Financial Services Internal Audit Forum. Thursday, 21 November 2013 Sheraton on the Park Hotel 161 Elizabeth St, Sydney.

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Financial Services Internal Audit Forum Thursday, 21 November 2013 Sheraton on the Park Hotel 161 Elizabeth St, Sydney Principal sponsor The Partners and

1 Financial Services Internal Audit Forum Thursday, 21 November 2013 Sheraton on the Park Hotel 161 Elizabeth St, Sydney Principal sponsor The Partners and Supporters Program supports IIA-Australia s strategy to increase the influence and recognition of the internal audit profession. Our Partner: Major sponsors Cocktail sponsor

2 Thursday 21 November am 8.50am 8.50am 9.00am 9.00am 9.40am KEYNOTE am 10.20am KEYNOTE am 10.40am REGISTRATION AND ARRIVAL REFRESHMENTS WELCOME ADDRESS AND OPENING REMARKS The crystal ball: future global and domestic drivers for the financial services sector We will examine key drivers and pressure points for the industry, and how these will impact on internal business functions. The session will cover: How business models are changing to meet structural shifts in the industry Analysis of reporting season results and relative strengths/weaknesses across the sector Global and local regulation and policy priorities to enable efficient functioning of the system Risks and opportunities: trends that are changing the financial services landscape David Ellis, Head of Australian Financial Services Research, Morningstar Australasia Auditing the organisational risk culture: insights and key considerations Creating a risk-aware culture in an organisation can potentially keep your organisation off the front page of the news, avoiding negative publicity and preserving hard-earned reputation. Areas to be discussed include: Broadening and confirming your internal audit mandate Understanding typical behavioural attitudes towards risk What has the research shown? Conducting the audit process Outcomes and next steps: strengthening your internal controls Elizabeth Arzadon, Associate Director, Macquarie Bank MNING TEA 10.40am 11.30am KEYNOTE am 12.30pm 12.30pm 1.20pm 1.20pm 2.00pm APRA expectations of managing risk appetite: update and major focus areas This session will provide an overview of the regulator s work across risk management and governance, exploring: Lifting standards across the industry: key standards and supervisory practices Articulating and embedding risk appetite: how can organisations best respond? Ensuring effective reporting and governance APRA s CPS220 and CPS510 Governance: harmonising arrangements and future state of play Ian Laughlin, Deputy Chairman, Australian Prudential Regulation Authority KEYNOTE 4 - PANEL SESSION Improving risk assessment and mitigation in the face of emerging risks With business facing new emerging risks, how can risk assessment be changed to account for these new threats? How can organisations increase their agility in adapting to complex and ever-changing market conditions? This panel session will focus on the position of internal audit in an uncertain world, with reference to specific examples of how risk assessment is changing to meet internal and external demands. We will debate how traditional risk methods are holding up and what key skills internal auditors are developing to add strategic value to their businesses. Looming risks and long-term strategic risks will form a major part of the discussion. Panel members: Rob Sweitser CMIIA CIA, General Manager Group Assurance, Westpac Sushil Ramrakha CMIIA CIA, Group Chief Internal Auditor, TAL Michael Coleman, Audit Committee Member, Reserve Bank of Australia LUNCH AND NETWKING BREAK SESSION 1A 1A: Applying APRA s Prudential Standard CPS220 APRA s Risk Management standard applies to all APRA-regulated institutions. In this session we will: Discuss the key components of CPS220 Outline the implications for the internal audit process Explain how to effectively implement the Standard Impact on operations from 2014 and beyond Michelle East, Director, Certainty Compliance SESSION 1B Data governance & security risks in digital world Increasing use of digital channels for financial services is exponentially increasing the volumes of customer & transaction data to be managed. We will cover: Typical & emerging data security threats facing financial services organisations Embedding data governance & security diligence within your risk management framework Understanding the common areas where data security controls can break down Case study of a data governance & security framework in action Daniel Houseman, Director, KPMG Noel Williams, Associate Director, KPMG 2 Financial Services Internal Audit Forum

3 2.05pm 2.45pm 2.50pm 3.30pm 3.30pm 4.00pm SESSION 2A Auditing advice distribution processes for financial services products Tighter requirements have placed greater scrutiny on the quality and suitability of financial advice given to consumers and investors. In this session we will explore: Recent reforms impacting on the provision of advice How auditing could be used to identify and avoid inappropriate advice issues before they arise rather than after the fact Implementing an audit process that supports and improves the advice function in your organisation to possibly mitigate the risk and cost before damage has been done Paul Levy CFP JP, Financial Adviser and Risk Adviser, Life With Levy SESSION 2B Addressing mobile payment systems risk: assurance considerations While revolutionising payments and transactions, mobile payment systems also present significant risks for organisations. Key areas of focus will be on: Mobile payments: trends and uses Identifying the major risks Key controls to mitigate risks Assurance considerations What is over the horizon? Shannon Buckley CIA MIIA(Aust), Senior Auditor, International Markets, BUPA SESSION 3A Global regulatory update for internal audit practitioners This session will provide an update on several key global regulatory issues and the impact for local internal audit practitioners. Areas to be covered include: Overview of the new UK and US financial services internal audit guidance How the UK and US financial institutions are addressing the key changes and challenges being faced The potential impact for Australian internal audit functions Other key regulatory issues Damien O Meara MIIA(Aust), Partner, Financial Service, EY SESSION 3B Integrated assurance Aligning the 3 lines of defence This session will explore the role of internal audit and other assurance functions across the organisation in ensuring effective coverage of risk: Assurance mapping: ensuring all your bases are covered Defining the roles of the various assurance functions and what role should internal audit play Creating an assurance framework that delivers results Royce Brennan, General Manager Risk, BT Financial Group AFTERNOON TEA 4.00pm 4.50pm KEYNOTE pm 5.00pm 5.00pm 6.00pm Aligning your internal audit strategy with organisational objectives A detailed strategy enables internal audit to align its objectives to the organisation. This session will explore: Developing and refining internal audit s scope and responsibility Identify and implementing strategic initiatives Clarifying and strengthening relationships with the Audit Committee and Management Operating strategies and performance measures Jon Tyers MIIA(Aust), General Manager Internal Audit, Perpetual CLOSING REMARKS NETWKING DRINKS Financial Services Internal Audit Forum 3

How to register Online Registration Register online at www.iia.org.au and follow the prompts. Each delegate must complete a separate online registration form. Please note this is a secure website.

4 How to register Online Registration Register online at and follow the prompts. Each delegate must complete a separate online registration form. Please note this is a secure website. Financial Services Internal Audit Forum 2013 Registration Fees Early Bird register before 7/11/2013 Early Bird IIA Member $665 Early Bird IIA Non-Member $765 Early Bird Group* (per delegate) $625 Standard register after 7/11/2013 Standard Member $725 Registration forms Alternatively registration forms can be returned by fax , conferences@iia.org.au, or mailed to: PO Box A2311, Sydney South, NSW 1235, Australia. IIA-Australia members must be financial at the time of registration to be eligible for the member rate. Please complete and return the registration form along with full payment. Each delegate must complete a separate registration form. Conference fees All fees are quoted in Australian Dollars and are inclusive of the 10% compulsory goods and services tax (GST). Standard Non-Member $825 Standard Group* (per delegate) $675 * Three or more delegates from the same organisation booking and paying at the same time. Each delegate must complete a separate registration form. Schedule and General Changes IIA-Australia endeavours to ensure that accurate information is contained in this brochure at time of printing, however program content, speakers and information within this brochure are subject to change without notice. At times it might be necessary to cancel or reschedule a conference after receipt of the confirmation letter. IIA-Australia will provide advance notice of such changes, and in doing so will not be responsible for penalties related to the cancelling or rescheduling of airfares, lodging, etc. Liability/Disclaimer To the extent permitted by law, IIA-Australia is not responsible for the actions, advice or representations of delegates and speakers of the Financial Services Internal Audit Forum. In completing the registration form, the delegate indemnifies IIA-Australia for any direct, indirect or consequential loss or damage in connection with any personal accidents, losses or damage to the personal property of delegates and any later substitutes. It is strongly recommended that delegates take out adequate medical, travel and personal insurance prior to commencement of the conference and travel. 4 Financial Services Internal Audit Forum

5 Financial Services Internal Audit Forum 2013 Registration form and tax invoice Thursday, 21 November 2013, Sheraton on the Park Hotel, 161 Elizabeth St, Sydney 1. PROVIDE PERSONAL DETAILS Please use block letters Title Prof Dr Mr Mrs Ms Miss Other Family name Given name Postnominal CMIIA CIA CCSA CGAP CFSA CRMA Other Position Organisation Address for correspondence City/State Country Postcode Telephone ( ) Facsimile ( ) Mobile Name as you wish it to appear on name badge 3. INDICATE SESSION PREFERENCES (please tick A or B) 1.20pm 2.00pm SESSION 1A Applying APRA s Prudential Standard CPS220 SESSION 1B Data governance & security risks in digital world 2.05pm 2.45pm SESSION 2A Global regulatory update for internal audit practitioners SESSION 2B Addressing mobile payment systems risk: assurance considerations 2.50pm 3.30pm SESSION 3A Global regulatory update for internal audit practitioners SESSION 3B Integrated assurance - Aligning the 3 lines of defence Please indicate your membership number IIA Member 2. CONFIRM REGISTRATION TYPE AND FEES Early Bird register before 07/11/2013 Early Bird Member $665 Early Bird Non-Member $765 Early Bird Group* (per delegate) $625 Standard register after 07/11/2013 Standard Member $725 Standard Non-Member $825 Standard Group* (per delegate) $675 TOTAL REGISTRATION FEES $ SPECIAL REQUIREMENTS Dietary requirements Please specify if you have any meal requirements. Please note that some special meals will incur an additional change. You will be notified if this is the case for the food type you have indicated. Special assistance Please indicate if you have a disability or require assistance to participate fully. Please list the type of assistance you require. * Three or more delegates from the same organisation booking and paying at the same time. Each delegate must complete a separate registration form NOTE: All fees are quoted in Australian dollars (AUD) inclusive of GST. This document will be a tax invoice/receipt for GST when you make payment ABN Financial Services Internal Audit Forum 5

6 6. PAYMENT DETAILS Method of payment 1 I have enclosed an Australian cheque (cheques should be made payable to The Institute of Internal Auditors Australia) 2 I have enclosed a bank draft (must be drawn on an Australian bank and made payable in Australian dollars). For all drafts drawn on a bank outside Australia, add AUD$40.00 bank collection charge 3 I will transfer the above sum to the FInancial Services Internal Audit Forum 2013 bank account (details below) Account Name: The Institute of Internal Auditors Australia Bank: Westpac Banking Corporation Address: 84 King Street, Sydney NSW 2000 Branch (BSB): Account Number: Swift code: WPACAU2S When sending payment by telegraphic transfer from overseas, please add AUD$ for bank fees. The delegate is responsible for all fees associated with the transaction. To enable us to identify your payment, please ensure that your name and FInancial Services Internal Audit Forum 2013 appear on the transfer. Please a record to accounts@iia.org.au. 7. RETURNING FM Please return form and payment to Financial Services Internal Audit Forum 2013 Institute of Internal Auditors Australia PO Box A2311 Sydney South NSW 1235 Australia Fax conferences@iia.org.au Each delegate must complete a separate registration form General enquiries conferences@iia.org.au Tel Tel Toll free (within Australia) Level 7, 133 Castlereagh Street Sydney NSW 2000 Australia 4 I wish to pay by credit card* *3% surcharge for Amex/Diners 1.5% surcharge for Visa/MasterCard Please complete the following: Visa MasterCard Amex Diners Total amount in AUD $ Credit Card Number Expiry Date Name of Card Holder Signature Cancellation Policy Cancellations must be notified in writing to IIA-Australia. Cancellations received 30 days prior to the conference will receive a full refund. Cancellations received from 30 days to 15 days prior to the conference will receive a refund less AUD $ administration fee, cancellations received within 14 days of the conference will forfeit the registration fee paid. A substitute delegate will be accepted at no extra charge, subject to membership status, if advised in writing. Transfer of monies to any other IIA product or service is not permitted. Privacy Statement I, or a later substitute hereby consent to my/their name, position and organisation being included in the Conference Delegate list and contact details forwarded by IIA-Australia to related third parties including sponsors and exhibitors. I understand that if I do not provide consent my name will not be published in the list of participants that is distributed to each conference delegate upon registration. I acknowledge that details will be used to confirm my membership status at IIA-Australia. If you do not indicate your preference it will be assumed that we may use your details as described. Consent Do not consent IIA-Australia will handle any personal information collected on this form in accordance with its Privacy Policy. Liability/Disclaimer On completing this registration form, I accept that to the extent permitted by law IIA-Australia is not responsible for the actions, advice or representations of delegates and speakers of SA Conference In completing the registration form I indemnify the IIA-Australia for any direct, indirect or consequential loss or damage in connections with any personal accidents, losses or damage to personal property of myself and any later substitutes. Office Use Only Cheque $ Credit card $ Entered Date Comments

Financial Services Internal Audit Forum. 26 November 2015 Sheraton on the Park 161 Elizabeth St, Sydney. Balancing risk and opportunity

Financial Services Internal Audit Forum 26 November 2015 Sheraton on the Park 161 Elizabeth St, Sydney Balancing risk and opportunity Program overview The financial services sector continues to embrace