1 Table of contents 238

12101324 Licensing & Investigations Training Book

Master Cover		1
FINAL IGA IAC Watch Party		2
NYNY Meeting Room Map		4-5
A. Agenda		6
B. Elements Found in Great Investigations		7
C. Coordinating Fraud Investigations		27
D. Financial Statements from Certified Fraud Investigators Point of View		46
E. Commission Casino Fraud:Embezzlement:Cheats:Scams		60
F. Vetting Your Vendors Best Practices		81
Slide 1		81
Slide 2: Scope of Screen		82
Slide 3: Screening the Company		83
Slide 4		84
Slide 5: SOS Business Entity Search		85
Slide 6: Dunn & Bradstreet (D & B Search)		86
Slide 7: Viability 1 Score		87
Slide 8: Viability 2 Score		88
Slide 9: PAYDEX Scores		89
Slide 10: Screening the Company		90
Slide 11: Screening the Company		91
Slide 12: Screening the Company		92
Slide 13: Screening the Company		93
Slide 14: Screening the Principals		94
Slide 15: Screening the Principals		95
Slide 16: Screening the Principals		96
Slide 17: Screening the Principals		97
Slide 18: Screening the Principals		98
Slide 19: Screening the Principals		99
Slide 20		100
Slide 21: International Screening is Growing		101
Slide 22: International Screening FAQ & Myths		102
Slide 23: International screening faq & myths		103
Slide 24: International Screening FAQ & Myths		104
Slide 25: International Screening FAQ & Myths		105
Slide 26: International Screening FAQ & Myths		106
Slide 27: International Screening Products		107
Slide 28: International Criminal Records		108
Slide 29: Top 20 Countries Criminal Records		109
Slide 30: Top 20 Countries Criminal Records		110
Slide 31: How to Validate Canadian SIN		111
Slide 32: How to Validate Canadian SIN		112
Slide 33: How to Validate Canadian SIN		113
Slide 34: Other searches		114
Slide 35: Screening in China and Japan		115
Slide 36: Screening in Mexico		116
Slide 37: Screening in India		117
Slide 38: Screening in Canada		118
Slide 39: International Screening in Gaming		119
Slide 40: International Screening Delays		120
Slide 41: International Screening Concerns		121
Slide 42		122
Slide 43		123
Slide 44		124
Slide 45: What is GDPR		125
Slide 46		126
Slide 47		127
Slide 48: GDPR Key Principles		128
Slide 49		129
Slide 50: Personal Privacy Rights		130
Slide 51: Subject Access Request		131
Slide 52: Legal Basis		132
Slide 53: Consent		133
Slide 54: GDPR Resources		134
Slide 55		135
Slide 56: Due Diligence		136
Slide 57: Professional Screening Agency		137
Slide 58: Selecting a Provider Checklist		138
Slide 59: Deceptive Marketing		139
Slide 60		140
Slide 61: Latest Trends & Technology		141
Slide 62: Social Media		142
Slide 63: IRS Tax & Earnings Report		143
Slide 64: Social Media		144
Slide 65: Social Media		145
Slide 66: Social Media		146
Slide 67: References & Verifications		147
Slide 68: References & Verifications		148
Slide 69		149
Slide 70: Due Diligence		150
Slide 71: Best Practices Checklist		151
Slide 72: SSN Verification		152
Slide 73: SSN Verification / Trace reports		153
Slide 74: SSN Verification Lesson		154
Slide 75: SSN Trace Vendor 1		155
Slide 76: SSN Trace Vendor 2		156
Slide 77: SSN Trace Lesson		157
Slide 78: Criminal Records 2.0		158
Slide 79: Criminal Searches		159
Slide 80: Criminal Record Risks – Online v. County		160
Slide 81: FBI – NCIC Fingerprint		161
Slide 82: FBI Lesson		162
Slide 83: FBI Lesson		163
Slide 84: National Commercial Databases		164
Slide 85: Databases - continued		165
Slide 86: Databases - Continued		166
Slide 87: Databases - Continued		167
Slide 88: Databases - Continued		168
Slide 89: Online County Records		169
Slide 90: Online County Records		170
Slide 91: Online Lesson		171
Slide 92: Online Lesson		172
Slide 93: County Criminal Records		173
Slide 94: County Lessons		174
Slide 95: Reporting Restrictions		175
Slide 96: State Repositories		176
Slide 97: State Repository Delays		177
Slide 98: State Reporting Lesson		178
Slide 99: State Reporting Lesson		179
Slide 100: State Repository Lesson		180
Slide 101		181
Slide 102: Federal Lesson		182
Slide 103: Federal Lesson		183
Slide 104: Civil Records		184
Slide 105: Civil Record Lesson		185
Slide 106: Civil Record Lesson		186
Slide 107: Resources		187
Slide 108		188
Slide 109: Thank You		189
G. Due Diligence for Casino Licensing Best Practices		190
Slide 1: IGA: Master Certification Series		190
Slide 2: Presented by		191
Slide 3: Ethics, Morals, Roles and Responsibilities: But Why?		192
Slide 4		193
Slide 5: Ethics		194
Slide 6: Code of ethics and/or morals		195
Slide 7		196
Slide 8: Ethics – Tribal Gaming		197
Slide 9: Signs of Ethical Collapse		198
Slide 10: Ethical principles for Hearings Officials		199
Slide 11		200
Slide 12: Conflict Management		201
Slide 13: Principles for Code of Ethics		202
Slide 14: What does Fiduciary Responsibility Mean?		203
Slide 15: Fiduciary Responsibility		204
Slide 16: Fiduciary Responsibility		205
Slide 17: Fiduciary Responsibility		206
Slide 18: Fiduciary Responsibility		207
Slide 19: Understand the Roles And Responsibilities Ordained To You		208
Slide 20: Governing Documents		209
Slide 21: Due Process, What is it?		210
Slide 22: Due Process In the Workplace		211
Slide 23: Where do I find Due Process in our Structure?		212
Slide 24: Where do I find Due Process in our Structure?		213
Slide 25: What Happens If Due Process Is Not Followed?		214
Slide 26: Due Process Protection		215
Slide 27: Questions?		216
H. Steps in Assuring Licensee Due Process Roghts are Adhered to		217
Slide 1: Licensing case studies		217
Slide 2: Licensing scenario #1: Slot Company		218
Slide 3: License scenario #2: ceo (primary management official)		219
Slide 4: Licensing scenario #3: Marketing manager		220
Slide 5: Licensing scenario #4: non-gaming vendor		221
Slide 6: Licensing scenario #5:Marketing promotions		222
I. Hearing Preparation for You and Your Team		223
Slide 1: Preparing for a Hearing; TGA Team Members		223
Slide 2: Fun Facts		224
Slide 3		225
Slide 4: Preparing for a Hearing		226
Slide 5: Preparing for a Hearing: Keep calm		227
Slide 6: Preparing for a Hearing: Modify your statement if you need to. Especially if your statement was not accurately captured.		228
Slide 7: Preparing for a Hearing		229
Slide 8: Preparing for a Hearing		230
Slide 9: Preparing for a Hearing		231
Slide 10: Preparing for a Hearing		232
Slide 11: Hearing Panel Checklist		233
Slide 12: Hearing Panel Checklist		234
Slide 13: Hearing Panel Checklist		235
Slide 14: Hearing Panel Checklist		236
Slide 15		237
Slide 16		238

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