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企業(yè)內(nèi)部調(diào)查與舞弊風(fēng)險防范公開課

課程背景 Course Background：
當(dāng)內(nèi)部懷疑發(fā)生欺詐、舞弊和一些不當(dāng)行為時，如何采用有限度的和合法的手段，以公開或者秘密的形式查明真相，采取搜集各類證據(jù)的綜合措施以調(diào)查舞弊、會計違規(guī)、貪污、電子犯罪、信息泄漏等各種不當(dāng)行為成為企業(yè)在公司治理和內(nèi)部控制的操作難點。本次培訓(xùn)課程旨在全面而系統(tǒng)地幫助企業(yè)內(nèi)部調(diào)查者提升調(diào)查與談話的技巧，掌握如何深入并且合法地進行內(nèi)部調(diào)查，從而將企業(yè)可能面臨的欺詐風(fēng)險降至*。
Although everyone knows corporate fraud is a very real risk, when there is a suspicion of fraud, most corporations will meet difficulties in how to collect and identify the evidences in fraud investigation, accounting irregularities, embezzlement, electronic crimes, information leaks and other misconduct. To find and determine the truth with compliance is key for corporate governance and internal control. This training course will provide you full guidance and experienced sills on how to optimize the investigation process, prepare and conduct interview, and minimize the fraud risks with effective management.

培訓(xùn)收益 Course Benefits：
1.全方位的內(nèi)部調(diào)查培訓(xùn)：最優(yōu)化的調(diào)查流程與談話技巧實踐
Conduct thorough and lawful corporate investigation with optimized investigation process and practical interview skills
2.針對調(diào)查取證途徑、真假文件的鑒別及外包資源使用的全面分析
Comprehensive analysis on evidence gathering, identification skills and external investigation resources
3.戰(zhàn)略性的規(guī)劃調(diào)查的重要步驟，同時避免調(diào)查過程中的法律問題
Plan strategically to take the critical steps necessary to avoid the legal landmines surrounding investigation
4.揭露真相的高效談話技巧，避免報復(fù)以及之后在工作場合的不恰當(dāng)行為
Effectively interview witnesses and respondents to uncover the truth and prevent retaliation and future workplace misconduct
5.收集并分析各種必需的證據(jù)，做出正確的最終報告并且采取行動
Draft your final report and take appropriate action with sufficiently collect and analyze physical & documentary evidences
6.多個互動模擬練習(xí)+實踐演練+案例分享
Interactive simulation exercises + Practical exercises + Cases sharing

本次培訓(xùn)中的內(nèi)部調(diào)查可應(yīng)用于Internal Investigation Is Necessary for：
1.維護企業(yè)的商業(yè)利益和合法權(quán)益（反商業(yè)賄賂和職務(wù)侵占，關(guān)聯(lián)公司，利益沖突，監(jiān)守自盜，挪用資金，虛假財務(wù)報告）
Maintenance of the business benefits and legal right
2.保護品牌(打擊灰色市場和打假)
Identification and solution to the operation risks
3.維護企業(yè)公眾形象（媒體危機，網(wǎng)絡(luò)公關(guān)危機）
Litigation support
4.發(fā)現(xiàn)和化解運營風(fēng)險（銷售舞弊、采購舞弊、渠道竄貨）
Brand protection
5.訴訟支持（合同糾紛、資產(chǎn)追蹤、知識產(chǎn)權(quán)仲裁、勞資糾紛，竊取商業(yè)機密）
Maintenance of the public image
6.為企業(yè)重大決策提供參考（重大人事任命、并購風(fēng)險調(diào)查、資金去向調(diào)查）
Providing reference for major decision
誰應(yīng)該參加 Who Should Attend？
.首席合規(guī)官/合規(guī)總監(jiān)/合規(guī)經(jīng)理
Chief Compliance Officer / Compliance Director / Compliance Manager
.首席財務(wù)官/財務(wù)總監(jiān)/財務(wù)主管
CFO / Finance Director / Finance Controller
.內(nèi)審/內(nèi)控總監(jiān)/經(jīng)理
Internal Audit / Internal Audit Director / Manager
.法律顧問/法務(wù)部經(jīng)理/主管
Legal Counsel / Legal Manager / Supervisor
.風(fēng)險管理總監(jiān)/經(jīng)理
Corporate Risk Management Director / Manager
.調(diào)查總監(jiān)/經(jīng)理
Investigation Director / Manager
.企業(yè)調(diào)查相關(guān)人士，包括人力資源總監(jiān)/經(jīng)理等
Anyone responsible for investigative interviewing where they need to determine the truth

課程大綱.Course Outline：
第一部分:.企業(yè)調(diào)查的現(xiàn)狀與挑戰(zhàn)
Part 1: Investigative Guidelines
一、企業(yè)調(diào)查的概況與原則
Introduction of Corporate Investigation
1.企業(yè)內(nèi)部調(diào)查的范圍、目的、對象
Purpose and objectives
2.企業(yè)內(nèi)部調(diào)查的本質(zhì)
Essence of investigation
3.企業(yè)內(nèi)部調(diào)查和刑事調(diào)查的異同
Deference between corporate investigation and criminal investigation
4.企業(yè)調(diào)查的原則
Fundamental principles and investigations

二、中國合規(guī)環(huán)境下的調(diào)查困境和挑戰(zhàn)
Challenges and Regulatory Environment in China
1.合法性問題
Legitimacy
2.調(diào)查主體
Investigators
3.外包風(fēng)險
Risk of investigative outsourcing
4.隱私政策
Privacy
5.文化沖突（傳統(tǒng)商業(yè)習(xí)俗、現(xiàn)代契約責(zé)任/中國語境和西方合規(guī)傳統(tǒng)的沖突）
Cultural conflict
6.法制約束的乏力和證據(jù)規(guī)則的滯后
China Anti.Corruption Laws and evidence rules

第二部分:企業(yè)內(nèi)部調(diào)查程序制定與優(yōu)化
Part 2: Optimize Investigative Process
案例分析：分析舉報信A
Case Study: When you receive an allegation A...
一、如何啟動調(diào)查
How to Initiate Investigation
1.初步分析舉報信息(匿名舉報、實名舉報、審計報告中的線索)
Allegation types (Anonymous source/Named Allegation/Findings by internal audit）
2.舉報內(nèi)容定性
Identify the nature of matters
3.劃定調(diào)查信息披露范圍
Creation of a “Need to Know” group

二、如何擬定調(diào)查計劃
How to Make an Investigative Plan
1.舉報信息驗證(初步分析檢舉線索的可信性、確認涉嫌問題的性質(zhì)、如何驗證舉報信
How to substantiate an allegation
小組互動：如何撰寫回復(fù)舉報人的郵件(模板、內(nèi)容、注意事項)
Case Sharing and Group Practice: How to Reply the Informant..(Practical Format/Tips)
2.調(diào)查目的
Investigative objectives
3.調(diào)查領(lǐng)導(dǎo)人
Investigation leader
4.調(diào)查組成員
Investigation team
5.外部調(diào)查資源(調(diào)查外包)
External investigative resources
6.調(diào)查對象
Subjects of the investigation
7.調(diào)查步驟和所需技術(shù)
Investigative steps and techniques
8.需要考慮的法律、隱私、策略問題
Legal, privacy and tactical issues
9.需要訪談人員名單
Individuals to be interviewed
10.調(diào)查任務(wù)計劃表
Task list and timeline
11.是否需要律師特權(quán)保護(*地區(qū))
Privilege determinations
12.調(diào)查費用的記錄
documentation of expenses
13.調(diào)查計劃的修改和更新
Review and revision of the investigative plan
14.需要搜集的證據(jù)
Evidences
小組互動：合作撰寫一份基于舉報信A的調(diào)查計劃
Group Practice: Draft an Investigation Plan based on Allegation A

三、取證技術(shù)和手段
Evidence Gathering Techniques
1.調(diào)閱信息(審計報告、業(yè)務(wù)數(shù)據(jù)、HR信息等)
Data mining (Audit Report/Business records/HR database etc)
2.調(diào)查訪談（流程控制人、證人、調(diào)查對象、舉報人和外部人員：專家、律師、代理商、供應(yīng)商、合作伙伴）
Interview (Process owner/Witness/Subject/Informant/External resource: subject matter expert, lawyer, partner, vendor, customer.）
3.隱蔽行動
Undercover operations
4.監(jiān)控（監(jiān)視和跟蹤）
Physical surveillance
5.搜查.(秘密搜查、空間搜查、文件柜搜查)
Search
6.竊聽或者錄音
Consensual recordings, eavesdropping
7.電子證據(jù)調(diào)查(調(diào)查工具、專業(yè)軟件、法律探討)
E.discovery (Forensic tools/Legitimacy of e.evidences）
8.即時聊天工具調(diào)查
Instant messager (QQ/MSN)
9.社交網(wǎng)絡(luò)調(diào)查(開心網(wǎng)、Facebook、微博、linkedIn等)
SNS search (Social Network Service) (Kaixin/Facebook/Blogs/linkedIn)
10.互聯(lián)網(wǎng)搜索
Internet search
11.IP地址和域名檢索
IP and domain check
12.手機信息調(diào)查
Mobile phone investigation
13.身份信息調(diào)查
ID search (China household registration records)
14.資信調(diào)查(工商企業(yè)信息檢索、外包調(diào)查)
Due diligence (Company info search in AIC)
15.詢價參考
Pricing referral

四、調(diào)查終結(jié)及其報告要素
Reports of Investigative Findings
1.調(diào)查報告的基本元素
Elements of investigation report
2.調(diào)查目的
Purpose
3.調(diào)查發(fā)現(xiàn)概括
Summary of investigation finding
4.調(diào)查過程簡介
Introduction of investigation process
5.調(diào)查結(jié)果分類(無事實、無法確定、有事實)
Classification of investigation results
6.調(diào)查備忘錄
Case closing memorandum
7.結(jié)論
Conclusion
8.人員處分建議
Suggestions of punishment
9.風(fēng)險評估和對業(yè)務(wù)的影響
Risk evaluation and impact on business
10.業(yè)務(wù)流程改進建議
Recommendation for process optimizing.

第三部分:.各種文件檢驗與真?zhèn)舞b定（文件、公章、發(fā)票、中標(biāo)書、學(xué)歷、筆跡等）
Part 3: Forensic document Examination
一、案例分析：舉報信B
Case Study: Allegation B…
1.文件檢驗的概念(研究對象以及任務(wù)和作用)
documentation Verification Concepts (Research object, Tasks and actions)
2.偽造文件的定義
Definition of falsification
3.認定偽造的條件
Verification techniques

二、檢驗技術(shù)的形成和發(fā)展
documentation Verification procedures, principles and guidelines
1.文件檢驗程序和基本原理
Verification procedure
2.檢驗程序(基本原理以及檢驗原則)
Identification principle
3.偽造公章和文件的法律責(zé)任
Legal Liability of Creating Forgery under Chinese Laws

三、現(xiàn)場演示：公章鑒定的原理
Showcase of Identification Skills
1.印章特征描述
Graphic characters of the chops
2.印章使用和鑒定的行為學(xué)分析
Identify fake chops by behavioral science
3.公章管理制度
Chop management regulation

四、如何鑒定發(fā)票中的問題
How to identify the rip in invoice
1.VAT發(fā)票鑒定
VAT (Value Add Tax) Invoice Identification Skills
2.從增值稅發(fā)票復(fù)印件票面破綻分析
Find the discrepancy
.驗票是否“八相符”
"8 Consistencies"
.驗章兩看
Checking chops
.合理性判斷
Retionalities
3.從企業(yè)歷史開票所附增值稅發(fā)票進行匯總分析
Analysis on the issued history
4.申請稅務(wù)部門認證
Verification through the tax authority
5.網(wǎng)上發(fā)票查詢
Validate the invoice through internet resource
6.從其他方面獲取的信息分析
Other useful resources to validate the invoice

五、普通發(fā)票真?zhèn)舞b別十法
Approaches for Verification Common Invoice
1.鑒別儀器
Identification equipment
.定額發(fā)票鑒定
Identification of fixed amount invoice
.中標(biāo)通知書鑒定
Identification of successful bid notice
2.學(xué)歷鑒定
Identification of diplomas

3.基于數(shù)字打印技術(shù)偽造文件的檢驗方法和技術(shù)
Scrutiny Skills based on Digital Image
.偽造公章檢驗
Fake company stamp and official chop
.偽造文本檢驗
Fake document
.偽造簽名的檢驗
Fake signatures

4.基于PS的偽造技術(shù)演示
Showcase Falsification Techniques based on Photoshop Software
.常用制假手段：復(fù)制、橡皮圖章、圖層功能
Popular falsify skills：copy image、imitate chop、layer
.復(fù)制簽名、更改合同金額、制作假合同模板
Duplicate signatures、tamper the amount、falsify the fake contract modules
.綜合制假手段：數(shù)字修改，打印輸出，掃描成像
Comprehensive methods：digital template + printing + scanner

5.基于PS的鑒定技術(shù)(改變對比度、像素分析)
Detecting Fake by Photoshop (Adjust Brightness & Sharpness, Examine the Pixels）
6.電子文檔屬性分析(OFFICE/Acrobat/PDF/PNG)
How to Analysis E.documents (OFFICE/Acrobat/PDF/PNG）
7.數(shù)碼圖像鑒定
How to Verify the Digital Images.

8.電子郵件分析
How to Analysis Email.
.郵件頭分析技術(shù)
Email head (Instructions to open headers for various email clients and services)
.郵件內(nèi)容真實性問題
Mail content
.附件真實性
Attachments

9.真件樣本檢索
Search the Genuine documents

10.筆跡鑒定的綜合方法與技術(shù)
Handwriting Identification Methods and Skills
.分別檢驗Separation approach
.判定檢材筆跡特征的真實程度
Determine the truthful of the handwriting
.發(fā)現(xiàn)和確定檢材筆跡特征
objective examine
.發(fā)現(xiàn)和確定樣本筆跡特征
Sample examine
.比較檢驗
Comparison approach
.比較單字或筆畫單個特征的相同與不同
Symbolic analysis
.比較各組特征的相同與不同；比較各類特征的相同與不同
Holistic grapholog
.綜合評斷
Integrative approach
.從筆跡鑒定的角度對漢字筆跡的分類
Analysis of Chinese character writing system
.從筆跡心理學(xué)對筆跡的分類
Handwriting category by psychograph

第四部分 如何進行正確的調(diào)查訪談
Part 4: How to Conduct Investigation Interview
一、調(diào)查訪談的考慮因素
What’s Interview.
1.傳統(tǒng)/法律定義
Traditional concept/ Legal concept
2.為何調(diào)查談話如此重要.
Why the Interview is important.
3.什么是調(diào)查談話應(yīng)該考慮到的因素.
What should be considered involved into the investigation interview.

二、互動游戲：訪談行為造成的信息損失和誤導(dǎo)
Interactive Game...Understand the Differences between Written and Verbal expression and How the Second Hand Information
1.指導(dǎo)規(guī)則Principals
2.技巧Skill
3.目的Purpose
4.策略Strategy

三、指導(dǎo)方針
Guidelines for Interviewing
1.規(guī)劃并且邀請目擊者前往安全而隱秘的環(huán)境展開談話
Schedule and invite the witness to a secure and private situation
2.準備問題大綱
Pursue a line of relevant questions
3.建立合作的氛圍，取得信任
Create an atmosphere that gains the cooperation
4.解釋保密的必要原因
Explain the need for confidentiality
5.控制談話的話題相關(guān)性與時長
Keep control of the interview for relevancy and time
6.談話指引
Additional guidelines for interviewing
7.注意事項
Notes on what you can do and what you cannot do

四、針對法律，當(dāng)?shù)仫L(fēng)俗及公司政策的一些考慮
Considerations on Legal Regulation, Local Custom, and Company Policy
1.無論如何都要合乎當(dāng)?shù)胤?是否可以錄音？是否需要簽字確認？)
Understand and follow local laws
2.尊敬當(dāng)?shù)仫L(fēng)俗
Respect local customs
3.認識到出于地域關(guān)系什么是可以接受與不可接受的
Recognize what is acceptable versus unacceptable

五、如何規(guī)劃調(diào)查性談話
How to Plan the Interviews
1.針對背景調(diào)查的一些準備工作
Background work
2.律師在場/人身威脅/談話地點
Attorney/Threat/Location
3.談話方法/筆錄/錄音問題
Approach/Notes/Recording
4.談話邀請函
Interview invitation
5.談話邀請函(樣本)
Interview Invitation Notification (Sample)

六、談話小組的角色分工與職能扮演
Roles of the Interview Panel
1.調(diào)查對象談話組成員和分工
Subject interviews
2.證人談話組成員和分工
Informative interviews (Informant/Witness/Process owner)

七、視頻分析+小組討論——不專業(yè)的審計調(diào)查案例
Video Study & Team Discussion——An unsuccessful Interview

八、針對不同對象的談話(舉報人/證人/主題/信息)
Interview skills for Different Respondent (Informant/witness/Subject/Informative)
1.受訪者須知
General advice to interviewees
2.非調(diào)查目標(biāo)談話
Interviews of employees who are not subjects
3.調(diào)查目標(biāo)談話
Interviews of employees who are the subject of an investigation

九、如何設(shè)計和優(yōu)化您的談話筆錄.(語言技巧/格式/問題列表等)
How to Design and Optimize Your Interview Notes (Language skill/Format/Question list etc.)
1.談話問題大綱
Outline of interview topics and questions
2.談話筆錄需要考慮到的因素
Interview note considerations
3.筆記的標(biāo)題
Head of the notes
4.開場白
Opening statement
5.談話結(jié)束
Closure of the interview
6.簽名
Signature
7.準備并且儲存文件
Prepare and store documentation
十、小組互動：設(shè)計調(diào)查訪談提綱(舉報人、證人、調(diào)查對象)
Team Discussion：Design a Question List for the Subject based upon Allegation
十一、模擬調(diào)查訪談：角色扮演
Simulated Interview and Role Play.

第五部分:如何有效追訴當(dāng)事人的刑事法律責(zé)任
Part 5: How to Pursue the Criminal Responsibility of the Wrongdoers.
1.是否要追究刑事法律責(zé)任？
Possibility of file case to authority
2.經(jīng)濟犯罪案件立案程序、標(biāo)準
The procedures, standards for economic crime case
3.檢舉人需要提交的證據(jù)材料
How to manage the evidence list.
4.如何提交有效的電子證據(jù)
E.evidence consideration
5.定罪量刑的標(biāo)準和司法解釋
Guideline of measuring the crime under China’s Law
6.附帶民事訴訟問題
Civil lawsuit
7.與執(zhí)法機關(guān)的配合問題
Cooperation with the law enforcement agencies.

第六部分:如何在當(dāng)前法律環(huán)境下使用外部調(diào)查資源
Part 6: How to Explore and Use External Investigation Resource.
1.中國主流企業(yè)反舞弊調(diào)查機構(gòu)(商務(wù)咨詢公司、保安服務(wù)公司、偵探社)
Current investigation entities (Business consultant/Security service/Detective agency)
2..如何選擇合適的有資質(zhì)的調(diào)查公司
Qualify the investigative partners
3.如何選擇法證技術(shù)公司（硬盤拷貝、電子證據(jù)恢復(fù)、計算機網(wǎng)絡(luò)行為監(jiān)控、互聯(lián)網(wǎng)信息監(jiān)控）
IT forensic service (HDD imaging/Data recovery/Network monitor/Internet investigation)
4.如何管理和監(jiān)督調(diào)查供應(yīng)商的職業(yè)道德和合法性
How to manage and oversee the survey vendor’s professional ethics and legality
5.如何保護調(diào)查過程中向供應(yīng)商披露的公司商業(yè)機密和敏感文件
How to protect the company’s trade secrets and sensitive files disclosed to the vendor during the investigations period
6.如何控制調(diào)查成本
How to control discovery costs
7.如何防范使用調(diào)查公司帶來的風(fēng)險
How to prevent the investigation risks of company

關(guān)于講師.About the Trainer：
Wesley Fan
前亞太區(qū)安全調(diào)查總監(jiān)，沃爾瑪中國
范先生擁有超過十年調(diào)查工作經(jīng)驗，包括多年刑偵調(diào)查及企業(yè)內(nèi)部調(diào)查經(jīng)驗。范先生于2000年畢業(yè)于華東政法大學(xué)。在此后的7年中，他任職于上海市公安局刑事偵查部門，主要負責(zé)打擊和偵破暴力犯罪和有組織的犯罪，在此期間范先生累積了大量的案件調(diào)查與偵破的經(jīng)驗，被提升為探長。之后，范先生先后加入惠普和施耐德電氣工作，任北亞區(qū)調(diào)查經(jīng)理和商業(yè)合規(guī)經(jīng)理。自2014年4月，范先生加入沃爾瑪中國，擔(dān)任亞太區(qū)安全調(diào)查總監(jiān)。他主要擔(dān)當(dāng)負責(zé)的工作涉及旨在為跨國企業(yè)降低運營風(fēng)險而開展全方位的企業(yè)內(nèi)部調(diào)查，包括銷售審計，涉及觸犯FCPA(*海外反腐敗法)的調(diào)查，利益沖突調(diào)查，盡職調(diào)查，公司背景審查，對商業(yè)道德標(biāo)準的執(zhí)行，對灰色市場的調(diào)查，防范采購的舞弊及進行復(fù)雜的網(wǎng)絡(luò)犯罪和法證電子證據(jù)調(diào)查。
此外，范先生是多個法證協(xié)會會員，包括中國計算機法證技術(shù)大會，高科技犯罪調(diào)查組織及*道德合規(guī)協(xié)會、*注冊反舞弊調(diào)查師協(xié)會。
Wesley graduated from East China University of Political science and Law. He has 7 years experience as a chief detective with criminal investigation department for Shanghai PSB specializing in the investigation and prosecution of violence and organized crime groups. He joined HP in 2007 as the north Asia investigation manager and then he joined.Schneider Electric.China as the Compliance Manager. From April, 2014, Mr. Fan joined Walmart China to serve as theRegional Director of AisaSecurity&Investigations. He is mainly responsible for risk mitigation, regulatory compliance, standards of business conduct enforcement, grey marketing investigation, complex cyber and forensic investigations and so on. He has highly experienced corporate investigation skills and offered effective fraud examines and data mining services across a country wide range of operation.
Furthermore, Wesley is also the member of CCFC, HTCIA，ECOA and ACFE.

范先生培訓(xùn)過的學(xué)員包括：
3M，博世，衛(wèi)材藥業(yè)，金佰利，力堅消防，先聲藥業(yè)，UT斯達康， 阿克蘇諾貝爾，邦基集團，福斯?jié)櫥停Y來，百事，SOHO，徐工集團，美鋁中國，佳能，廣東大鵬，錦江麥德龍，羅氏，史賽克，喜威，阿爾斯通電網(wǎng)，奇瑞汽車，格蘭富水泵，默沙東，圣戈班，斯沃琪集團，益海嘉里，阿特拉斯.科普柯，庫柏，華為，美的，三一集團，臺積電，煙臺萬華，拜爾，東風(fēng)康明斯，宜家，敏實，SAP，聯(lián)合汽車電子

企業(yè)內(nèi)部調(diào)查與舞弊風(fēng)險防范公開課