SIFMA Internal Auditors

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.

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News

Fri, 03 Oct 2008 12:52:29 GMT

September 2008 Newsletter

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

Download Newsletter

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

View Current Events

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.

Publications

Fri, 29 Jun 2007 17:05:18 GMT

In the publications area you will now have access to all the Audit Guidelines produced by the Division. They continue to be offered in Word and PDF formats for your convenience.

In addition, the Division newsletter (both current and archived) is also available for your use.

Welcome

Tue, 06 Mar 2007 13:05:50 GMT

Welcome

Thank you. You have successfully logged into the Internal Audit
Division web site. As a member, you will have access to all areas of the
site.

Quick Links

Manage Your Info
Edit my record/password

Please click here to log out.

Home Page - Tagline

Thu, 25 Jan 2007 19:18:27 GMT

IAD represents Internal Auditors from banks, broker-dealers, insurance companies, mutual funds, public accounting firms and self-regulatory agencies associated within the securities industry.

Panel 3 - Audit Guidlines

Thu, 25 Jan 2007 19:11:10 GMT

Publications dealing with auditing in the securities industry are emphasized in our Audit Guidelines covering over 20 topics.

View Guidelines

Panel 4 - Become a Member

Thu, 25 Jan 2007 19:03:58 GMT

Membership in IAD will provide your firm with a cost effective method for staying current with state-of-the-art Internal Auditiing practices.

Learn more ...

Home Page - Rotator

Thu, 25 Jan 2007 17:24:13 GMT

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FAQ

Mon, 04 Dec 2006 20:52:59 GMT

Member Discounts

Mon, 04 Dec 2006 20:48:24 GMT

How to Register

Mon, 04 Dec 2006 20:33:45 GMT

Annual Conference

Mon, 04 Dec 2006 20:29:16 GMT