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Dec. 4 Virtual Training: Conducting Remote Investigations; FINRA Trends

December Virtual Training: 
- Conducting Remote Investigations
- FINRA: Overview, Trends and Case Study

 


Register now for our upcoming December training, to be held Friday, 12/4/2020 from 8:50 am to 12:00 noon.

This will be a virtual training via Zoom, free to chapter members and $10 for non-members. To attend, be sure you have a good internet connection and a computer or mobile device equipped with Zoom.

How to Access the Training:

Prior to the event, you'll receive an email from the Boston Chapter with a link to the Zoom training. Please be sure your email on your profile is current so you can receive this email. (If you register and don't receive an email, please check your Spam, Clutter or Junk folders.)

CEUs: 3


Fee: Free to members; $10 to non-members


Agenda:


8:50-9:00 AM Welcome
Peter Soule, President, ACFE Boston Chapter 

9:00-10:30 AM: Conducting Remote Investigations
Presented by Mike Brodsky, Managing Director - Regulatory, Forensics & Compliance
Deloitte Financial Advisory Services LLP 



About the Presenter:


Mr. Brodsky has over twenty-five years’ experience providing forensic accounting, investigative, dispute resolution, auditing and regulatory/operational compliance consulting services.  He has extensive experience in performing investigative, forensic, remediation and compliance projects working with clients both in the United States and throughout the world across a variety of industries including life sciences, financial services, sports, and consumer products.  

Mike also has participated in investigative, remedial and operational/compliance projects as well as regulatory investigations involving revenue recognition, financial statement reporting and disclosure fraud, mortgage backed securities, Ponzi schemes, asset misappropriations involving money transfers and wire fraud, and potential violations of the Foreign Corrupt Practices Act (FCPA) and other global anti-bribery and corruption laws.  He has presented investigatory findings to a variety of regulators including the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), Financial Industry Regulatory Authority, Inc. (FINRA) and various state regulatory bodies.

He is one of the leaders of Deloitte Advisory’s New England forensic accounting, investigations and disputes practice and he is the leader of both Deloitte’s firmwide fraud specialist network and anti-fraud programs and controls offerings.  He has written, presented and spoken on fraud, corruption and other risk and regulatory matters.  Prior to joining Deloitte Advisory, Mike spent 12 years as a financial statement auditor with Deloitte & Touche LLP and another Big Four CPA firm where he audited clients in the life sciences and consumer products industries.

Prior to joining Deloitte Advisory, Mike spent 12 years as a financial statement auditor with Deloitte & Touche LLP and another Big Four CPA firm.

Mike has also broadcast college basketball games for ESPN Radio and has been a freelance sportswriter for over 25 years.
Mike is a graduate of Northeastern University in Boston, where he graduated summa cum laude with a Bachelor of Science in Business Administration, with concentrations in accounting and finance.

10:30-10:35 AM Break

10:35 AM-12:00 PM  FINRA: Overview, Trends and Case Study
Robert M. Sulik, FINRA, Surveillance Director

About the Presenter:

Robert M. Sulik has been with FINRA for 33 years and is located in the Boston Office location.

He is currently a Single Point of Accountability for Capital Markets M&A Investment Banking group which entails approximately 750 member firms.  In this new role that began in January 2020, he oversees the risk monitoring team and will coordinate with examination program management on the execution of examinations for the group. 

More specifically this involves the ongoing risk monitoring and risk assessment of members firms, as well as the planning and execution of examinations.  Previous management roles at FINRA have included being a Surveillance Director and an Associate Director in the Boston office for the past 20 years.  He worked in other FINRA locations as well, having been an Examiner in the Cleveland and Denver offices and an Examination Manager in the San Francisco office. 

Mr. Sulik has a Bachelor degree in Finance from Miami University Oxford, Ohio and a Master Degree in Finance from University of Colorado Denver..
 
When:
Friday, December 04, 2020, 8:50 AM until 12:00 PM
Contact(s):
John J Drummey
Category:
Training
Registration is required before Thursday, December 03, 2020 at 6:00 PM
Payment In Full In Advance Only
How to Access the Training: Prior to the event, you'll receive an email from the Boston Chapter with a link to the Zoom training. Please be sure your email on your profile is current so you can receive this email. (If you register and don't receive an email, please check your Spam, Clutter or Junk folders.)
No Fee
$10.00