REGISTRATIONFORM CertificateCourse on Concurrent Audit ofbanks

Transcription

1 It sourpleasuretoannouncethatnoidabranchgotthepermissiontoholdthecertificate courseonconcurrentaudit during themonth ofjanuary February Members arerequested tokindly comeforward and enroll themselves forthecertificate course.theregistrationformandthedetailedcourseprogramforthesameisasunder. Thedates, timings andvenuefor thesamewillbeannouncedin due courseoftime. InternalAuditStandardsBoard of TheInstitute ofcharteredaccountantsof India REGISTRATIONFORM CertificateCourse on Concurrent Audit ofbanks 1. FullNameinBlockLetters 2. Gender(put mark): Male Female 3. ProfessionalDetails: a.designation : b.organization : c. Address : d.natureofduties : Affix recent passport sizephotograph 4. Member Details: a. MembershipNumber: b. Membershipstatus(put mark)fca ACA c. AnyotherQualifications 5. Phone No.: Mobile: 6. AddressforCorrespondence: 7. address: 7

2 8. DetailsofCourseFees: D.D./PayOrder/ /ChequeNo. Dated Amountin(Rs.): DrawnonBank: Branch: Date: Place: (SignatureoftheParticipant) Notes: 1. LimitedSeats,registrationwill beonfirstcome-firstservebasis. 2. FeeStructure:FeeswithoutAccommodation:MetrocitiesRs.15, 000/-per participant.fornon-metro CitiesRs.12, 500/-perparticipant. Cheque/DD forfeeshouldbedrawninfavor ofsecretary,instituteof CharteredAccountantsofIndia,payableatDelhiandshouldbe sentto respectivebranch.pleasementionyourname,membershipnoandmobileno onthebackofthe Cheque/DD. 3. EncloseSelfAttestedPhotocopyoftheInstituteI-CardorMembershipLetteror MembershipCertificate. (Forofficeuseonly) ACKNOWLEDGEMENT We acknowledge the receipt of the Registration Form for the CertificateCourseon ConcurrentAuditofBanksfrom Mr./Ms on.../ /2013along with the Demand Draft/Pay Order/ ChequeNo... for Rupees. Date : Place: NodalOfficer 8

3 Date CertificateCourseon ConcurrentAudit ofbanks Organized by : InternalAudit StandardsBoard of the ICAI Technical Sessions (90minuteseach) Topics Day1 9:45AM to 10:00 AM InauguralSession I II III EffectiveConcurrentAudit Scope of concurrentaudit Sources of obtainingexisting Bank Practicesand GuidelinesforBankAudit Pre commencementplanning procedures Execution of Concurrent Audit Timely submission ofaudit reportsandquality of reports Compliance of pending observationsgiven in audit report Documentation of AuditPlanning and Evidence Legaland RegulatoryFrame work Transfer of PropertyAct, 1882 Power of Attorney Act Indian Stamp Act, 1899 The Recovery of Debts Due tobanksandfinancial InstitutionsAct, 1993 The CreditInformation Companies(Regulation)Act, 2005 The Securitisation and Reconstruction of Financial Assets andenforcement of SecurityInterest Act, 2002 KYC norms&obligation of banksunderprevention of Money Laundering Act(PMLA 2002) IV 4:00PM to5.30 PM Negotiable InstrumentAct, 1881 Diligence Reportsfor Banks Scope and format ofdiligence Report Accessto recordsandmethodologyfordiligence reporting Reporting with qualification 9

4 Day2 V VI Loansand advances CreditAppraisal Sanction/Disbursement Documentation Review/Monitoring/Supervision Statutoryrestrictionsandregulationsrelating toloans Discussion on Fundbased/non fundbased limits 1

5 Date Technical Sessions (90minuteseach) Topics Discussion on other loansrelated issues Relevant RBI circulars VII Prudentialnorms on Income Recognition, Assets Classification andprovisioningpertaining toadvances VIII 4:00PM to5.30 PM Book Debtsand stockaudit Day3 IX X XI XII 4PM to5.30 PM FOREX & TRADE Importsof Goodsand services Exportof Goodsand services Miscellaneousremittances from India Facilities available to residents Remittances facilities tononresidentindians Letter of Credit/BankGuarantee DomesticandForeign Exportfinance BOE Certification A1 A2 A3 certification Foreign Investmentin India Investmentsby ResidentsAbroad External commercialborrowing and Trade Credits NostroandVostroAccounts Variousforex returns NRE/NRO/FCNR(B)/EEFC/RFC Accounts Permissible debitandcredit FCRA Act(Includingdemonstration of liveuse of MHA website foraudit) Purchase and sale ofcurrency Currency/DD/Travel cards/travellercheque OtherForex related issues Relevant RBI circulars Fraud Detection, Classification and Reporting Discussion on Case Studieson FraudsOccurred in 10

6 Date Technical Sessions (90minuteseach) Topics BankingIndustries Day4 Day5 Day6 XIII 10:00AMto PM XIV XV XVI 4:00PM to5.30 PM XVII XVIII XIX XX 4PM to5.30 PM XXI ConcurrentAudit Procedures Cash ATMmachine and cash collection MachinesAudit Deposits (Other thanforexdeposits/nre/nroetc) SuspiciousTransactionsandAML issues Operationsandhigh risk transaction House Keeping Clearing Regulatoryrequirement (Other thanforex) Revenue Audit Discussion on Audit Trails/Exception reportsrelating to high risk operationaltransactions Audit in CBS Environment: Checks&Strategy Useof TechnologyinConcurrent Audit Software Usage inbanks CBS Demonstration General Audit Software (GAS) AuditinFinacle/ ERPEnvironment Data Extraction from Finacle Implementation of BaselCapital Regulatory Requirements inindia DisclosureRequirements Treasury and InvestmentFunction Part I RulesandRegulations governing Treasury Functionin Banks Treasuryinfrastructure and itsinternal controls Cash and Investment Management Function AssetandLiability Management Function 11

7 Date Technical Sessions (90minuteseach) XXII XXIII Topics Treasury and InvestmentFunction Part II RulesandRegulations governing Treasury Functionin Banks Treasuryinfrastructure and itsinternal controls Cash and Investment ManagementFunction AssetandLiability Management Function Banker PanelDiscussion (GMsof Banks toaddress) Concurrent Audit Banker sperspective and Expectations To be finalized by thebranch XXIV 4PM to5.30 PM Theobjective istogetbanker sviewsonexpectations from concurrent auditors and how the chartered accountants can addvalue toconcurrentaudit. Objective Assessment CPEHours: 36 hrs. ParticipationFees:DelegatefeeofRs.12,500/ perdelegatepayablebycheque/ddinfavorof"noida BRANCH OF ICAI"payableatNOIDAandshouldbesenttoNOIDA BranchofCIRCoftheICAI alongwith dulyfilled registration form. CourseChairman CourseCo ordinator For Registrations and further details please contact: CA.ShiwajiB. Zaware Chairman,InternalAudit Standard Board 12

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