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企业反舞弊调查访谈、取证技巧及内部控制全面指导 下载课程WORD文档
添加时间:2019-02-14      修改时间: 2019-02-14      课程编号:100287446
《企业反舞弊调查访谈、取证技巧及内部控制全面指导》课程详情
点击下载课大纲及报名表
特邀500强调查服务专家罗仁才(Richard Luo)全方面实务分享:
如何做好取证前的准备工作,运筹帷幄?  
如何寻找突破口巧妙斩获重要的言辞证据?  
如何对已掌握的言辞证据进行进一步的印证?  
如何切实掌握证人的心理?  
如何收集实务证据并且避免其风险漏洞? 
如何对文件及票据进行检验? 
如何巧用电子技术获取有效证据? 
如何进行尽职调查? 
如何处理匿名举报? 
如何与外部调查资源珠联璧合?……


课程背景 Course Background:
在公司内部的违法违规活动调查中,有两个关键的环节起着决定性的作用:一是调查人员与相关同事的访谈询问;一是穿插于调查整个过程的电子取证环节。舞弊调查访谈因其随机性与个案性的特点,通常被认为是难以掌握的调查技能;而电子证据作为一种新兴的证据类型,其取证技巧目前也还是公司治理运营与内部控制的操作难点。
特邀专为500强企业提供安全服务咨询的调查专家罗仁才(Richard Luo)先生来同我们分享在过去的刑事侦查以及企业咨询所积累的企业反舞弊调查技巧。
During an investigation against illegal cases, there are two critical steps: 1) interviewing colleagues; 2) obtaining digital evidence throughout the investigation. Because the questions in an anti-fraud interview are not standardized and should be adapted to specific conditions, the interview is considered as a difficult investigation skill; meanwhile, as digital evidence, a kind of unconventional evidence, is hard to obtain, the collection skills are still tough tasks during enterprise government, operation and internal control.
W.R Consulting invitedMr. Richard Luo, an expert investigator that provides security services to Global 500, to share his experience about criminal investigation and skills of anti-fraud investigation gained as a consultant.


课程大纲 Course Outline:
第一部分:言词证据的调取及风险防范
Part I: Retrieving Testimony and Risk Precautions
一、做好取证前的准备工作
Preparation work before collecting evidence
1.合理邀请相关部门
Reasonably invite concerning departments
一般而言,我们要邀请参加谈话的部门是HR和对应谈话人的管理层。但就具体事件而言,可以扩展至安全、法务、财务及更多。
Generally, we will interview HR and corresponding supervisors. However, in specific cases, personnel from security, legal, financial departments and the like may also be interviewed.
2.仔细了解事件情况
Understand the event carefully
1)了解事件的方法(观察、调查、走访、咨询)
Methods to understand the event (observation, investigation, interview and consultation)
2)需要了解的内容
Matters to be known
A.事件六要素
Six factors of the event
B.嫌疑人基本情况
Basic information of the suspect
C.证据及证明人的情况
Information about the evidence and witnesses
D.利害关系人的基本情况
Basic information of the shareholders
3.详细分析案件情况
Deliberately analyze the case
1)根据现场分析
Investigate the scene
A.有无破坏
Damage
B.有无反常
Abnormality
2)根据行为造成的后果分析
Analyze the case on the basis of the consequence
3)根据事件的特点和规律分析
Analyze the case on the basis of the features and patterns of the event
4)根据涉案人的家庭及自身性格特点分析
Analyze the case on the basis of the features and patterns of the event
4.访谈方案及防范设计
Establish interview protocols and design precautionary measures
1)熟悉事件经过
Know well about the event
2)明确目的与要求
Identify purposes and re-quirements
3)明确步骤与重点
Identify procedures and focuses
4)突破口的选择
Select critical points to break the deadlock
5)可能出现的辩解与解决方法(后补发票)
Potential excuses and countermeasures (e.g. invoices to be supplemented later)
6)可能提出的条件与回答(保密,主动辞职)
Offers re-quired by the involved and countermeasures (e.g. confidentiality and resign)
7)如何应对谈话僵局
Methods to break deadlock
8)谈话中的紧急情况与处置办法(列举情况)
Emergencies and countermeasures (cases)
二、言词证据获取技巧及风险防范
Skills for obtaining testimony and risk precautions
1.第一次谈话
1st interview
1)第一次谈话的特点
Characteristics
A.被谈话对象的特定性
Specific interviewee
B.第一谈话的重要性
Importance
C.第一谈话的规范性
Normalization
2)第一次谈话的作用
Functions
3)第一次谈话的要求
re-quirements
4)第一次谈话的步骤
Steps
A.询问基本情况
Inquire about basic information
B.告知其享有的权利
Inform the interviewee of his/her rights
C.向其提出问题
Raise questions
5)第一次谈话的方法
Methods
A.因人而异选择开头方法
Adapt the first sentences to the interviewee
B.掌握时机,适时切入主题
Introduce the subject at the right time
C.结束谈话,恰到好处
End the interview at the right time
2.谈话突破口的选择
Selection of points to break deadlock
1)从心理上突破
Psychology
A.侥幸心理的突破
Fluke mind
B.畏罪心理的突破
Fear for punishment
C.顾虑心理的突破
Worry
2)从情节上突破
Plot
A.选择其最担心的情节突破
The plot that worries the interviewee most
B.选择其最放心的情节突破
The plot that comforts the interviewee most
C.选择证据确凿的情节突破
The plot that features abundant evidence
D.选择特殊行为突破
Particular behaviors
3)从个人特点上突破
Personal characteristic
A.针对不同性格的人采取不同谈话方法
Change methods according to personalities
B.作息规律,适应性,个人特点等综合分析
Analyze the interviewee from his/her daily routine, adaptability and features
C.从其对事业生家庭的责任感找出突破口
Evoke the interviewee's sense of responsibility towards career and family
D.动机决定行动
Find out motives
三、常见言词证据的印证及调查方式
Methods for verifying and inquiring into typical testimony
1.以现场为中心调查取证
Scene-based investigation
1)保护好现场
Protect the scene
2)及时全面收集在场人员名单
Timely and thoroughly collect the list of people present
3)及时进行现场拍照截图
Timely photograph the scene
4)现场提取物品要客观实际
Objectively extract evidence
5)注意对相关现场的检查保护
Investigate and protect relevant scenes
2.以谈话为中心调查取证
Interview-based investigation
1)根据谈话的事实内容
On the basis of facts
2)根据提供的线索
On the basis of clues
3)根据被谈话人的辩解
On the basis of excuses
4)与现场等其它证据结合
In consideration of other evidence (e.g. scene)
3.以相对人陈述为中心调查取证
Counterpart-based investigation
1)根据陈述的情节
On the basis of plots
2)根据陈述提供的线索
On the basis of clues
3)与其它证据结合
In consideration of other evidence
四、对几种重要证人的调查取证
Evidence gathering from several material witnesses
1.对知情人的谈话及调查取证
From the informant
2.对共同涉案人的谈话及调查取证
From the common suspect
3.对利益损害者的谈话及调查取证
From the victim
1)了解利益相对人的心理(愤恨、报复、恐惧、羞怯)
Understand the victim's feelings(e.g. anger, revenge, fear, timidity)
2)影响陈述真实性的客观原因(时间、地点、环境、自身状况)
Find out facts that affect authenticity of the statement (time, place, environmentally and personal conditions)
3)谈话方法(消除不良心理,讲究策略)
Choose proper methods of communication (ease negative emotions and use suitable strategies)
4)审查判断陈述的真实性
Judge if the statement is authentic
第二部分: 实物证据的调取及风险防范
Part II: Retrieving Physical Evidence and Risk Precautions
一、收集运用实物证据常见问题及风险防范
Typical problems about collecting and using physical evidence & precautions against such problems
1.收集证据常见问题及解决方法
FAQ - Collection of evidences
2.固定证据常见问题及解决方法
FAQ - Fixing evidence
3.运用证据常见问题及解决方法
FAQ - Use of evidences
二、文检基础知识
Basic knowledge of document examination
1.笔迹检验
Handwriting examination
1)书写文字特征
Handwritten character characteristics
2)文字布局特征
Text style characteristics
3)标点符号特征
Punctuation mark
4)摹仿笔迹的特征
Imitated handwriting characteristics
2.文件检验
Document examination
1)印刷文件检验
Printing document examination
2)污损文件的检验
Stained document examination
3.印章检验
Seal examination
第三部分:电子证据取证技巧及风险防范
Part III: Skills for Collecting Digital Evidence and Risk Precautions
一、电子证据概述
Introduction
1.电子证据概念及特征
Concepts and features
2.电子证据的立法状况
Legislative status
3.电子证据立法内容前瞻
Prospect of legislation
二、电子证据来源和收集
Source and collection
1.电子证据的三方面来源
Three sources
1)存储介质中(硬盘、U盘、光盘等)
Memories (hard disks, USB flash disks, compact disks)
2)电磁辐射中(包括显示器辐射、通信线路辐射、主机辐射和输出设备辐射)
Electromagnetic radiation (including radiation from screens, telecommunication lines, host computers and output devices)
3)传输线路中(线路的监听截取数据,反监听)
Transmission lines (monitoring & anti-monitoring)
2.电子证据收集概念
Concept of collection
3.电子证据收集的范围
Scope of collection
4.电子证据收集规则
Rules of collection
5.电子证据的收集方法
Methods of collection
1)一般电子证据收集
Collecting typical evidence
A.现场保护: 封锁现场,封锁电脑区域,摄像监控,切断远程控制,封锁涉案终端设备和物品
Scene protection: keep irrelevant people out of the scene, block the IT district and camera surveillance, cut remote control and prevent unauthorized access to equipment and objects involved in the case
B.现场访问: 访问系统管理员,部门负责人,终端用户及知情人
Scene interview: interview system administrators, department supervisors, terminal users and informants
C.现场调查: 网络工作人员调查、计算机技能调查、动机调查、网络案例情况调查、特殊人员调查、周围环境调查
Scene investigation: conduct investigation about network personnel, computer skills, motives, network cases, special personnel and environment
2)特殊电子证据收集
Collecting special evidence
A.手机短信息电子证据的收集
Instant messages
B.电子邮件形式电子证据的收集
E-mails
C.网络聊天类电子证据的收集
Internet chatting records
D.数码照片形式电子证据的收集
Digital photos
6.电子证据收集要求
re-quirements for collection
7.电子证据收集技术
Technology for collection
8.Windows系统的反取证技术
Windows applications impeding evidence collection
三、电子证据形式Form
1.证据几种常见形式的回顾
Common forms
2.电子证据形式界定的混乱
Confusing definition
3.电子证据形式的发展及要解决问题
Development and problems
4.电子证据的证明力
Degree of proof
四、电子证据的保全和效力
Preservation and legal effect
1.电子证据的常规保全
Normal preservation
2.电子证据的公证保全
Preservation by notarization
3.电子证据的保全原则及方法
Principles and methods for preservation
4.电子证据的保全技术
Technology for preservation
5.电子证据的效力分析
Analysis of legal effect
五、电子证据的认定
Determination
1.电子证据认定(真实性、关联性、合法性)
Determination (authenticity, relevance and validity)
2.电子证据证明力认定(可靠性、完整性)
Determination of the degree of force (reliability and completeness)
1)电子证据鉴定方法(鉴定机构、鉴定人员、鉴定程序/种类及规范)
Methods of authentication (agencies, authenticators, procedures, types and regulations)
第四部分: 尽职调查技巧及风险防范
Part IV: Skills for due diligence investigation and risk precautions
一、贪腐案件概述
Corruption
1.案件的种类及成因分析
Types and courses
1)侵占资产(支付舞弊、工资舞弊、报销舞弊、收银舞弊、盗窃舞弊)
Misappropriation of assets (including payments, salaries, reimbursement, money collection and steal)
2)贪污腐败(利益冲突、贪污贿赂、招投标舞弊、工程舞弊)
Corruption (including conflicts of interests, bribery and corruption, and malpractices about bidding and projects)
3)财报舞弊(虚假收入、低估负债、不恰当资产估值)
Financial statement fraud (including misrepresentation of incoming, understatement of liabilities and false appraisal of assets)
2.证据调查及风险防范
Evidence investigation and risk precautions
1)指示性证据
Indicative evidence
2)证实性证据
Confirmatory evidence
A.舞弊征兆调查
Investigating signs of fraud
B.预警信号收集
Collecting early warnings
3.证实性证据的调查方法
Methods for investigation of confirmatory evidence
1)监控正在进行的交易,以取得更多证据
Monitor on-going transactions for more evidence
2)询问知情人,掌握更多信息
Interview informants to gain more information
3)认真审核已经发生的同类型交易的凭证、单据
Carefully audit vouchers and bills of previous similar transactions
4)通过硬盘镜像等手段,保全嫌疑人的电子信息
Keep the suspect's data in hard disks by making mirror image
5)通过网络查找更多信息,论坛帖子、微博、网络广告信息
Collect more information through the Internet, such as gaining information from BBS, Weibo and online ads
6)同第三方的面谈、联系或核实证据
Interview and communicate the third party and verify the evidence
二、匿名举报的处理技巧及风险防范
Skills for handling anonymous information and risk precautions
1.接收匿名信息时应确定的信息
Information to be determined after receipt
1)信息是如何传递的(邮件、信件、手写、打印)
Transmission methods (e-mail, letter, handwriting, printing)
2)信息发出的时间、地点、发给何人
Time & place of delivery and the addressee
3)举报的内容
Content
4)为何举报,可能的动机
Reasons and possible motives
2.决定如何调查
Investigation methods
1)匿名无实证的举报
Information without evidence
2)匿名实证的举报
Information with evidence
三、如何使用外部调查资源
Investigation with external resources
1.外部调查资源的种类(商务咨询公司、保安服务公司、侦察社)
Types of external investigation resources (business consultants companies, security companies and detective agencies)
2.如何选择合适的有资质的调查公司
How to choose qualified investigation companies?
3.如何防范使用调查公司带来的风险
How to prevent risks from engaging investigation companies?
4.如何有效追诉刑事法律责任?
How to pursue the criminal responsibility?

《企业反舞弊调查访谈、取证技巧及内部控制全面指导》培训受众
谁该来参加 Who Should Attend: 首席合规官/合规总监/合规经理 Chief Compliance Officer / Compliance Director / Compliance Manager 首席财务官/财务总监/财务主管 CFO / Finance Director / Finance Controller 内审/内控总监/经理 Internal Audit / Internal Audit Director / Manager 法律顾问/法务部经理/主管 Legal Counsel / Legal Manager / Supervisor 风险管理总监/经理 Corporate Risk Management Director / Manager 调查总监/经理 Investigation Director / Manager 企业调查相关人士,包括人力资源总监/经理等 Anyone responsible for investigative interviewing where they need to determine the truth

《企业反舞弊调查访谈、取证技巧及内部控制全面指导》所属分类
财务税务

《企业反舞弊调查访谈、取证技巧及内部控制全面指导》所属专题
内部控制与企业风险管理内控培训内部控制培训内部控制与企业风险管理培训内部控制与内部审计管理培训企业重组

《企业反舞弊调查访谈、取证技巧及内部控制全面指导》授课培训师简介
罗仁才
关于讲师 About the Speaker:
Richard Luo罗仁才
罗先生现任世界著名安全服务公司营运总监,负责客户的安全及调查事务、重大安保项目的安全防范设计,在公司资产防损,商务调查,安全及调查队伍组建等方面有近20年运作经验。客户主要为世界500强企业,曾在北京、上海、广州等地,帮助IT、物流和零售等国际公司成功解决调查过程中遇到的难题。在此之前,他在中部某市公安部门工作,指导刑警大队重案组,负责重大案件侦破。
罗先生曾担任某国际物流公司高级安全调查专员、独立负责华南区各项调查及安全事务,包括对公司高管开展背景调查,启动内部反舞弊调查,实施风险防范工作。此后,罗先生还曾担任国际一流零售巨头的区域风险防范部经理,负责监督区域的法律风险防范工作,指导各城市门店规范安全预案,提高调查水平,规划法律预案,根据门店、人力资源部门实际需求提供法律解决方案,监督、指导、协调和激励各风险防范和内控部门做好配合工作。
罗先生毕业于中国人民公安大学,后继续学习并获得法学硕士。近年来,先后在北京、上海、深圳等地和国际知名培训机构合作,举办超过200次培训,受众近万人。并受邀为家乐福、索尼爱立信、美的等多家大型中外企业举办内训,其扎实的专业知识和丰富的实操案例,诚恳的敬业精神,受到培训机构与学员的高度评价。
Mr. Luo, the Chief Operating Officer of a worldwide famous security service company, is engaged in security design of security and investigation of client and major security project and has near 20 years of experience in loss prevention of company asset, business investigation, security and investigation team establishment. He has served several World Top 500 enterprises and has successfully addressed the investigation difficulties for global companies of IT, logistics and retails fields in Beijing, Shanghai, Guangzhou, etc. Mr. Luo has been served a public security department in a city in central China, being responsible for guiding the Major Case Squad of Criminal Police Unit and detection of major cases.
Besides, Mr.Luo was once a senior security commissioner in an international logistics company to take charge of the investigation and security business in South China, including background investigation for company senior manager, corporate internal anti-fraud investigation, risk prevention, etc. Moreover, he has been a regional risk prevention department manager in one international leading retail giant, for supervising the regional legal risk prevention, guiding the regulation of security plan of city stores, improving investigation level, planning legal plans. Besides, provision of legal solution based on actual re-quirements from stores and human resource departments, supervision, guidance, coordination and encouraging the cooperation of risk prevention and internal control departments were also under his responsibilities.
Mr. Luo was graduated from People's Public Security University of China and obtained LLM through continuous education. In recent years, he has held more than 200 trainings and taught near 10,000 people with the cooperation with international famous institutions in Beijing, Shanghai, Shenzhen, etc. He was invited by several large and medium enterprises like Carrefour, Sony Ericsson, Midea for training and was highly praised by the training institutions and students with sound professional knowledge, practical case and sincere dedication.
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2019-03-25 新《劳动合同法》《工伤保险条例》实操应对技
2019-03-25 从技术走向管理—研发经理的领导力与执行力
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2019-03-25 金牌面试官——高效招聘与精准面试法高级研修
2019-03-25 如何打造高效的研发团队 --研发人员选、育、
2019-03-25 市场驱动的新产品开发流程和研发项目管理
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2019-03-25 TTT—内部培训师培训
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