SIFMA Internal Auditors

27th Annual SIFMA IAD Conference

Wed, 18 Jun 2008 17:48:00 GMT

27th Annual SIFMA IAD Conference
Start Date: 19-Oct-08 8:30 AM
End Time: 22-Oct-08 5:30 PM
Location: Delray Beach Marriott, Delray Beach, Florida
Speaker:

Event Details:

Register online or use our printer-friendly form.

We are pleased to invite you to the 27th SIFMA/IAD Annual Conference. The Conference will be held Sunday, October 19 through Wednesday, October 22 at the Delray Beach Marriott, Delray Beach, Florida.

This year’s conference theme is “Auditing in Turbulent Times.” As we strive to continuously improve the risk focus of our respective audit departments and ensure effective and efficient audit coverage for our firms, we have assembled some of the industry’s top speakers to discuss several key risks and challenges facing our organizations and the securities industry overall. The 2008 SIFMA/IAD Conference is the Must-Attend Event of the year for internal auditors in the financial services industry.

The conference fee for all three days is only $1,000 per person for IAD members ($925 if you register before 9/5/08) and $1,375 per person for non-members ($1,100 before 9/5/08). Guests of members are $275 ($200 before 9/5/08) and $325 ($250 before 9/5/08) for non-member guests.

We encourage you to bring a guest to enjoy the many amenities of the Delray Beach Marriott and surrounding areas. We provide a hospitality suite for your guests to meet each other and look forward to having them join us at our lunches, cocktail receptions and events.

For full information, please view our letter or view the agenda.

Registration Forms & Information:

REGISTER ONLINE NOW AND SAVE!!
You may register online at the link above with your credit card to take advantage of the early registration fees. Simply complete the online registration form before Sept. 5, 2008 to lock-in your reduced conference rate. Alternatively, you can complete the enclosed forms and FAX your registration along with your credit card information to Lisette Rios, Securities Industry and Financial Markets Association 212-313-1353. If you plan on playing Golf or Tennis it is especially important to register early and reserve your spot.

Please note that all registration fees must be paid at time of registration. Register now to take advantage of the early registration discount!

If paying by check, please make it payable to “Internal Auditors Division” and mail it to the Securities Industry and Financial Markets Association, Attn: Lisette Rios, 120 Broadway, 35th floor, New York, NY 10271 along with the conference registration form. Forms received without payment will be returned. Make your hotel reservations directly with the Delray Beach Marriott by following the instruction on the hotel information page at http://marriott.com/pbidr?groupCode=sifsifa&app=resvlink

The 2008 Annual Conference is a great place to network with colleagues from large, regional and small securities and financial services institutions as well as from our key regulatory agencies. We are very excited about the 2008 Conference program and look forward to seeing you in Florida. Should you have any questions regarding this years IAD Annual Conference please feel free to contact John Wright at 212-897-0205.

Delray Beach Marriott

Current Regulatory Issues at Banks and Broker-Dealers

Thu, 26 Jun 2008 19:12:08 GMT

Current Regulatory Issues at Banks and Broker-Dealers
Start Date: 30-Sep-08 12:00 PM
End Time: 30-Sep-08 2:00 PM
Location: Bayard’s Restaurant, New York, NY
Speaker: Stephen Strombelline

Event Details:

Register online or use our printer-friendly form.

The Internal Auditors Division of the Securities Industry and Financial Markets Association will hold an Education Luncheon on Tuesday, September 30, 2008 at Bayard’s Restaurant. Our guest speaker will beStephen Strombelline, Managing Director and Head of Ethics and Compliance, North America at BNP Paribus. His topic will be “Current Regulatory Issues at Banks and Broker-Dealers”.

The cost of the luncheon is $60 per registrant. Registrations will be accepted on a first come, first served basis. Attendance at this education luncheon entitles the attendees to be credited one hour of Continuing Professional Education (CPE) credit.

A completed registration form and payment must be received by September 22, 2008 to guarantee your seat at this luncheon. If you do not cancel your reservation by September 22, 2008, payment will be expected regardless of your attendance at the luncheon. Cancellation requests must be in writing and received by September 22, 2008. Please email your cancellation request to Lisette Rios, at lrios@sifma.org If you have any questions regarding registration, please contact Lisette Rios at (212) 313-1210.

The IAD/SIFMA is an official sponsor of Continuing Professional Education Credits in Illinois, New Jersey, New York and Pennsylvania. Attending this education luncheon will entitle the participant to 1 CPE credit.

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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News

Wed, 25 Jun 2008 15:23:45 GMT

June 2008 Newsletter

Rogue Trading: The Root Causes and how to Protect your Organization; Global Strategic Sourcing - What Internal Auditors Should Know

Download Newsletter

Newsletter Archives

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 ...

About the IAD Audit Guidelines

Wed, 07 May 2008 15:49:27 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 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

Membership Application

Tue, 22 Apr 2008 15:35:30 GMT

Annual dues are $300.00 per firm, for the first three members, each additional member is $50 per person. If you are paying by credit card, please be sure to complete credit card information below and fax to Kimlee Gely at 212-313-1012. If you are paying by check, please remit a check payable to the Internal Auditors Division with the complete registration form as soon as possible to:

Securities Industry and Financial Markets Association
360 Madison Avenue, 15th Fl
New York, NY 10017
Attn: Kimlee Gely
212.313.1195 (ph)
212-313-1012 (fax)

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 Kimlee Gely.

Printer Friendly Membership Application

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

Objectives:

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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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