SIFMA Internal Auditors

IT Audit Current Issues and Trends

Fri, 19 Dec 2008 14:01:32 GMT

IT Audit –Current Issues and Trends
Start Date: 11-Feb-09 8:30 AM
End Time: 11-Feb-09 5:30 PM
Location: Merrill Lynch Training Facility, New York, NY
Speaker:

Event Details:

Register using our printer-friendly form. Or Register Online Now.

The Internal Auditors Division is offering a full day training seminar that will concentrate on IT Audit – Current Issues and Trends. This is a very timely topic as the Audit function (IT and Business) deal with numerous IT related issues which increase the risk to our Firms. This will be an integrated seminar which will be covered from a technology and business viewpoint.

Planned speakers include:

· Dave Frost, President, Datachek Consulting Services, LLC
· Jack McNamara, Merrill Lynch/Bank of America IT Risk Management
· Eric Perry, Vice President, Prodiance Marketing
· Don Ulsch, CEO, ZeroPoint Risk Advisors, LLC
· Gary Roboff, Senior Consultant, Santa Fe Group
· Jim Routh, Chief Information Security Officer, Depository Trust Clearing Corporation

The day’s itinerary includes:

· Moving Audit into the 21st Century
· IT Risk Management
· End User Computing Control Concerns and Solutions
· End User Computing Software Product Demo
· Reducing Risk at Offshore Service Centers
· Shared Assessments 4.0
· Financial Institution Shared Assessments Program for Evaluating the Security
Controls of their IT Service Providers.

The cost of the training seminar is $250 per IAD member and $300 for non-IAD Members, which includes continental breakfast, morning break, lunch and afternoon break. Continental breakfast will be served from 8:30 - 9:00 am. The education program will start at 9:00 a.m. and conclude at 5:00 pm.

Advance registration for this session must be received by February 2, 2009. Advance registration is required.

Please FAX the completed registration form ASAP along with credit card information to Lisette Rios (212) 313-1353. You can also register online at www.sifmaiad.org If paying by check please mail the original registration form along with your check made payable to the Internal Auditors Division to the address below:

Pre-payment is required at time of registration.

Securities Industry and Financial Markets Association
Attn: Lisette Rios
120 Broadway, 35th Floor
New York, NY 10271-0080

If you have any questions regarding registration, please contact Lisette Rios at (212) 313-1210 or by email at lrios@sifma.org Attending this program, entitles the participant to 7 CPE credits.

Note: No refunds for cancellations after February 4, 2009 Cancellations prior to the cut off date must be in writing. Please email your cancellation request to Lisette Rios lrios@sifma.org If you are unable to attend and do not cancel prior to the cutoff date, you are still responsible for payment of the registration fee.

Merrill Lynch Training Facility

4 World Financial Center, 3rd Floor

New York, NY

SIFMA IAD Installation of Officers and General Membership Reception

Thu, 20 Nov 2008 16:35:58 GMT

SIFMA IAD Installation of Officers and General Membership Reception
Start Date: 21-Jan-09 5:30 PM
End Time: 21-Jan-09 8:00 PM
Location: Bayard’s Restaurant, New York, NY
Speaker:

Event Details:

Register online or use our printer-friendly form.

A reception for the installation of officers and new executive committee members will be held on Wednesday, January 21, 2009 at Bayard’s Restaurant, from 5:30 - 8:00 p.m. The cost is $75 per person. There is no limit to the number of registrants each member firm may register.

Advance registration and payment for this membership reception must be received by Friday, January 16, 2009. You can register online at www.sifmaiad.org; fax the completed registration form along with credit card or pay by check. If paying by make your check made payable to the Internal Auditors Division in the amount of $75 per registrant and mail along with the registration form to the address below. (Forms received without payment will be returned).

If you have any questions regarding registration, please contact Lisette Rios at (212) 313-1210.

Note: No refunds for cancellations received after January 16, 2009. Cancellations prior to the cutoff date must be in writing. Please email your cancellation request to Lisette Rios at lrios@sifma.org. If you are unable to attend and do not cancel prior to the cut off date, you are still responsible for payment of the registration fee.

Bayard’s Restaurant

One Hanover Square

New York, NY

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noemail@sifmaiad.org — Tue, 28 Nov 2006 14:13:51 GMT

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Membership Application

Thu, 11 Dec 2008 16:11:32 GMT

Annual dues are $300.00 per firm, for the first three members, each additional member is $50 per person. If you are interested in joining or if you need information, send your inquiries to sifma-divisions@sifma.org.

Diane Krause
120 Broadway, 35th Floor, New York, NY 10271
P: 212-313-1228
F: 212-313-1354

dkrause@sifma.org

The membership application should be completed in its entirety and is required to register your firm in our Directory. Please update as necessary. Please print out this form and fill out all information and mail to address above, attention Diane Krause.

Printer Friendly Membership Application

News

Fri, 03 Oct 2008 12:52:29 GMT

September 2008 Newsletter

Enhancing Risk Management in Structured Products; Spreadsheet Management: Not what you figured

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Newsletter Archives

About the IAD Audit Guidelines

Tue, 16 Sep 2008 18:57:47 GMT

The SIFMA IAD Audit Guidelines are publications dealing with auditing in the securities industry are emphasized in our Audit Guidelines covering over 20 topics.

In order to view the Audit Guidlines, you must be logged in as a IAD member.

Login to view member-only Audit Guidelines.

or, learn about becoming member.

Here is a preview of the topics the guidelines cover:

15c3-1 and 15c3-3
Anti-Money Laundering
Arbitrage Trading
Commodities
Compliance Dept. (Broker-Dealer)
Corporate Debt/Preferred Stock
Credit Dept.

Data Center Audit Guidelines
Data Security - Unix and Mainframe
Dividend, Interest, P&I
Electronic Communication Guideline
Electronic Fund Transfer
Fixed Income Repo Agreements
Foreign Exchange
Hedge Funds
Interest Rate SWAPS
Investment Adviser Activities
Investment Management: Compliance & Administration
Investment Management: Portfolio Management, Accounting & Operations
Margin
Mortgage-Backed Securities
Mortgage, Whole Loans
New Products
Options
Program Change Control
Reorganization Dept
Retail Branches
Security Lending
Soft Dollars
Suspense Accounts
Syndicates

How to Register Online

Mon, 02 Jun 2008 16:25:17 GMT

When you choose to register online for an IAD conference or event, please note the following:

Email Address: You will be asked for your email address. The email address must belong to the registrant … not your assistant ... and it must be unique … not shared by another co-worker. The system will then search for your unique email address and if it finds it, you will be asked to provide a password.
Passwords: If you are on our database and you are registering online for the first time using this new process, it is best to click "forgot password." Then you will receive an email with your password. After you have logged in, you can change your password to something easier to remember. Please do not call SIFMA for your password, we do not know it.
Edit Profile or Continue Registration:
- If you are in our database, you will be asked to either edit your profile or continue registration.
- If you are not in our database, you will be asked to provide and verify a password and then asked for basic information to complete the registration process.
Look for Confirmation! Finally, after you put in your credit card information, there is a button that says "Complete Registration." Once you click that button, you will receive your conference registration confirmation and you are done. IF YOU DO NOT RECEIVE THE CONFIRMATION, YOU ARE NOT REGISTERED! If you do not receive the confirmation and you cannot figure out what went wrong, call Lisette Rios at (212) 313-1210 or email Lisette at lrios@sifma.org

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Past Presidents

Mon, 02 Jun 2008 16:22:18 GMT

Year Name 2007 Mark Pappas 2006 James Psaroudis 2005 Daniel Connor 2004 Steven Wexman 2003 Brian Wieber 2002 Daniel Johnson 2001 Barry Goldman 2000 Roland Naradini 1999 Marc Platizky 1998 Kevin M. Lawlor 1997 Kevin Kozak 1996 Anthony Savoca 1995 Marshall J. Levinson 1994 Kevin W. Finn (3) 1993 George...

Officers

Mon, 02 Jun 2008 16:18:09 GMT

Officer Affiliation Phone/Fax Karen Stensgaard President D. E. Shaw & Co., L.P. 1166 Ave of the Americas New York, NY 10036 (212) 478-0906 Tel (212) 845-1906 Fax karen.stensgaard@deshaw.com Joseph Pizzuto Executive Vice President Citigroup 111 Wall Street 7th Floor, Zone 10 New York, NY 10005 (212) 657-7887 Tel (212) 657-8545 Fax joseph.g.pizzuto@citigroup.com James Spangler Vice President Merrill Lynch & Co., Inc. 2 World Financial Center, 5th Floor Corporate Audit New York, NY 10281 (212) 236-7264 Tel (212) 236-6134 Fax jspangler@exchange.ml.com Al Akerman Secretary David Lerner Associates, Inc. 477 Jericho Turnpike Syosset, NY 11791 (516) 390-5572 Tel (516) 921-1546 Fax ...

IAD Committees

Wed, 20 Feb 2008 13:19:44 GMT

Committee Name Chairman Accounting Standards Rich Flowers Annual Conference John Wright/Joe Pizzuto Annual Conference Sites Bob Friedman Audit Regina O’Neill Audit Guidelines Peter Kontopirakis Constitution & Rules Karen Stensgaard Contract Review & Insurance Mark Pappas Educational Programs Jim Psaroudis/Marc Platizky Finance Hadrian Tucker FIRMA Liaison Anees Din Golf / Tennis Outing Paul Daily/Howard Miller Hot Topics/Q&A Chee Chong IIA/CFSA Liaison Mark Pappas Marketing/New Members Anees Din Membership Directory John Noto/Albert Akerman Membership Services Albert Akerman ...

Announcements

Thu, 30 Aug 2007 16:00:31 GMT

June Newsletter

Fri, 29 Jun 2007 20:31:58 GMT

http://www.sifmaiad.org/attachments/files/231/IADNewsJUNE-07.PDF

Member Services

Fri, 29 Jun 2007 17:08:26 GMT

For your convenience and benefit, a variety of relevant Audit links have been gathered and made available to you as a member of IAD. In addition, members of IAD can take advantage of a Scholarship program - please click on the link below for more details on this benefit.

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noemail@sifmaiad.org — Tue, 28 Nov 2006 14:13:50 GMT

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Release Date: 28-Nov-06 9:13 AM
Expiration Date: 28-Feb-07 9:13 AM

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2006-11-28T14:13:50Z

Instructor: Instructor

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