to meet customer needs. Always seeking to learn more, Amelia holds an MBA from the Kellogg School of Management and earned her Bachelor’s Degree from Northwestern University.

 

Ben DeWitt, Senior Manager, Cyber Insider Threat & Technical Investigations eDiscovery at Capital One 

Ben DeWitt is the eDiscovery Lead for Capital One’s Cyber Insider Threat and Investigations Program. With 15 years of eDiscovery experience, Ben and his team have a primary focus on the collection, processing, and analysis of evidence and the administration of technology solutions. He collaborates with investigative and legal partners to develop strategy for technology and workflows in support of internal investigations, government investigations, and corporate litigation matters. Ben is a certified Relativity Expert and Brainspace Analyst. 

 

Nolan Robinson, Program Manager, Legal Operations at Lam Research  

 

Kristin Sunderman, Litigation Support Director, Freddie Mac

Kristin Sunderman is the Litigation Support Director at Freddie Mac. Prior to joining Freddie Mac, Ms. Sunderman spent the last 20+ years in the industry working not only for law firms and corporations but also as an eDiscovery vendor. It is in the vendor world that Ms. Sunderman spent the bulk of her career. She started off in project management but quickly worked up to managing all of Operations. It is there that she focused on creating efficiencies, implementing automation and providing a development path for new eDiscovery specialists. Ms. Sunderman continues to focus on process improvements and development in her new role and prides herself on being heavily involved in mentorship and inclusion programs.

 

Moderator

Simon Scales

Simon’s extensive international experience in corporate investigations includes significant Employee Misconduct, Fraud, Bribery, Corruption, Antitrust & Competition, AML, Sanctions, Market Abuse and commensurate preventative / remedial measures. His 30 years of expertise in major investigation management, covert and overt intelligence gathering, relationship and stakeholder management, Ethics / Compliance / Integrity related investigations and reviews demonstrate his proven ability to facilitate consensus through negotiation and collaborate with senior management across all geographies. Simon is a visiting lecturer to a number of  UK Universities and has articles published in leading UK, EU and US journals, newspapers and other international media, including Global Investigations Review, The Times (UK), The Guardian (UK), Le Monde (France), Washington Post (US) and the Law Society (UK). Having appeared on the BBC and CNN, he has provided editorial content and testimonies for those writing about the world of Fraud, Bribery and Corruption, and is in demand for his knowledge, experience and unique approach. Simon chairs significant industry recognised conferences on the subjects of Fraud, Bribery, Corruption, Ethics, Risk Management, Internal Control, IPR, Identity Theft, eCrime and Corporate Security.

 

Webinar sponsored by

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Investigaciones Corporativas en Latinoamérica

La Asociación de Investigadores Corporativos (ACI) se complace en anunciar su primer evento para Latinoamérica para el día jueves 31 de marzo de 2022, el cual será auspiciado por Control Risks y desarrollará un marco general sobre las tendencias, casos más comunes y desafíos de las Investigaciones en el ámbito corporativo presentados en los diversos países de la región.

 

Register

Panel

Enrique Gómez Pinzón  – Holland & Knight / Partner 

Enrique Gómez-Pinzón is the executive partner of Holland & Knight’s office in Colombia. He practices in the areas of  compliance and internal investigations, cross-border investment and financings, mergers and acquisitions, international arbitration and project finance.  Mr Gómez-Pinzón has assisted clients in coordinating internal investigations and crisis mangement response for several multinational companies with operations in Colombia. He has participated in some of the most important financings and privatizations in Colombia in the last 30 years, including licensing of cellular telephones, banking entities, power generating and distribution companies, and transportation of petroleum. He has served as an arbitrator in a variety of cases administered by ICSID, ICC, PCA, CIETAC, cases administered under the UNCITRAL Arbitration Rules and the Bogotá Chamber of Commerce. Mr Gómez-Pinzón is the sole founder and former head of one of the leading law firms in Colombia. He received his JD from Universidad de Los Andes and an LLM from Harvard University Law School in Massachusetts. He is admitted to practice law in Colombia, the State of New York and Washington, DC.

Lucas Martins – Clarios / Deputy Legal Counsel LATAM 

Lucas joined JCI in 2014 as Senior Corporate Counsel, Litigation LATAM and in 2018, was appointed Senior Corporate Counsel for Brazil Power Solutions. He has extensive experience working in Brazil and LATAM countries and has focused his practice on litigation, risk management, law department management, recoveries and business strategy. Lucas started his legal career in Sao Paulo with TozziniFreire Advogados in 1999 with a broad spectrum of litigation and arbitration cases. After working in private practice, he joined Duke Energy Brazil, as Litigation Manager in 2009. At Duke Energy, he progressively assumed more challenging roles, including real estate and environmental, compliance and investigations. In 2014 Lucas become Senior Corporate Counsel, Litigation LATAM in Johnson Controls’ Sao Paulo office, providing commercial litigation for all of JCI`s businesses in LATAM. He progressively assumed more senior roles in law department management, recoveries, material Labor & Employment matters and business partner of Power Solutions in Brazil. Lucas has a very hands-on profile, balanced with ethical and legal compliance standards and a sense of constant cooperation and partnership with business colleagues and team members. His greatest professional satisfaction is to deliver timely customer-centric work that drives business growth and he is passionate about supporting the development of his team members and colleagues. Since joining JCI, Lucas has received client recognition through several performance assessments and more recently, a Merit Award for material recoveries. He graduated Johnson Controls Leadership Edge Program (JCLE) in 2018. Lucas graduated from Pontificia Universidade Católica de São Paulo in 2001 and concluded the Master of Laws on Civil Law in 2008 He has been Professor of Civil Law and Civil Procedural Law in Brazilian and Post-Graduation Courses from 2009 to 2014 and is registered with Sao Paulo Bar Association.In his free-time, Lucas enjoys off-roading, spending time with his family, participating in triathlons and travelling. His native language is Portuguese and is fluent in English and Spanish.

 

Nelly Arocha – Control Risks / Director – Compliance, Forensics and Investigations 

Nelly Arocha is a Director in Control Risks’ Compliance, Forensics and Intelligence practice, based in Mexico City. Nelly is a lawyer with experience across a variety of industries both during her time with the Mexican federal government and as a consultant for Control Risks, where she has had experience conducting complex internal investigations into national and multinational companies. Nelly has more than 15 years of experience in several government postings that include the President’s Office, the Federal Institute for Transparency and Access to Public Information and the Ministries of Education and of Communications and Transport, among others. At the Federal Electoral Institute, she participated in conducting investigations in two of the largest campaign finance cases in Mexico. Additionally, as head of the Internal Control Office at a government agency, she was responsible for auditing federal expenditures and monitoring the implementation of internal controls to ensure the efficiency of the institution and prevent corruption. Her areas of expertise includes transparency and government reform, data protection, government accountability, investigations and audit.
In addition to graduating as a lawyer from the Instituto Tecnológico Autónomo de México, Nelly holds a MA in International Relations from the Fletcher School of Law and Diplomacy at Tufts University and a MSC in Comparative Politics from the London School of Economics and Political Science. She is fluent in English and Spanish.

 

Juliana Pontes – MercadoLibre / Internal Investigations Manager 

Juliana Marcucci Pontes Amaral es abogada especializada en derecho civil, gestión empresarial e investigaciones internas. Al largo de su carrera de 20 años, ha trabajado en estudios de abogados y desde 2009 se encuentra en Mercado Livre, donde estuvo a frente del área estratégica de Dispute Resolutions en Legales hasta 2021, cuando fue a Compliance implementar el área de investigaciones internas.

 

Moderator

Nestor Garrido, Head of LATAM, ACi 

Nestor is a Senior Corporate Security Executive with over 23 years of professional experience in Crisis Management, Product Security, External and Internal Fraud and Compliance Investigations. From 1996 to 2005, Nestor worked in the Investigations Unit of Peruvian Navy. He started his career in the private sector in 2006 as Security Manager Peru at Novartis, conducting Compliance and Illicit Pharmaceutical investigations. After 7 years in Novartis, Nestor joined Mondelez Peru as Security Manager. Since December 2018, Nestor is currently Head of Security Peru at the multinational energy company Enel managing and overseeing Critical Event Management, Fraud Investigations and Critical Infrastructure Security. Nestor also develop training in Crisis Management, Risk Management and Corporate Investigations in association with Business Alliance for Secure Commerce (BASC). He is a Certified ISO 31000 Lead Risk Manager by Professional Evaluation and Certification Board (PECB), Member of ASIS International and ACFE.

 

Register

 

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Add your voice to the #BreakTheBias Campaign

This year, in support of the International Women’s Day 2022 campaign #breakthebias, ACi is collecting quotes, anecdotes and thoughts from our corporate investigation community on working with, hiring, promoting or supporting women in corporate investigations, or your experiences as a woman working in corporate investigations and how we can all break the gender bias. You can read all about the campaign here.

Please share your views with us – just click the button below to send us your quote.

QUOTE ME

Women’s Day Webinar

You can also register for our #Breakthebias Women’s Day event. It takes place on Wednesday 8th March 2022 from 12.00 pm – 1.30 pm. Click here to see details of our women panellists and register for your free place.

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News

Wishing you a very happy New Year

As we launch into 2022, ACi wishes all our members and supports a happy, healthy and prosperous New Year ahead.

We are working hard to bring you more innovative training, networking and education events this year. While the Pandemic continues to disrupt the usual working practices of investigators, our community is continuing to adapt and evolve, learn new skills and tackle investigations challenges in new ways.

ACi is here to support its members and we appreciate the commitment of our members and our sponsors to help grow our community and to improve investigations standards. Watch this space for news of our upcoming events – to be announced very soon!

Your right, your role – say no to corruption

ACi is delighted to support the United Nations International Anti Corruption Day this year.

Your right, your role: say no to corruption
Votre droit, votre défi : dites non à la corruption
Tu derecho, tu desafío: dile no a la corrupción
احفظ حقك، العب دورك: قل لا للفساد
你的权利,你的作用:对腐败说不
твое право, твоя роль: скажи коррупции нет

On 31 October 2003, the United Nations General Assembly adopted the United Nations Convention against Corruption (UNCAC) and the United Nations Office on Drugs and Crime (UNODC) based in Vienna, Austria, as the secretariat to the Conference of the States Parties to the Convention. The Convention was opened for signature at a High-Level Signing Conference held in Mexico from 9 to 11 December 2003. As such, the General Assembly designated 9 December as International Anti-Corruption Day (IACD), to raise awareness of corruption and of the role of the Convention in combating and preventing it.

The UNCAC places a premium on the prevention of corruption as a fundamental aspect of criminal justice. It provides for a comprehensive range of preventive anti-corruption measures in a dedicated Chapter (Chapter II) which precedes the Chapter on criminalization and law enforcement. Several provisions of the Convention address the private sector. Among them, Article 12, under Chapter II, calls upon States parties to ensure “…that private enterprises, taking into account their structure and size, have sufficient internal auditing controls to assist in preventing and detecting acts of corruption…”. As such, the prevention of corruption is an obligation for the corporate world too.

The theme of International Anti-Corruption Day 2021 is: “Your right, your role: say no to corruption”. The key message is that a corruption-free word is everybody’s right, and that anti-corruption efforts are everybody’s responsibility – governments, companies, professions, society and individuals alike. The second key message is that policies, laws and mechanisms must be in place, in public and private sectors, for individuals to be able to speak up and say no to this crime without fear of unjustified treatment. An environment where individuals feel free to report wrongdoings, in good faith and on reasonable grounds, contributes to a culture of lawfulness and integrity. It provides a strong deterrent to corrupt practices by those who count on low detection risks if not impunity.

Giovanni Gallo will explain the ongoing role of the UNODC as the “managers” of the UNCAC, their efforts to raise awareness and promote the speak-up culture around reporting corruption and how the Convention addresses the role of the private sector. There will also be a description of a significant integrity initiative developed by the World Bank to establish longer term funding for anti-corruption initiatives. Duncan Smith from the European Investment Bank will then describe anti-corruption efforts from a multi-lateral bank perspective – investigating and sanctioning governments and corporations who engage in corrupt acts in MDB funded projects, and how they can assist in building integrity cultures in the private sector. Finally, Basha Galvin from the Association of Corporate Investigators will explain how the ACi can assist the global fight against corruption through training, education and raising of investigative standards in the corporate world.

The significant impact of corruption on society calls for each of us to play a role in its prevention. Join our high calibre and experienced speakers on International Anti Corruption Day 2021 for this ‘must watch’ webinar. 

 Register

Panel

Mr. Giovanni Gallo, Chief of the Implementation Support Section Corruption and Economic Crime Branch
Division for Treaty Affairs, United Nations Office on Drugs and Crime

Mr. Giovanni Gallo is the Chief of the Implementation Support Section of the Corruption and Economic Crime Branch at UNODC. He oversees the global delivery of technical assistance for governments to better implement the UN Convention against Corruption. This work includes the engagement of other key actors such as the business community, the academic world and civil society. Over the past 20 years, he held several positions at UNODC, both at headquarters and in the field.

From 2011 to 2019, Mr. Gallo served in the Office of the Director-General of the United Nations Office of Vienna (UNOV) and Executive Director of UNODC. He was Deputy Chief of the of the Office from 2011 to 2015, when he received the additional role of Senior Legal Adviser to the Director-General and Executive Director.

From 2006 to 2010, Mr Gallo supported Member Sates’ efforts to tackle transnational organized crime and corruption by providing normative and operational assistance in line with the UN Convention against Transnational Organized Crime and its Protocols and the UN Convention against Corruption. From 2001 to 2003, he worked for the UNODC Office in Myanmar.

Mr. Gallo is a lawyer by training and holds an advanced law degree from the University of Bologna, Italy.

Duncan Smith, Deputy Head of Fraud Investigations, European Investment Bank

Duncan Smith is Deputy Head of Fraud Investigations at the European Investment Bank. As a barrister, he prosecuted fraud & corruption in the UK. After working for the World Bank’s Investigation Unit (as Team Leader and then policy adviser), he moved to the European Investment Bank to address outreach, training, prevention and deterrence issues. He is a co-author of the International Financial Institution’s Anti-Corruption Uniform Framework Agreement (2006) & other harmonized Multi-lateral Development Bank documents.

Duncan has written articles for the Basel Institute of Governance and the FCPA Blog, for example: The European Investment Bank’s 2020 Fraud Investigation Activity Report is an important compliance resource;  

What Happens to Allegations of Prohibited Conduct at the European Investment Bank

A fast way to identify fraud risks and vulnerabilities: Proactive Integrity Reviews

and authored the recently published book: Promoting Integrity in the Work of International Organisations: Minimising Fraud and Corruption in Projects.

Basha Galvin, ACi Chief Operating Officer

Basha Galvin

Basha started her career with the Metropolitan Police and moved to the City of London Police Fraud Unit, covering money laundering, trade finance fraud, bribery and corruption.  Basha left the police and moved to Citigroup for four years, moving to Barclays plc in 2006 as Head of Investigations & Whistleblowing for Wealth & Investment Bank. In 2018 Basha moved to the Oil & Gas Industry as Head of Investigations for Tullow Oil Plc leaving in late 2020.  Basha is a seasoned financial crime investigator in the public and corporate sector. She has led and managed global investigations teams.  During her career, Basha has had the opportunity to work in a number of jurisdictions including the USA, APAC and EMEA developing investigation models and collating evidence for civil and criminal prosecutions.  Basha was named as one of the “Top 40 in-house” investigation professionals by Global Investigations Review.

 

Mark Gough,  ACi Regional Advisor

Mark Gough

Mark has over 35 years of professional investigation experience at both national and international levels within the public sector and private sector. Mark started his career as a counter-terrorism investigator with the Australian Federal Attorney General’s Department. From 1996 to 2008, Mark worked in the Investigations Division of the Office of Internal Oversight Services at the United Nations in New York. Mark joined Siemens in 2008 as the Global Deputy Head of Compliance Investigations and managed the Europe/Middle East/Africa investigation team from the Munich headquarters. In October 2014, Mark was appointed as the Regional Head, Case Handling Asia Australia (within the newly created Legal and Compliance – Regulatory Governance structure in Siemens AG), based in Singapore and with a regional office in Beijing. In August 2019, Mark joined Schneider Electric in Singapore as the East Asia, Japan and Pacific Compliance Officer also responsible for all investigations across the region. Mark returned to Australia in early 2021 and started his own consulting company, Gough Risk Consultancy, based in Queensland. Mark will provide the ACi with advice on corporate investigations management, investigation training (investigations and interviewing), strategic investigation policy identification and drafting, and whistleblower risk management issues.

Register

#NoToCorruption 

#IACD2021

Navigating Senior Management Investigations

For all investigators, navigating senior management allegations involves handling a number of unique challenges. In particular, sensitivities arise regarding initial escalation, stakeholder engagement, data retrieval and review, and conducting interviews. Issues may also arise regarding whether the individual remains in their role during the investigation, notifications to relevant regulatory bodies, and consequence management. At the same time, investigation teams can face significant pressure to conduct the investigation quickly in order to minimise disruption. This webinar, kindly sponsored by K2 Integrity,  explores these challenges, and more, based on the panellists’ practical experience of handling these types of allegations.

 

Register

 

Jane Shvets, Partner, Debevoise & Plimpton

Jane Shvets is a partner and member of Debevoise & Plimpton’s White Collar & Regulatory Defense Group focused on white collar defense and internal investigations, in particular regarding compliance with corrupt practices legislation. Ms. Shvets boasts a genuine international pedigree, having worked with clients on enquiries from authorities in the U.S., UK, Germany, Russia, and elsewhere, and on matters spanning jurisdictions in North and South America, Europe, Africa, Asia, Russia and the Middle East. In addition to her core investigations practice, Ms. Shvets also leads the firm’s sanctions practice in Europe, guiding clients through a sanctions landscape that has shifted significantly and swiftly in recent years. She is the recipient of numerous awards and recognitions for her work, including having been named White-Collar Crime Lawyer of the Year (Benchmark Litigation Europe Awards 2020), Best in White Collar Crime (LMG Europe Women in Business Law Awards 2019), and listed to Global Investigations Review’s 2020 “40 Under 40” list and Benchmark Litigation USA’s 2021 “40 and Under Hot List.” Ms. Shvets holds a J.D. with honors from Harvard Law School. She is a native Russian speaker and is proficient in Ukrainian.

 

Olivia Allison, Senior Managing Director, K2 Integrity

Olivia Allison is a senior managing director in the Investigations and Risk Advisory practice for K2 Integrity, resident in London. She has extensive expertise helping large private, state-owned and publicly listed companies carry out investigations into fraud, bribery, corruption and other misconduct. Olivia has also worked closely with a range of entities to improve their governance and controls, including in Russia, Ukraine, Kazakhstan and other emerging markets. Her practice has been particularly focused in oil and gas, mining and extractive industries, as healthcare, retail and financial services.

 

Joanne Taylor, Senior Managing Director, K2 Integrity

Joanne Taylor, a senior managing director at K2 Integrity, has 20 years of legal, investigations and financial crime compliance experience, which includes fraud risk management, anti-bribery and corruption, regulatory enforcement and investigations experience working within the financial and legal services industries.  She has extensive experience of leading investigations relating to conduct issues, fraud, bribery & corruption and AML and her previous roles have included Global Head of Whistleblowing and Global Deputy Head of Anti-Fraud Bribery & Corruption at a major European bank.

 

Moderator

Mary Eastwood, Executive Director

Mary is an Investigations, Whistleblowing and Ethics specialist with 21 years’ experience in the fields of evaluation, assurance and investigations. She has worked across the public, private, charitable and humanitarian sectors. Mary started her career as a criminology researcher focusing on crime reduction, social inclusion and ethical compliance for the UK Home Office, Ministry of Justice, Youth Justice Board and UK police forces. She then worked in an international NGO as Oxfam’s Fraud and Corruption Team lead and most recently as Head of Investigations at the world’s largest university publisher, Oxford University Press. She is a certified fraud examiner and investigator with significant experience in fraud, bribery and corruption risk management and prevention of sexual harassment, exploitation and abuse. She has successfully set up and managed internal global ‘whistleblowing’ channels, investigations functions and ethics programmes, and has conducted hundreds of complex global investigations across cultures and languages in Europe, Africa, Asia and the Americas, often in hardship settings. Mary enjoys communications and outreach: she is a regular contributor to thought leadership discussions, and delivers training in corporate investigations and ethical behaviour programmes to stakeholders at all levels.

 

Register

Investigations Quality Assurance

Conducting proportionate and robust investigations takes skill and experience.  In this webinar sponsored by Grant Thornton we will look at several elements – generally and throughout the investigation life-cycle – that may help investigators identify and improve the quality and consistency of their investigations, and help stakeholders gain assurance over the same.

 

 

 Register

 

Panel

Steve Donaghy, Director, Grant Thornton UK

Steve is a director in Grant Thornton UK’s Forensic and Investigations team, specialising in financial services. He has over 20 years’ experience in investigations and disputes across all segments of the financial services industry, having led on multi-jurisdictional regulatory investigations, as well as investigations into culture, conduct, controls, compliance programmes and systems, and accountability. Throughout this Steve has had extensive engagement with whistle-blowers. Prior to joining Grant Thornton in 2019, Steve’s experience includes seven years at the Royal Bank of Scotland plc, 12 years in a big four forensics practice, and a period of time in Enforcement at the FSA.

 

Lorne Wiggin, Managing Investigator, NatWest

Lorne is a Managing Investigator for the Litigation & Investigations team within NatWest Bank. This means as well as running investigations, he also manages a team of investigators and oversees the investigations they undertake. Having worked for NatWest for over 36 years, Lorne has undertaken multiple roles in that time from starting in-branch banking, through selling mortgages and the associated regulated products, Area Sales Management, Regulated Trainer, Compliance Manager and then Specialist Regulated Compliance Manager, prior to joining investigations in 2006.

 

Simon Stephen, Legal Director, Gowling WLG

Simon is a Legal Director in the Employment, Labour and Equalities team in Gowling WLG, where he has over 12 years’ experience. Prior to re-joining Gowling Simon also spent nearly 5 years in the employee relations department of a global investment bank. There he carried out and supported the whole range of internal investigations, as well as supporting the compliance, legal, risk, audit and whistleblowing teams with HR matters. As an employment lawyer Simon uses his unique blend of in-house and legal experience and specialises in undertaking and advising on investigations (whether himself or as part of a wider working group), cultural reviews, whistleblowing matters and complex employee relations matters. Simon works across all sectors but has a specific interest in financial services and the SM&CR.

 

Basha Galvin, COO, ACi

Basha started her career with the Metropolitan Police and moved to the City of London Police Fraud Unit, covering money laundering, trade finance fraud, bribery and corruption.  Basha left the police and moved to Citigroup for four years, moving to Barclays plc in 2006 as Head of Investigations & Whistleblowing for Wealth & Investment Bank. In 2018 Basha moved to the Oil & Gas Industry as Head of Investigations for Tullow Oil Plc leaving in late 2020.  Basha is a seasoned financial crime investigator in the public and corporate sector. She has led and managed global investigations teams.  During her career, Basha has had the opportunity to work in a number of jurisdictions including the USA, APAC and EMEA developing investigation models and collating evidence for civil and criminal prosecutions.  Basha was named as one of the “Top 40 in-house” investigation professionals by Global Investigations Review.

 

 

Register

 

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