Overview

In this SIFMA IAS event in Charlotte, you will hear about Economic Trends Impact to Audit Planning and Auditing MiFID II. 

IAS Charlotte Seminar

Date

July 25, 2018

Location

Charlotte, NC

Hosted by

SIFMA IAS

Overview

In this SIFMA IAS event in Charlotte, you will hear about Economic Trends Impact to Audit Planning and Auditing MiFID II. 

Program

2:45pm – 3:00pm

Registration

3:00pm – 4:00pm

Join Wells Fargo Economist, Sarah House, who will share a 35-minute presentation on current economic trends. This presentation will be followed by a 15-minute panel discussion of internal auditors on…

Join Wells Fargo Economist, Sarah House, who will share a 35-minute presentation on current economic trends. This presentation will be followed by a 15-minute panel discussion of internal auditors on how to incorporate economic trends into annual audit planning, dynamic changes to the audit plan, and the scope and testing for each individual audit.

Participants

Eric Burt, Paul Bassler, James McDonald, Chris Ricchiuto, Sarah House

Moderator

Eric Burt

Director

PwC

Eric Burt’s Biography

Panelists

Paul Bassler

Senior Director, Internal Audit

Regions Bank

Paul Bassler’s Biography

James McDonald

Managing Director

Protiviti

James McDonald’s Biography

Speaker

Sarah House

Director and Senior Economist

Wells Fargo Securities

Sarah House’s Biography

4:00pm – 5:00pm

The Markets in Financial Instruments Directive (MiFID) II, transformed the regulatory regime for financial markets in Europe and the United Kingdom. These rules present various compliance challenges, including differences from…

The Markets in Financial Instruments Directive (MiFID) II, transformed the regulatory regime for financial markets in Europe and the United Kingdom. These rules present various compliance challenges, including differences from United States regulations, and the need for new systems to assist with compliance monitoring and regulatory reporting. The industry has had some difficulties coming into full compliance by January 2018. These new regulations present unique challenges to internal audit functions, which will be discussed during the session.

Participants

Allison Watkins

Speaker

Allison Watkins

Senior Audit Manager, Citigroup Global Culture, Conduct, and Ethics

Citi

Allison Watkins’s Biography

5:00pm – 6:00pm

Networking Reception

Venue

PwC

214 North Tryon Street
Suite 4200
Charlotte, NC 28202

Accreditation

CPE

Recommended CPE credit hours: 2.4
Program Level: Intermediate
Prerequisites: Knowledge of Audit Industry
Advanced Prep: None
Delivery Method: Group Live
Fields of Study: Audit

For more information regarding refund, complaint and/or program cancellation policies, please contact Lizzie Grimm at [email protected].

CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individuals courses for CPE credit. Complaints regarding registered sponsors may be substitutes to the National Registry of CPE Sponsors through its website: www.nasbaregistry.com.

Terms and Conditions

Code of Conduct SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations. If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities. SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.