Education Seminar

2014 Internal Audit Update
Anaheim Marriott Suites

For today’s internal auditor or risk manager, the ability to fully evaluate levels of risk and tailor audit procedures to maximize the efficiency and effectiveness of audits can be significantly impacted by the number and complexity of changes mandated through the Dodd Frank Act.

Join CBA and Moss Adams for our 2014 Internal Audit Update.  In this one-day session, we’ll discuss key developments in internal audit focus that have taken place this year and what you’ll need to know going into 2015.

Whether you’re a new internal auditor, looking for a cost effective update on current trends, or want to incorporate the latest in regulatory developments into your internal audit scopes, this session is the perfect program. You will learn best practices and trends from recent regulatory examinations that risk managers and internal audit professionals need to be aware of.

Areas of focus will include:

  • 2013 COSO changes
  • BSA trends and focus areas
  • Cyber security issues
  • Vendor management issues
  • Current compliance trends and compliance management expectations

Agenda

The seminar will be held October 2 from 9:00 a.m. to 4:00 p.m., with breakfast and registration beginning at 8:00 a.m. and lunch at noon.

Topics will include:

Information Security Update

BSA, OFAC and USA Patriot Act Update

COSO 2014 Update and Current Auditing Trends

Third Party Vendor Management

Credit and Accounting Update

Compliance Internal Audit Update

Audience

New internal auditors, seasoned auditors and risk managers looking for an update on current internal auditing trends, or ways to incorporate the latest in regulatory developments into your internal audit processes.

Speakers

Dan Huston, CPA, CFIRS, Partner, Moss Adams LLP
Dan has worked in the banking industry since 1979. He directs the firm’s internal audit and regulatory compliance services for financial institutions. His areas of expertise include credit underwriting and lending compliance, anti–money laundering program administration, item processing, funds delivery, fiduciary services, loan origination and servicing, secondary market operations, automated systems reporting management, and trust and fiduciary operations.  Dan also develops risk assessment methodologies related to internal audit and compliance programs, helps clients implement risk management programs, and integrates risk management strategies into the operations of smaller financial institutions.

Francis Tam, CPA, CISM, CISA, CITP, CRISC, PCIP, PCI QSA, Partner, Moss Adams LLP
Francis has practiced public accounting and consulting since 1994 including nine years with a large international firm. He has extensive experience providing information technology audit and internal control guidance to public and private companies. Francis’ expertise in technology consulting includes payment card industry security, IT governance, cost/benefit, IT planning, risk management, systems analysis, policy development, project management and quality assurance.  In addition, Francis has participated and led many compliance audits, internal controls audits, external operational assessments, and financial audits.

John Donohue, CPA, Partner, Moss Adams LLP
John is a partner in the firm’s professional practice group, consulting with clients and engagement teams on a variety of technical auditing and accounting matters. He recently completed a two-year fellowship in the Office of the Chief Accountant of the Securities and Exchange Commission, where his responsibilities included consulting on technical accounting matters and monitoring the FASB’s standard-setting projects.

Hoi Luk, CRCM, CAMS, Senior Manager, Moss Adams LLP
Hoi has worked in the financial industry arena for over 20 years, holding various positions including regulatory compliance and consulting, focusing primarily on lending, deposit, and BSA/AML compliance. Hoi joined Moss Adams LLP in 2013 and devotes all of his time to consulting with financial institutions regarding risk management, operational and regulatory compliance matters, performing and managing operational audits and regulatory compliance reviews, and conducting risk assessments and anti-money laundering audits.

Katherine E. Hart, CPA, Senior Manager, Moss Adams LLP
Katherine joined Moss Adams in 2005, after 10+ years in the banking industry. She held various positions within banking, the most recent as the Assistant Controller of a publicly traded financial institution. Her experience is primarily in the area of auditing, accounting, consulting, regulatory compliance, and SEC reporting. Katherine has provided professional services to numerous companies, primarily in the financial institutions industry. Special projects she has been involved with include regulatory and lending consulting and compliance, call report review, initial public offerings, and periodic ‘34 Act U.S. Securities and Exchange Commission filings (10-K, 10-Q, 8-K).

Registration Fees

Early-Bird Registration extended through Monday, September 15, 2014
CBA Member: $345
Non-Member: $545

Regular Registration
CBA Member: $445
Non-Member: $645

Cancellation:
Substitutions are allowed, at no additional cost. Written notice is required for all substitutions/cancellations. The full registration fee will be refunded if written notice is received by by September 12, 2014  and 50 percent if by September 19. No refunds will be provided after September 19. Registrations made on or after September 19 are not subject to refund. 

If for any reason you are not fully satisfied, please contact Laurie Eaton at (916) 438-4433.

Location Information

Thursday, October 2, 2014

Anaheim Marriott Suites
12015 Harbor Blvd
Garden Grove, CA 92840
(714) 750-1000

CBA has arranged a special rate of $139 per night, which includes guestroom internet.  Please contact the hotel at (800) 228-9290 to make your room reservation, by September 18, 2014.

CBA will host parking the day of the event.

Credit Information

Program Level: Update for all levels

Prerequisite: None

Advance Preparation: None

Method of Presentation: Group – Live (Lecture, Discussion, and Table Exercises)

Recommended CPE Credits: 6.0 Hours Maximum
(Estimated 2.0 Finance, and 4.0 Specialized Knowledge and Applications)
Sponsored learning activities are measured by program length, with one 50-minute period equal to one CPE credit. One-half CPE credit increments (equal to 25 minutes) are permitted after the first credit has been earned in a given learning activity. Please note that not all state boards have adopted this rule. Some participants may not be able to use one-half credit increments.

Commands