Incident Report Case Number: $240017$

Date: January $26$ Source: Call Center

Incident Type: Client Complaint Resolution: Refer to Investigation Unit

Incident Summary

At $10$:$20$ am on January $25,$ the call center was contacted by Mrs$.$ J$.$ Devine. After passing the

client authentication protocol, J$.$ Devine inquired about the status of her $$1,400$ investment

interest revenue payment which she expected to receive on January $1$ as per the investment

contract.

J$.$ Devine provided the contract number INV$123234.$ The call center associate searched the

client administration system but did not find that contract or any investment contracts owned

by J$.$ Devine. The associate did find an active $$30,000$ life insurance policy which was sold to J$.$

Devine by agent A$.$ Beecee ten years ago.

The call center associate asked J$.$ Devine if she could provide a copy of her last statement for

the investment and gave her instructions on how to send the copy to the company through

secure email. The associate thanked the client for the additional information and assured her

that they would research the status of her investment payment and get back to her as soon as

possible.

The call center associate followed company procedure and logged the client complaint as a

formal incident due to a suspected missing payment and missing records.

Incident Center Actions:

$$ Reviewed call history logs$.$ The last call received from J$.$ Devine was $18$ months ago

concerning her insurance policy. The client$$s question was resolved on that call.

$$ Listened to the January $25$ call with J$.$ Devine. Authentication protocols reviewed.

Client did not have trouble passing authentication.

$$ Reviewed copy of investment statement provided by J$.$ Devine by email and her concern

re: overdue interest revenue. The statement identified agent A$.$ Beecee as the advisor

associated with the investment.

Recommendation:

Our client has a serious concern regarding overdue interest income and potentially a missing

investment contract. Case referred to the Investigation Unit for formal review.

$3$

Investigation Unit

The Investigation Unit handles all internal reviews within $8010$ Financial. Cases are referred to

the Unit from the Incident Center, or directly from management. The Unit is managed by the

Director who reports to the Chief Legal Officer of the company. The Unit has four investigators

as well as Information Technology, Accounting, Legal and Human Resource staff available as

required to support an investigation.

As the investigator assigned to the case, you need to review the incident report and

background information and complete the report submission template outlining your

preliminary plan for the Director$$s approval.

Questions to Answer:

$1.$ What are the key facts you can derive from the information provided?

$2.$ What is one theory of the suspected fraud based on the current information? Is there

another possibility?

$3.$ What are the potential sources of evidence available to confirm or refute the theory?

$4.$ What is your proposed investigation plan? List the steps in the order you would carry

them out. For each step identify the source of potential evidence $($document type,

email, person etc.$),$ how you would obtain the evidence, and the investigative action

you would take $($type of analysis, questions, or other action$)$