Investment Training and Consulting Institute, Inc.

Emerging Issues in Investments and Derivatives

Nashville, TN: October 1-3, 2014

Day 1* & 2: 8:00 am – 4:30 pm

Day 3: 8:00 am – 3:00 pm

22 CPE

*Note – Registration begins at 7:30 am on the first day of class.


CIDA Referral Program – Special Discount!
If you refer a new CIDA candidate to the program and they sign up for the exam, you will receive a 25 percent discount off the Emerging Issues in Investments and Derivatives course registration fees. If they register for the exam and the CIDA Review course, your discount on Emerging Issues registration fees goes up to a 50 percent discount


This course is dedicated to new developments in the investments and derivatives world and the challenges for auditors that results. With all of the risk inherent in this highly complicated area, it is critical to stay on top of the new developments, new risks, new structures, new technology and new regulations. This class will cover all of the “news” that auditors should be concerns about. This is a class you can’t afford to miss if your continued or new responsibility is auditing the investment and derivative areas within your company.


While the course outline will continue to be developed since this is an EMERGING issues class, this is what we have lined up so far. We are very excited about this year in Nashville as we have some great topics and speakers and we will hope that you will join us.

  • Economic Update: Discuss the dynamic global economy and how it is affecting the markets.  What, as auditors, should we be concerned about in our audits with the volatility in the markets in recent years? What is your Chief Investment Officer concerned about with the economy today – and how should you consider these concerns and risks in your audit plan?
  • Auditing under the Dodd Frank Act: An update of the Dodd Frank regulatory environment and where things stand today. Contemplate Internal Audit’s role and where we should be focusing our audit efforts in this new and changing regulatory environment.
  • Auditing Externally Managed Portfolios: Outsourcing the management of your assets does not mean outsourcing the risks. Learn where audit should be focusing their audit objectives and resources for externally managed assets and portfolios.
  • “Catch Me If You Can”…An Emerging Issues Study of Key Risk and Key Controls in the “Life of a Trade”: Our markets have changed since the crisis…has your audit processes? This exercise will force attendees to think out of the box and will send them home with updated risk matrices and controls to update their Audit Programs.
  • Understanding the Purpose of Critical Internal Committees and What Makes them Effective: Complex Securities Committee, Risk Oversight Committee, Valuation and Performance Committee, Credit Committee (Broker and Counterparty): Learn the “Black Hat” challenge of these committees and why this process can be extremely important to the success of these committees.
  • Interview the Traders and Portfolio Managers: The Secrets of Success! Explore techniques to enhance the effectiveness of interviews with Front Office personnel.
  • Round Table Discussion: As a part of the class, a round table discussion will be held among attendees and the instructor(s). Participants will be asked to submit questions that they would like answered in the “round table discussion” in advance of the seminar. This will allow us to research answers before class time. This round table discussion will allow you to discuss audit concerns, share leading practices and discuss new audit approaches like continuous auditing.

Course Duration: 3 day(s)
CPE Hours Available: 22
Knowledge Level: Intermediate
Field of Study: Auditing, Accounting, Specialized Knowledge & Applications
Prerequisites: ​General Knowledge of Audit & Investments
Advance Preparation: None
Delivery Format: Group-Live