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Internal Audit IT Audit Info Security
Internal Audit IT Audit Info Security
The Dodd-Frank Act and Internal Audit - OAP286 
Auditing in the New Regulatory Framework
Learning Level: Intermediate
CPEs: 16 Fee: $2,095.00
Focus and Features Agenda Who Should Attend Register
Agenda

What You Will Learn
1. Overview of the Act
- key provisions of each section
- the new regulatory framework
- improving transparency and accountability
- understanding enhanced consumer protection mandates

2. Audit Opportunities Created by Dodd-Frank
- how Audit can enhance risk management committees
- how Audit helps create an effective compliance environment
- ways Audit can effectively test fraud risks.
- integrating reforms into the audit process

3. Expanding Audit Scopes
- new registration and reporting requirements
- new IT infrastructure and investment
- the uniform national reporting requirements.
- The National Producer Database
- “micro-lending” programs.
- updates to existing regulations
-- Truth in Lending (Reg.Z)
-- Home Ownership and Equity Protection Act (HOEPA)
-- Real Estate Settlement Procedures Act (RESPA

4. Auditing New Corporate Governance and Transparency Initiatives
- “Say on Pay”
- compensation limits
- proxies
- enhanced sales practices rules, conflicts of interest, and compensation issues

5. Audit and the Volcker Rule
- what auditors need to know
-- Volcker Rule guidelines
-- limitations, effective dates and other regulations that are included in the Volcker Rule
- what regulators want financial institutions to do

6. Consumer Advocacy and Audit
- the Bureau of Consumer Protection and how it differs from prior regulatory agencies
- what auditors need to know about new borrower and investor protections
- how new consumer protections influence audit testing

7. Audit and Whistleblower Protection
- latest developments in whistleblower protection
- whistleblower rules: can you be a whistleblower?
- testing the whistleblower process

8. Looking Down the Road: Keys to Dodd-Frank Success
- what auditors can learn from Dodd-Frank studies.
- where the loose-ends are
- impact on the audit profession

9. Late-Breaking News and Updates
- recent legislative actions and debates
- emerging compliance risks
- keeping up to date: resources and links
- what politicians and industry leaders are saying and doing
- economic effects on the financial services industry

 
REGISTRATION QUESTIONS?
For questions about your registration, government and team discounts, or multiple registrations, please call Linda Ronconi at (508) 879-7999, ext. 501 or e-mail mis@misti.com.

IN-HOUSE SEMINARS
This seminar is available in-house. For more information about bringing this or other MIS seminars to your organization, please call Mimi Hatch at (410) 692-2465 or e-mail mhatch@misti.com.

 


Dates/Locations
March 7 - 8, 2013
Washington
November 21 - 22, 2013
New York