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CSI BLACKBELT in SEATA— Internal Audit Masterclass 1 JAN 29-30, MAY 7-8, SEP 7-8, DEC 1-2 2009* (One Session Every Quarter) RENDEZVOUS HOTEL, SINGAPORE Faced with more and more regulations and ever-increasing demands from the Board, internal audit teams face a daunting task. So imagine the challenge of re-engineering an existing established audit function or—even more daunting—creating a completely new audit function from scratch. It’s unlikely that you will be given too much time to get it right and there will be an expectation that you will function effectively from day one.

I

n this 2 - day highly practical course, course you will learn how to assemble the building blocks to an effective internal audit function and hit the ground running. Key highlights on what you will learn in this programme include: •

Review the specific steps to ensure the internal audit function is organised the most effective way

• Understand what activities effective internal audit function should cover • Develop and implement effective audit reports •

Understand what corporate governance issues internal auditors should be watching Learn how to positively impact your shareholders' value by maintaining good corporate governance

TOMMY SEAH REGENT EMERITUS, ACFE (TEXAS, USA)

CFE, CSI, FCPA


A CLOSER LOOK AT THE PROGRAM The purpose of this training Course is to help internal audit executives benchmark their internal practices against globally accepted practices that guarantee the effectiveness of internal auditing. After attending this session participants will be able to: Know the basic principles and organisational frameworks for internal audit and control • • •

Recent developments from COSO Recent evolutions in professional standards Governance models and the role of internal audit

• • •

Internal Audit and Corporate Governance requirements Interfacing with external auditors and other external parties Internal audit as interactive part of the corporate-wide communication process

• • • • •

Challenges for the modern Internal Audit function New skills development for modern internal auditing Achieving compliance with standards Conflicts of interest Ethics and codes of conduct

COURSE CONTENT Understanding SEATA 1. • • • • 2.

Key Concepts and Objectives Components Fitting the Objectives and Components Together Using SEATA to Identify Inherent Control Weakness Case Study SEATA Implementation Tools

• Evaluating SEATA Attributes in Major Processes • Measuring SEATA Components at the Entity Level 3. • • • • 4.

SEATA Evaluation Tools Entity-wide Assessment Tools Business-process Control Evaluation Tools Sample SEATA Audit Programme Case Study Significant Risk Aspects

• Critical Success Factors • Risk Assessment: Entity-wide • Risk Assessment: Activity Level 5.

SOX 302 and 404: Corporate Responsibility for Financial Statements and Management's Assessment of Internal Controls

• • • •

Why SEATA has become the lingua franca of SOX Compliance Internal Audit's Roles Relating SOX302 to SEATA SOX 404 Activities that relate to Elements of SEATA

6.

What is Peer/Quality Assessment Review?

• Objectives • Scope • The Approach 7. • • • • • • 8. • • • • • 9. • • • • • 10.

Fieldwork Assessing Organisational Governance Selecting the Right Workpapers to Review Managing the Review Interviewing the Key Players Developing the Opinion Applying the Evaluation Criteria Reporting the Opinion The Closing Conference Communicating the Results Report Formats Who Responds to the Comments The Final Report A Survival Checklist for Chief Audit Executives Choosing A Methodology Selecting the Right Team Leader Selecting the Review Team Doing Your Homework How to Get the Most Out of a QAR Best Practices in Value-Added Internal Auditing

• Where should IA Report • IA's Role in Sarbanes-Oxley • Structure of the Department 11.

Practical Case Study


YOUR TRAINING COACH TOMMY SEAH Certified Fraud Examiner; Double Firsts in Financial Management & Accountancy (U.K.); Chartered Banker; International Accountant; FCPA (USA); CSOXP; Member of Advisory Board to SOX Institute He is the only Singaporean that has made a name for himself in America’s largest and world renowned AntiFraud Association. In 2006, he was elected by his peers in more than 100 countries to be the Vice Chairman of The Association of Certified Fraud Examiners Board of Regents based in Texas, USA. CFE is a post graduate professional qualification recognized by the FBI and USA Central Intelligence Agency in it’s recruitment of auditors for combating fraud. He is also the Chairperson of CSI World Headquarters. CSI is the only Digital Forensic Certification body that operates in Asia. A number of auditors in the United Nations and government services proudly carry the CSI designation with distinction. Today, Tommy is the Number 1 fraud buster in Asia. His services in providing anti fraud and technical product training is much sought after by numerous multinational companies, banks and governments in the region, including Germany, Singapore, Malaysia, China, Indonesia, Philippines and Taiwan. Tommy's previous work experience includes systems based auditing in an American International Bank, where he was the Senior Regional Auditor responsible for the Bank's audit in the Asia Pacific region. He has also held the top executive position of Chief of Internal Audit in a prime offshore bank where his audit duties cover the Singapore and Hong Kong operations of the bank. He covers all areas of the bank's audit of operations and IT systems. He also has practical working experience in the Operations Department of a foreign bank. Of late, Tommy has very successfully trained Anti-Narcotics Police Officers from most of the ASEAN countries. In 2008, he was awarded the privilege to train the highly skilled and intellectually superior officers from the Competition Commission of Singapore. Tommy Seah is also a prolific writer. He is the author of seven banking books including the F.I.G. Program. The FIG is the authoritative and definitive text on Financial Instruments designed to be used in the world wide banking industry for product training. This publication has received excellent review and first class commendation from some of the most authoritative professional certification body and top rated banks in the world. The other six authoritative texts used in his training are The Foreign Exchange Audit, The Control of Money Market Activities in Banks, Financial Management, MCA for Banks, SWAPS in Investment Banking and Anti-Money Laundering 101. His latest publication attempt is on Profiling and Interviewing Techniques. He has set for himself the goal to be the first Asian to write the first book in “Technology Fraud for the Banking Industry”. For the past twenty nine years, Tommy Seah has trained some of the top lawyers, bankers, accountants, investigators in the banks and financial institutions in the region. In particular, his expertise in SOX 404, AML and Basel II systems implementation and compliance is much sought after by financial institutions and banks in Germany, Brunei, China, Indonesia, Malaysia, Philippines, Singapore, Taiwan and Thailand. This training program is—

Developed By:

Accredited By:

Organized By:


CSI BLACKBELT IN SEATA— INTERNAL AUDIT MASTERCLASS 1

2009 Training Session Parkroyal Hotel Kuala Lumpur, Malaysia

FEES & REGISTRATION METHOD Package Workshop Price Group Price

Participant Fees Session 1 Session 2 Session 3 Session 4 SGD 1100 per pax Jan 29-30 ’09 May 7-8 ‘09 Sep 7-8 ‘09 Dec 1-2 ‘09 ** Corporate Group Discount: Second Participant pays 95%; subsequent participant pays only 70%. Subsequent participants must be from same organisation.

Disclaimer: * Subject to final confirmation based on enrolments and trainer’s schedule availability **The registration fee does not include hotel accommodation. Delegates may be refused admission if payment is not received prior to the workshop

HOW TO REGISTER To attend this workshop, complete and return this registration form with the required payment in full. Registration confirmation will only be acknowledged once the registration fees have been received. Please read this booklet carefully before completing the registration form. All fees are quoted in 750 US dollars (USD) equivalent. REGISTRATIONS CAN BE SENT BY THE FOLLOWING METHODS:

PAYMENT METHODS:

Tel: (+65) 9106 9872 Fax: (+65) 6288 0181 Email: tommy@cfe-in-practice.net

Cheque: Make payable to CFE in Practice

Mail to:

OCBC Bank (Singapore) Account Number: 581-682788-001 Account Name: CFE Strategic Alliances

CFE-In-Practice 111, Tampines Road, Suite No. 07-01 Yi Mei Gdn Building Singapore 535133

T/T Payment:

PARTICIPANT NAME Name Designation Email Name Designation Email

CANCELLATION & TRANSFERS Should you be unable to attend, a substitute delegate is welcome at no extra charge. Alternatively, you may choose to credit the full value of your registration towards a future CFE event. A full refund, less 10% administrative charge, will be made for cancellations received in writing at least 3 weeks prior to the workshop. A 50% refund and the workshop documentation will be provided for cancellations received in writing 2 weeks in advance. The firm regrets that no refunds will be made for cancellations received less than 2 weeks prior to the workshop.

Name Designation Email Authorising Manager Email Designation Organisation Address

A complete set of documentation will, however, be sent to you. CFE reserves the right to cancel or alter the content and timing of the program for reasons beyond its control. CFE-In-Practice reserves the undeniable right to CANCEL the program.

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CSI Blackbelt in SEATA - Internal Audit Masterclass (Singapore), featuring Mr. TOMMY SEAH