Hot Topics & Trends Month
Meeting 12:30pm - 1:30pm
Lunch to start being served at 11:45
Registration begins at 11:30pm
Risking It All
Michael King, Assistant Regional Director of Enforcement, SEC
Doug Branch, CPA, CFF, ABV, ASA, Director of Forensic Services, PriceWaterhouse Coopers
Objectives:
Have you ever participated in a forensic investigation? Were
you familiar with what to and not to do during the investigation?
Would you know where to start if you were asked to perform an
investigation? This presentation will introduce you to a
hypothetical scenario involving an internal investigation at a public
company and it is meant to facilitate discussions about the roles and
responsibilities of internal and external auditors. The presentation
will explore:
- The roles and responsibilities of internal audit during a forensic investigation,
- The common
mistakes encountered during a forensic investigation,
- The potential ramifications of a poorly performed forensic
investigation and
- The best practices when performing a forensic investigation.
No prerequisites required
Michael King is an assistant regional director in
the U.S. Securities and Exchange Commission’s Fort Worth Regional
Office. He joined the SEC’s Division of Enforcement in 2003.
During his tenure with the SEC, Mr. King has been primarily
responsible for investigating and prosecuting enforcement actions
involving accounting fraud, improper trading by hedge funds, insider
trading, offering frauds and the Foreign Corrupt Practices Act.
Most recently, he supervised the enforcement actions against Stanford
Financial Group, Panalpina, Inc. and Life Partners Holdings, Inc.
Prior to joining the SEC, Mr. King was an associate in the Dallas
office of Haynes and Boone, LLP.
Mr. King received his undergraduate degree from Vanderbilt
University in 1997. He earned his J.D. with honors from Southern
Methodist University in 2001.
 Doug Branch is a Director in PwC’s Advisory
Services practice and has been with the firm for over eleven years. He
is a Certified Public Accountant (CPA), Certified in Financial
Forensics (CFF), Accredited in Business Valuation (ABV) and an
Accredited Senior Appraiser (ASA). Mr. Branch has been
designated as an expert witness in matters involving forensic
accounting investigations, complex business valuations, and lost
profits. Mr. Branch has also directed engagements involving
internal control consulting, financial statement restatements,
transaction due diligence, purchase price disputes, financial
statement audit services, and general financial consulting to clients
operating in a wide range of industries including health care,
technology, consumer and industrial products, telecommunications,
hospitality and leisure, financial services, energy and mining, and
construction, among others.
An area of special focus throughout Mr. Branch’s career involves
the application of generally accepted auditing standards (GAAS) and
generally accepted accounting principles (GAAP). In this context, Mr.
Branch is frequently engaged in matters involving purchase price
disputes and matters involving professional liability of accounting
and audit firms. Mr. Branch graduated from the University of Texas at
Austin with a Masters in Professional Accounting.
1 Hour Continuing Professional Education
Make your Reservation On line! - Please read our Cancellation Policy
CAE Spotlight 12:20pm - 12:30pm
Registration begins at 11:30pmMedia Industry
Anna Nicodemus, Vice President of Internal Audit, Belo
No prerequisites required.
The objective of this brief presentation is to provide Insight
into the best practices, organizational structure and types of
audits performed by an Internal Audit department within the media
industry.
 Anna Nicodemus is the Vice President Internal
Audit for Belo and is responsible for managing the enterprise-wide
internal audit function. Belo owns 20 television stations, two
regional cable news channels, two local cable news channels, and
operates more than 25 Web sites, several interactive alliances and a
broad range of Internet-based products. Prior to joining
Belo in 2011, Anna served as Vice President Internal Audit for A. H.
Belo Corporation a distinguished media business of news and
information that owns newspapers that reach a total audience of 3.7
million people. Prior to joining Belo and A. H. Belo, Ms.
Nicodemus had more than 19 years of audit experience at Electronic
Data Systems (EDS) where she was a regional audit manager responsible
for both financial and technical audits. Her responsibilities
there included Corporate Systems and Functions, Global Finance and
Policy Compliance, Europe, Middle East, and Africa, US Midwest, AT
Kearney consulting, and Canada.
Ms. Nicodemus is an active member of the Dallas IIA Chapter and is
currently on their Board. She is a current member of the Global
Board of Directors Institute of Internal Auditors and Chairman of the
Audit Committee. She is also on the University of Texas at
Dallas’s Advisory Board for the Internal Audit Program.
No Continuing Professional Education
CAST Meeting 10:30am - 11:30am
Registration begins at 10:00am
Reporting Differences Between SSAE 16/ISAE 3402 and SAS 70
Susan Pollen, MBA, CPA, CISA, CCSFP, Senior Manager, Ernst and Young
No prerequisites required
Objectives: SSAE 16 is an enhancement of the SAS 70
standard for reporting on the controls of a service organization.
The new standard brings US based companies up to date with the new
international service organization reporting standards, the ISAE
3402. The changes became effective as of June 15, 2011, and if
you are not familiar with the new standard you will certainly want
to attend this presentation so that you can effectively evaluate the
Service Organization Controls reports that you will be receiving
going forward.
1 Hour Continuing Professional Education
Susan Pollen is a Senior Manager of IT Risk and
Assurance Solutions at Ernst & Young and has been with the firm for
seven years. Ms. Pollen a Certified Public Accountant (CPA) and a
Certified Information Systems Auditor (CISA) and a Certified Common
Security Framework Professional for HITRUST (CCSFP).
Ms. Pollen
graduated from the University of Texas at Dallas with a Degree in
Business and the University of Phoenix at Dallas with a Masters in
eCommerece.
1 Hour Continuing Professional Education
Make your Reservation On line! - Please read our Cancellation Policy
Pre-Meeting 10:30am - 11:30am
Registration begins at 10:00am
Meeting Stakeholder Expectations for Assurance:
Internal Audit’s Role in a Group Effort
Dr. Urton Anderson CIA, CCSA, CGAP, CFSA, CCEP, UTD McCombs School of Business
Objectives: As organizational risks become more
complex, boards and senior management increasingly are struggling to
fulfill their oversight responsibilities. Specifically they need
assurance that the risks are being managed to acceptable levels.
Internal audit is one of the primary sources of this assurance, but
it is by no means the only source. In most organizations these
assurance sources remain in silos and uncoordinated resulting in
ever increasing costs, unaddressed gaps, and assurance fatigue for
operating managers. This session will look at the emerging practices
of assurance mapping as well as “combined assurance” approaches such
as those recently introduced in South Africa and Europe. Stepping up
to managing coordination of these disperse assurance efforts bring a
new way in which IA can enhance its value to the organization.
No prerequisites required
 Dr. Urton Anderson is Clark W. Thompson, Jr.,
Professor in Accounting Education at the McCombs School of Business,
The University of Texas at Austin and currently the Academic Fellow at
the U. S. Securities and Exchange Commission in Washington DC. Urton
received his Ph. D from The University of Minnesota in 1985.
Urton's research has addressed various issues in internal and external
auditing – particularly corporate governance, compliance, enterprise
risk management and internal control. He has written four books
and is one of the co-authors of the internal auditing textbook -
Internal Auditing: Assurance and Consulting Services. Several of these
books have been translated into Spanish, Chinese, and Japanese. He is
active in the Institute of Internal Auditors and has twice served as
Chair of the Internal Auditing Standards Board (2002-2003 and
2007-2010). He currently serves as the vice-chair of the IIA’s
Committee of Research and Education Advisors and is on the Board of
Trustees for the IIA Research Foundation. Urton serves on the
board of directors for the Health Care Compliance Association and the
advisory board of the Society Corporate Compliance and Ethics. Urton
is also active in the Auditing Section of the American Accounting
Association and served as its President for 2009-2010.
1 Hour Continuing Professional Education
Make your Reservation On line! - Please read our Cancellation Policy
Post-Meeting 1:30pm - 2:30pm
Root Cause Analysis
Priya Sarjoo, CIA, Director of Advisory Services, Grant Thornton LLP
Objectives: Root cause analysis (RCA) is a class of
problem solving methods aimed at identifying the root causes of
problems or events. The practice of RCA is predicated on the
belief that problems are best solved by attempting to correct or
eliminate root causes, as opposed to merely addressing the
immediately obvious symptoms. By directing corrective
measures at root causes, the likelihood of problem recurrence is
minimized. In this session, participants will learn more about the
process of root cause analysis and the techniques and tools to
identify root causes of events or problems.
1 Hour Continuing Professional Education
 Priya Sarjoo is a director in Grant Thornton’s Advisory Services
with more than 15 years of experience in accounting, internal
controls and business process improvement.
Priya has helped her clients with improving operational
efficiencies, enhancing monitoring mechanisms, streamlining
management reporting systems, developing and implementing internal
audit functions and processes and evaluating internal controls
environments. She has provided internal audit services
including risk assessments, audit scoping, audit plan development,
audit executing and reporting, to companies in a variety of
industries.
Priya has also worked extensively with U.S. public companies prepare
for compliance with the U.S. Sarbanes-Oxley Act. Specifically,
she has helped her clients use the COSO framework to assess their
entity and process-level risks; implement and document internal
controls; implement and test controls in corporate governance,
business and financial reporting processes; and evaluate
deficiencies.
While with Grant Thornton, Priya spent 2 years living and working in
Hong Kong and providing co-sourced and outsourced internal audit
services to multinational companies with operations in Hong Kong, China,
Japan and Thailand.
Make your Reservation On line! - Please read our Cancellation Policy
Meeting Location
Doubletree Hotel Dallas Near the Galleria
4099 Valley View Lane, Dallas 75244 ~ 972-385-9000
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Registration Cancellation Policy
- Registration cutoff is 5:00 pm CST on the Friday before the
meeting.
- Payment must be received by the Friday before the meeting. Your registration is not
confirmed until paid. We strongly encourage you to pay via
PayPal to confirm your registration. If you are mailing a
check, the envelope must be post marked 8 days prior to the
meeting (i.e., on Thursday the week prior to the Friday
meeting) to ensure we receive your payment on time. If the
envelope is not post marked within the required timeframe and is
received late, you will be notified by email that a) the meeting
is sold out or b) an additional $10 late fee per person will be
assessed. Only registrations paid by PayPal will be
accepted on days just prior to the meeting.
- If you miss the deadline to register and space is available,
you can attend the meeting as a walk-in. Before coming to
the meeting, please check the website to see if we are accepting
walk-ins since our meetings tend to sell out.
- The deadline to cancel your registration is 5:00 pm CST on the
Friday before the meeting (unless otherwise noted) to receive a
refund. If you do not cancel by the deadline, you may send
a substitute in your place after notifying
reservations@dallasiia.org. The substitute will be
required to pay an additional $10 if they are not a member of
the Dallas Chapter. To cancel your registration, please send an email to
CANCEL@dallasiia.org.
- If you
miss the deadline to register and space is available, you can
attend the meeting as a walk-in. Before coming to the meeting,
please check the website to see if we are accepting walk-ins
since our meetings tend to sell out.
- All walk-ins will need to register at a separate table before
the start of the meeting. The walk-ins will be required to
complete an on-site registration form which will include name,
company name, address, and email address and can pay with cash
or check made payable to the Dallas Chapter of The IIA for the
applicable amount. Only cash or checks are
accepted at the door.
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