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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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CLASS:PUBLIC
UID:MEC-c4015b7f368e6b4871809f49debe0579@investci.com
DTSTART:20230724T133000Z
DTEND:20230725T213000Z
DTSTAMP:20230213T011800Z
CREATED:20230212
LAST-MODIFIED:20230326
PRIORITY:5
SEQUENCE:19
TRANSP:OPAQUE
SUMMARY:Understanding and Auditing Investment Activities – Virtual
DESCRIPTION:Notice: Virtual information will be communicated to the attendees at a later date, closer to the event.\nOur introductory investments course has been updated to reflect the every-changing investments market including new securities, new operational procedures, new regulations  and new accounting risks — making this a class you cannot afford to miss.  Focusing on the “buy-side” of the industry, this class is designed for internal auditors who have been charged with auditing investment from securities execution all the way through investment settlement, reporting and recording.\nThis class will walk you through the traditional markets such as  fixed income, equity and structured products, alternative investments and will discuss the audit areas to focus on in each of these areas. The course will also discuss the specific responsibilities of the front, back and middle offices of a typical investment division and highlight  audit procedures and techniques to review each of these divisions.\nCOURSE FEATURES\n\nDiscuss the most common audit issues that are uncovered in a traditional review of the Investment areas.\nLearn the most common securities that are traded in the short-term and capital markets. Briefly discuss derivatives and the alternative asset sectors to ensure you would be able to identify these securities and any red flags in your review.\nLearn the audit issues surrounding traditional securities as well as structured products.\nReview the internal controls that “bullet-proof” your investment portfolio and discuss the leading practices of other companies.\nStudy the red flags to watch for in this volatile inflationary market to make sure your investment portfolio has the right controls in place and they are functioning effectively.\nIntroduce the Investment infrastructure and the roles of the front, middle and back office to ensure proper segregation of duties is present in your company.\nDiscuss the problems with the “repo” and security lending area that have been seen in the market of late.\nLearn about auditing portfolios with external management and the risks unique to the externally managed, or ‘manager of managers’, structure\nDevelop audit program steps in class to get you started once you return home.\n\n\nCourse Outline\n\n\n\nCourse Duration: \n2 day(s)\n\n\nCPE Hours Available: \n16\n\n\nField of Study: \nAccounting (2), Auditing (6),  Specialized Knowledge (8)\n\n\nProgram Level:\nIntermediate\n\n\nPrerequisites: \n​General Knowledge of Audit & Investments\n\n\nAdvance Preparation:     \nNone\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 answer at least 3 polling questions 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-525-930-542/
ORGANIZER;CN=ITCI:MAILTO:info@investci.com
CATEGORIES:2023 Seminar Series,Understanding and Auditing Investment Activities
LOCATION:Virtual Webinar
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