3. Fraud and Internal Audit - Feb 16 2011
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3. Fraud and Internal Audit - Feb 16 2011

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Wednesday, February 16, 2011 (8:00 AM to 4:30 PM) Fraud and Internal Audit (7 CPD hours) Course Objectives: YOUR OPPORTUNITY TO... • Understand how fraud impacts internal audit. • Understand anti-fraud programs and controls. • Learn how to conduct fraud risk assessments and manage the risk of fraud, waste and error. • Understand when fraud is detected how to end the audit work and transition into a fraud investigation. CALLING ALL... • Audit managers • Internal auditors • Compliance officers • Risk managers COURSE OUTLINE 8:00 am - 8:30 am Continental breakfast 8:30 am - 10:30 am Fraud Risk Management Presenter - Daniel Williams, CGA, CFE, CIA, CISA, CAMS, PMP Manager, Deloitte The best time to deal with fraud, corruption and misconduct is before they occur. Learn how to conduct a fraud risk assessment to identify the vulnerabilities your organization faces and what you can do to address them. Through this interactive session, participants will walk through the steps required to conduct an effective fraud risk assessment and learn how to: • Develop a pro-active, cost-effective approach; • Create a clear action plan; • Identify fraud risk scenarios inherent to their organization; • Use best-practice tools and templates; • Leverage existing internal control and process documentation; • Assess the Control Environment from an antifraud perspective; and • Efficiently and effectively manage the risk of fraud, waste and error. ...

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Reads 21
Language English
Wednesday, February 16, 2011
(8:00 AM to 4:30 PM)
Fraud and Internal Audit
(7 CPD hours)
Course Objectives:
Y
OUR OPPORTUNITY TO
...
Understand how fraud impacts internal audit.
Understand anti-fraud programs and controls.
Learn how to conduct fraud risk assessments and manage the risk of fraud, waste and error.
Understand when fraud is detected how to end the audit work and transition into a fraud
investigation.
C
ALLING ALL
...
Audit managers
Internal auditors
Compliance officers
Risk managers
C
OURSE
O
UTLINE
8:00 am - 8:30 am
Continental breakfast
8:30 am - 10:30 am
Fraud Risk Management
Presenter - Daniel Williams,
CGA, CFE, CIA, CISA, CAMS, PMP
Manager, Deloitte
The best time to deal with fraud, corruption and misconduct is before they
occur. Learn how to conduct a fraud risk assessment to identify the
vulnerabilities your organization faces and what you can do to address them.
Through this interactive session, participants will walk through the steps
required to conduct an effective fraud risk assessment and learn how to:
Develop a pro-active, cost-effective approach;
Create a clear action plan;
Identify fraud risk scenarios inherent to their organization;
Use best-practice tools and templates;
Leverage existing internal control and process documentation;
Assess the Control Environment from an antifraud perspective; and
Efficiently and effectively manage the risk of fraud, waste and error.
10:30 am – 11:00 am Coffee and networking break
11:00 am - 12:00 pm
IT Fraud
Presenter - Daniel Williams, CGA, CFE, CIA, CISA, CAMS, PMP
Manager, Deloitte
The Computer Security Institute’s (CSI), 15th Annual Computer Crime and
Security Survey in 2010 found that financial fraud ranked as the costliest
type of IT incident, with an average reported cost of $500,000 per incident.
The average cost of an investigation of a fraudulent incident is
approximately $250,000. As we become more reliant on information
technology to support our businesses, we increase the likelihood of IT fraud;
that is, where a financial loss or malicious damage has been sustained by an
organization, which has been facilitated by the use of IT in some way.
Technology presents so many opportunities for fraud to occur; fortunately it
also offers many capabilities for combating fraud. This session will provide
you with a greater level of understanding and appreciation of IT fraud,
waste, and other misconduct and the impact it has on an organization.
12:00 pm - 1:00 pm Lunch
1:00 pm - 2:00 pm
Internal Audit and Fraud
Presenter - Tom Peerless,
MBA, CMA
Director Internal Audit, PRA Group
How to recognize the signs of fraud and the control breakdowns that allow it.
This presentation will discuss the red flags pointing to potential fraud in the
organization and the types of control issues and operational practices that are
conducive to fraud occurring. Some case studies and examples will be
reviewed to show a few types of fraud schemes, how the frauds were
perpetrated and how they were discovered.
2:00 pm - 2:30 pm
Coffee and networking break
2:30 pm - 4:00 pm
From Audit to Fraud
Presenter - Jerome Malysh, CGA CFE
Partner, MalyshBeck Business Risk Consulting
What should the internal auditor or audit team do once a fraud has been
discovered? This session will focus on when you should suspend audit work
and start an investigation. It will cover:
Who to involve in the investigation (legal counsel, HR, etc.)
When and whether or not suspected employees should be suspended,
How to obtain cooperation from suspected and suspended employees,
How to protect and conserve the evidence.
P
RESENTERS
Daniel J. Williams, CGA, CFE, CIA, CISA, CAMS, PMP
Manager, Deloitte
Daniel is a key member of Deloitte’s Forensic Services practice in British Columbia, bringing significant
experience in Fraud Risk Consulting, Information Systems Audit, IT Governance, Protection of Information
Assets, Data Mining, and Internal Audit Support. Daniel’s focus is working with Deloitte’s clients to
prevent, detect and investigate fraud and wrongdoing through the implementation of effective anti-fraud
programs and the deployment of key investigative tools. Daniel has assisted many clients with developing
and implementing creative risk management solutions, corporate governance frameworks, compliance
programs and business process re-engineering.
Daniel specializes in the design, implementation and evaluation of strategic fraud risk management
programs that aid organizations with financial crime management and revenue retention. He has assisted
numerous organizations of various size and scope in improving their ability to manage and respond to
incidents of fraud and corruption by adopting comprehensive risk management programs tailored to support
their specific goals and objectives. His approach to fraud risk management is holistic and innovative and has
been adopted as the National standard of Deloitte. Daniel is a Certified Fraud Examiner, Certified General
Accountant, Certified Internal Auditor, Certified Information System Auditor, and a Certified Anti-Money
Laundering Specialist.
Tom Peerless, MBA, CMA
Director Internal Audit, PRA Group
Tom is a Director with PRA Group, whose customer asset base exceeds $15 billion and includes some of
Canada's largest credit unions, securities organizations, chartered banks, shipping companies and
government institutions. PRA Group specializes in outsourced and co-sourced ERM, Internal Audit, forensic
audit, Banking System conversion, SOX compliance and IT audits. Tom is the Chief Audit Executive at
Coastal Community Credit Union and Island Savings Credit Union.
Prior to joining PRA Group, Tom was a
Manager in the Internal Audit department of the Ministry of Finance.
Tom has completed dozens of
forensic investigations in his career in the private and public sectors. Tom is also currently President of the
Vancouver Island Chapter of the Institute of Internal Auditors.
Jerome Malysh, CGA, CFE
Partner, MalyshBeck Business Risk Consulting
Jerome has over 25 years of experience as an investigative and forensic accountant. As a senior economic
crime investigator in the Royal Canadian Mounted Police, Jerome gained extensive experience in the
collection of evidence, the interviews of witnesses and suspects and the presentation of evidence before
criminal and civil courts. In 1999 following his retirement from the Force, Jerome was the Senior Forensic
Auditor for the Law Society of British Columbia and later joined a prestigious, international forensic
accounting firm. In 2003, Jerome founded Malysh Associates to respond to an increasing demand for
investigative and forensic accounting and business risk management expertise for US and Canadian clients.
Now a managing partner of MalyshBeck, Jerome is provides a diversity of management risk consulting,
corporate security, investigative and forensic accounting expertise to MalyshBeck clients.
Jerome’s experience in law enforcement and private practice are extensive and include successful
investigations of thefts, frauds, embezzlements, bribery, kick-backs, secret commissions, money laundering,
asset tracing, and asset recovery.
He regularly provides professional development training to accountants,
controllers and CFO’s in fraud prevention and awareness. Jerome holds the professional designations of
Certified General Accountant and Certified Fraud Examiner.
L
OCATION
Sutton Place Hotel, 845 Burrard Street, Vancouver. The hotel is a five-minute walk from the
Burrard Street Skytrain station.
Doors open at 8:00 am for registration and breakfast.
Event will begin at 8:30 am and end by 4:30
pm. Fee includes breakfast, lunch and coffee breaks.
C
OST AND
R
EGISTRATION
$ 300 for IIA, ACFE and ISACA members,
$ 400 for non-members.
Seating is limited so reserve your space today.
Please note
:
Due to our contractual commitments with venue providers we are required to commit to participant
numbers and payment before the event, as such:
1.
We understand that circumstances change. However if we do not receive a cancellation advice
one week before the event the registered participant will be invoiced for the cost of the course.
Alternates may attend if the registered participant is not available on the event date.
2.
If we do not receive sufficient registrations to cover the costs of hosting an event we will cancel
the event and advise those who registered via email. A cancellation notice will be posted on the
Chapter website and registered participants will be refunded.
Please access the Events section of our website to register at
http://www.theiia.org/chapters/index.cfm/view.events/cid/26