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X-ORIGINAL-URL:https://investci.com/
X-WR-CALNAME:Investment Training and Consulting Institute, Inc.
X-WR-CALDESC:Premier Provider of Investments and Derivatives Audit Training and Consulting
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BEGIN:VEVENT
CLASS:PUBLIC
UID:MEC-b8c27b7a1c450ffdacb31483454e0b54@investci.com
DTSTART:20261209T183000Z
DTEND:20261209T223000Z
DTSTAMP:20260317T151800Z
CREATED:20260317
LAST-MODIFIED:20260608
PRIORITY:5
SEQUENCE:36
TRANSP:OPAQUE
SUMMARY:Auditing Derivative Activity through Data Analysis – Virtual
DESCRIPTION:We are very excited to offer a class on Derivative Analytics once again this year. Barb Davison (ITCI) has teamed up with Elizabeth Scott from the State Board of Administration of Florida to deliver this very informative and critical session on using data analysis in your derivative audits.\nDerivatives are very difficult to audit as many of you know. When utilizing an appropriate system to review all derivative activity over a defined scope period; you just enhanced your ability to identify anomalies that could be red flags in need of further review.\nWe know many of you are are skilled in data analytics in general and have most likely used them in investments before. Therefore, we are focusing this class on derivatives analysis only.  To facilitate our class objectives, we will assume all attendees have a cursory knowledge of derivatives. This will allow us to use simulated derivative trades to demonstrate data anomalies that can be highlighted in trade activity.\nWe also will encourage attendees to share any successful derivative analytics they have utilized that can provide more information to the class.\nCOURSE OUTLINE:\n\nDiscuss the importance of using data analysis in your derivative audits.\nDetermine the type of derivative data that can be used and how to obtain the independent data from multiple systems and from independent sources.\nIdentify data fields that are more conducive to understand the trade activity.\nRecognize the specific derivative risk that can be isolated for further review.\nDiscuss which data runs are best to be used only in derivative audits and which analytics can be utilized in continuous auditing programs.\nOnce we discuss the above topics, we will demonstrate types of derivative analytics that can be completed on both trade data and holdings. We will use real trade data in Excel and Tableau to demonstrate the data results. While there are other very good data systems that can be used, these are the specific systems available to the class facilitators.\nWe will review a recent case study highlighting derivative fraud and discuss how derivative analytics could have assisted in identifying the red flags.\nWhile we will only use derivative activity, we will send you home with a summary listing of data routines that you can perform in different asset classes to enhance your investment audits moving forward.\n\nCourse Information:\nThe course time will be 12:00 pm – 4:00 pm Central Time. For virtual courses, the virtual meeting link and course materials will sent 3-5 days before the course start date.\n\n\n\nCourse Duration: \n4 Hours\n\n\nCPE Hours Available: \n4 CPE\n\n\nField of Study: \nAuditing (2),  Specialized Knowledge (2)\n\n\nProgram Level:\nIntermediate\n\n\nPrerequisites: \n​General Knowledge of Audit & Investments\n\n\nAdvance Preparation:     \nNone required\n\n\nDelivery Method:\nGroup-Internet Based\n\n\n\n \n\n\n\n\nInvestment Training and Consulting Institute, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credits. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.\n\n\nAttendance Requirements: \nIn order to be awarded the full CPE hours, attendees must complete at least 3 attendance monitoring mechanisms (codewords, polls, etc) per CPE hour.\n\n\nPolicy Information:\nFor more information regarding how to register for a course, refund, program cancellation, complaint policies and other frequently asked questions, please visit our Q&A page or contact our office at 785-783-8201.\n\n\n\n
URL:https://investci.com/events/cida-review-course-878-416-660-107-217-731/
ORGANIZER;CN=ITCI:MAILTO:info@investci.com
CATEGORIES:2026 Seminar Series,Auditing Derivative Activity through Data Analysis
LOCATION:Virtual Webinar
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