Audit and Compliance

Community information
Internal audit and compliance professionals are facing increasingly stringent regulatory requirements when it comes to compliance reporting and internal control procedures. Join the audit and compliance community to learn best practices from thought leaders on topics such as regulatory compliance, internal audit checklists and audit program strategies.
  • Agenda:
    1.) Why, how, and when to screen clients
    2.) War Story
    3.) Conclusion: Why client screening may have helped mitigate the claim
    4.) Questions

    About the Speaker: Attorney Ralph Picardi serves as a risk-management consultant to NAPLIA. His legal practice concentrates primarily in the area of defending accountants, lawyers, insurance agents and other professionals in matters of professional liability. In addition to litigation, Mr. Picardi specializes in advising accountants, lawyers, and their insurers in matters of coverage, and in matters of loss control through hotlines, seminars, risk management audits and publications.

    There will be a 10 page whitepaper sent out to registrants (in advance)
  • Grow your business, not your IT. Cloud technology is helping early stage companies focus on rapid growth by eliminating the burden of IT. Come join us to learn about a cloud enabled business management solution that can scale easily to support your business growth.
  • According to a PwC report “One of the main reasons many banks world over have resisted embracing a customer-centric model is because of integration challenges.”

    The future of most financial institutions depend on the strong connections they forge with customers. The relationship between banks and customers are constantly evolving and they need to adapt and connect in new ways with the customer to remain competitive today and win tomorrow’s customer. Mobile technology and social media are presenting opportunities and challenges to reach out to the customers like never before. While driving customer centric transformation initiatives are important for the bank, it is also extremely critical for the banks to have a strong Run the Bank strategy to drive operational efficiencies and manage cost pressures. Business integration plays a very critical and powerful role in designing and implementing Transform the bank and Run the bank initiatives. Despite the evident dividends banks seem to wrestle with their technology plans and investment decisions.

    In this session, we will address a few effective strategies for banks to address the challenges posed with integrating technology and business and how banks can take the leap towards
    a)Leveraging the strong multichannel interaction and delivering a seamless customer experience
    b)Segmenting consumers dynamically through real-time insights
    c)Tailoring real time offers based on real-time customer data
    d)Run the bank initiatives with focus on efficiencies and cost savings.

    With the right partner and technology expertise, you can deliver seamless banking experience to your customer.
  • The cross-border private placement market has continued to grow, providing non-US issuers with an opportunity to raise capital from US and European financial institutions. This market, which has been incredibly robust this past year, has continued to attract issuers across a myriad of industries and from multiple jurisdictions. These issuers seek to, among other things, diversify their funding sources or supplement their bank lending, lengthen their existing debt profile, refinance acquisition debt, or finance certain single-asset projects.

    In this webinar, speakers will discuss:
    - The global private placement market and recent trends
    - Market participants
    - Documentation requirements for traditional and structured transactions
    - Financial covenants, MFLs and model form provisions
    - New issuers using the market (social housing trusts, universities, investment trusts etc)
    - Marketing process with agented and direct private placements
    - Ratings and the NAIC

    Speakers:
    - Scott Ashton, Morrison & Foerster
    - Brian Bates, Morrison & Foerster
    - Tom Young, IFLR (moderator)