IAS Seminar: Hot Topics for Audit – Get Ready for 2019

Date

December 03, 2018

Location

New York, NY

Hosted by

SIFMA IAS

In Person – Until 12/3/18

  • Member $195
  • Non-Member $295

Overview

As we prepare our audit coverage and plan for 2019, we need to focus on some key emerging risks that are creating significant impact across financial services.  Some of these crucial emerging risks include: industrywide cyber-attacks, anti-money laundering, data privacy, audit coverage risk, business continuity and ethical behavior. As a result, financial organizations need to evaluate and address the challenging risks associated with these emerging areas in order to help ensure a successful 2019. Session attendees will learn and enrich their understanding in these fields based on the presentations and discussions.

Hear Industry Experts From:

  • Deloitte
  • EY
  • BNY Mellon
  • Treliant
  • Fordham Gabelli School
  • Experis

Topics will Include:

  • Cyber Risks, Challenges and Solutions
  • Analytics Topics
  • For Auditors, Ethics is everyone’s Responsibility
  • Risks and Controls for AML Monitoring Systems
  • The New SOC for Cybersecurity
  • Business Continuity and Resiliency
  • CAE Panel discussion on Audit Committee Concerns

Program

8:30am – 9:00am

Registration & Continental Breakfast

9:00am – 9:50am

Cyber Risks, Challenges and Solutions

9:50am – 10:40am

The velocity of change in the cyber threat landscape is increasing. Threat actors including hackers, organized crime, activists, competitors, nation states, etc., are getting more sophisticated in their attacks. Companies can…

The velocity of change in the cyber threat landscape is increasing. Threat actors including hackers, organized crime, activists, competitors, nation states, etc., are getting more sophisticated in their attacks. Companies can and should do more to engage risk and security experts at the start of digital transformations and to be more proactive in their cyber risk management. This session will present a proven, programmatic, enterprise approach to effective cyber risk governance, identification and assessment of cyber risks including threats, cyber risk response, cyber risk monitoring and reporting, and industry trends in the quantification or valuation of cyber risk.

10:40am – 10:55am

Networking Break

10:55am – 11:45am

For Auditors, Ethics is Everyone’s Responsibility

11:45am – 12:45pm

The session will discuss risks involved with the selection, implementation, and validation of AML monitoring systems. The session will also address the mitigating controls for the various risks identified. The…

The session will discuss risks involved with the selection, implementation, and validation of AML monitoring systems. The session will also address the mitigating controls for the various risks identified. The framework of an effective model risk management program consistent with supervisory guidance on model risk management will also be discussed.

Participants

Martin V. Jaundoo

Speaker

Martin V. Jaundoo

Senior Manager

Treliant LLC

Martin V. Jaundoo’s Biography

12:45pm – 1:45pm

Networking Lunch

1:45pm – 2:35pm

CAE Panel Discussion on Audit Committee Concerns

2:35pm – 3:25pm

The New SOC for Cybersecurity

3:25pm – 3:40pm

Networking Break

3:40pm – 4:30pm

This session will focus on non-conventional methods in covering cybersecurity from an audit perspective.  Participants will hear about different approaches around controls, security and strategies supporting practical policies in protecting…

This session will focus on non-conventional methods in covering cybersecurity from an audit perspective.  Participants will hear about different approaches around controls, security and strategies supporting practical policies in protecting your firms.

4:30pm – 5:30pm

Networking Reception

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accommodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)

Accreditation

CPE

Program is Pending CPE Credit Approval

Terms and Conditions

Cancellations

No refunds will be made for cancellations three weeks prior to the seminar date. All cancellation requests are subject to a $100 processing fee. Cancellations prior to refund cutoff date must be in writing.

Policy

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.