Upload
tommy-seah
View
2.544
Download
0
Embed Size (px)
DESCRIPTION
A Value-Added Audit On ETHICS and AUDITORS DUTIES (Assessing Organizational and Individual Ethics) By Tommy Seah World Class trainer for practicing auditors BACKGROUND 13th Aug 2009, Hotel Rendezvous, Singapore BACKGROUND The continuing influence and impact which personal and professional ethics exerts upon individuals, organizations and society, and the factors which influence organizational ethics, has been thrust into the headlines of the populous. The ethical issues faced daily by organizations and their employees are neither always straightforward nor easy to resolve. Results of unethical behavior by accounting/audit professionals, and the impact of ethics upon organizations, is a topic of growing concern in corporate board rooms around the world. This one day seminar will examine the timely and important topic of ethics and its relevance and importance to overall corporate wellbeing. In particular, what factors influence the likelihood that an individual will act ethically or less than ethical, and what this means to management, the organization, and internal controls in general. It also examines the question, if the auditors are doing all that they are suppose to do, in the manner that they are suppose to do it, why does fraud still occurs? OBJECTIVES OBJECTIVES After completing this seminar, participants will be able to: Understand SEATA and understand the interrelated nature of organizational functions and components as they relate to establishing an ethically compliant organization CFE Strategic Alliances Jointly Organized by Endorsed by Certified System Investigator CSI World Headquarters, Singapore (CSI CPE Credits: 8) CFE International Consultancy Group Private Limited Identify the role of organizational values in driving strategic goals and objectives Discover the role that personal values play in driving individual employee choices and decisions Develop an ethics assessment tool designed to evaluate an organization's compliance to stated ethics policies Pinpoint the underlying causes of patterns of unethical and/or undesired employee behavior Reduce the incidence of employee conflict between the intended change and their personal ethical standards and expectations Increase employee commitment to organizational goals and objectives
Citation preview
A Value-Added Audit
On ETHICS and AUDITORS DUTIES(Assessing Organizational and Individual Ethics)
By
Tommy SeahWorld Class trainer for practicing auditors
BACKGROUNDBACKGROUND
13th Aug 2009, Hotel Rendezvous, Singapore
BACKGROUNDThe continuing influence and impact which personal and professional ethics exerts uponindividuals, organizations and society, and the factors which influence organizational ethics,has been thrust into the headlines of the populous. The ethical issues faced daily byorganizations and their employees are neither always straightforward nor easy to resolve.Results of unethical behavior by accounting/audit professionals, and the impact of ethics uponorganizations, is a topic of growing concern in corporate board rooms around the world. Thisone day seminar will examine the timely and important topic of ethics and its relevance andimportance to overall corporate wellbeing. In particular, what factors influence the likelihoodthat an individual will act ethically or less than ethical, and what this means to management,the organization, and internal controls in general. It also examines the question, if theauditors are doing all that they are suppose to do, in the manner that they are suppose to doit, why does fraud still occurs?
OBJECTIVESOBJECTIVES
After completing this seminar, participants will be able to:
Understand SEATA and understand the interrelated nature of organizational functions andcomponents as they relate to establishing an ethically compliant organization
CFE Strategic Alliances
Jointly Organized by Endorsed by
Certified System InvestigatorCSI World Headquarters, Singapore(CSI CPE Credits: 8)
CFE International Consultancy Group Private Limited
components as they relate to establishing an ethically compliant organization
Identify the role of organizational values in driving strategic goals and objectives
Discover the role that personal values play in driving individual employee choices anddecisions
Develop an ethics assessment tool designed to evaluate an organization's compliance tostated ethics policies
Pinpoint the underlying causes of patterns of unethical and/or undesired employee behavior
Reduce the incidence of employee conflict between the intended change and their personalethical standards and expectations
Increase employee commitment to organizational goals and objectives
A Value-Added Audit
On ETHICS and AUDITORS DUTIES(Assessing Organizational and Individual Ethics)
COURSE OUTLINECOURSE OUTLINE
What is Ethics?
Ethical Issues Facing EmployeesEthics vs. Morality Business Ethics: The Key Issues
What is Fraud?
Examining Judgment
WHO SHOULD ATTENDWHO SHOULD ATTEND
Internal & External Auditors
General Counsels
Chief Information Officers
Chief Security Officers
ControllersExamining Judgment The Many Forms of UnethicalBehaviorA Framework for Judgment General Ethic Questions all Professionals Should Ask
Ethical model for Decision Making
Why do people behave unethicallyQuestioning Professional
Responsibility & Ethical Conduct Establishing Ethics Policies
Ethics Auditing
Internal Danger Signs ofOrganizations at Ethical RiskEthical Hazards Related to
Controllers
Chief Privacy Officers
Corporate Ethic Officers
Human Relations professionals
Anyone charged with designing orimplementing processes aimed atcreating organizational change
Any individual who wishes to learnhow to assess ethical practices (orshortcomings) within workplaceenvironments.
Individuals responsible forassessing their organization'svalues, ethic programs, training,
Ethical Hazards Related toGroupthinkThe Temptation Triangle
Can Ethics Be Taught?
Ethics in Practice
What is SEATA?
How can you know whether theauditors are auditing or “auditioning”?Is SEATA the tool for times like
these?
values, ethic programs, training,policies and procedures or have animpact on their organization'sexpectations or standards forethical employee behavior.
Anyone who needs to understandthe impact that ethical businesspractices have on organizationalbehavior, culture, and businesspractices
A CLOSER LA CLOSER LOOK AT...
A Value-Added Audit
On ETHICS and AUDITORS DUTIES(Assessing Organizational and Individual Ethics)
An important fact of reengineering, downsizing, rightsizing, or other majororganizational change is that groups that are not perceived as providing value will bereduced or eliminated. That may even include the audit or quality assurance group! Inorder to survive, all groups must demonstrate added value to their customers. ValueAdded Auditing is one method that ensures a higher level and perception of value tothe auditing customers, line management. This is what we do best!
What differentiates our auditprocess is the creative, on-goinginteraction between clients andour experienced audit team. Themost important thing toremember is that you will beusing Certified Fraud Examiners
IndustryExpertise
Seamless
Effective InternalControl
Enhanced
AUDIT
the auditing customers, line management. This is what we do best!
Our audit process is a matrix of services, integrating technical expertise and practicalbusiness advice into a powerful analytical tool. By developing the story behind yournumbers, we are able to understand your business drivers and assess their presentand future impact.
Conducted in compliance with the highest standards, we are able to deliver an auditthat is much more than a report card. Once we have completed the fieldwork, we willarrange a “Closing Meeting” to provide advice and recommendations which mayimprove your company’s efficiency and profitability.
using Certified Fraud Examinersand or Certified SystemInvestigator for this purpose.Backed by industry knowledgeand expertise, our team willtailor procedures to identify your
specific concerns and issues. By addressing those areas, we will provide you with thebest value through a risk-based approach, which concentrates on where the greatestrisk of material misstatement could occur.
If you’d like to find out more, contact at or e-mail
SeamlessTransition
Enhanced Business Process
Improved Profits
Tommy Seah
SPEAKER
Tommy is someone that you would like to meet and to know. Straighttalking, sincere, kind, helpful and without pretences, he is truly a man ofstrong conviction and blessed with many practical talents. First andforemost, he is a World Class hands-on accountant He has worked as anAccountant and Auditor for some of the largest companies in the world. Heis a tried and tested accountant with a very firm grip on financial products.
He is a Certified Fraud Examiner and a member of The Board of Regents of
Tommy Seah
A Value-Added Audit
On ETHICS and AUDITORS DUTIES(Assessing Organizational and Individual Ethics)
SPEAKER
He is a Certified Fraud Examiner and a member of The Board of Regents ofthe Association of Certified Fraud Examiners Board based in Texas, USA.CFE is a very well recognized post graduate professional qualification by
The World Bank, The Asian Development Bank, the USA Central Intelligence Agency in it’s recruitmentof auditors for combating fraud and the FBI for combating Financial Crimes. His services in providingtechnical training and consultancy in AML and Basel II systems implementation is much sought after bynumerous banks in the region, including Singapore, Malaysia, China, Indonesia, Brunei, Thailand,Philippines and Taiwan.
To this very day, he holds the top honor and the highest possible position of being the one and onlyRegent Emeritus form the Asia Pacific Rim. For that very reason and all the fraud cases he hasundertaken, he is very often refereed to as “The No. 1 Fraud Buster in Asia”.
Tommy's previous experience includes systems based auditing in an American International Bank,where he was the Senior Regional Auditor responsible for the Bank's audit in the Asia Pacific region.He has also held the top executive position of Chief of Internal Audit in a prime offshore bank where hisaudit duties cover the Singapore and Hong Kong operations of the bank. His brief covers all areas ofthe bank's audit of operations and IT systems. Prior to this, he was Head of Operations of a foreignbank.
Tommy Seah is the author of seven banking books including the F.I.G. Program. The FIG is theauthoritative and definitive text on Financial Instruments designed to be used in the world wide banking
http://www.cfe-icg.com Integrity � Accuracy � Objectivity
authoritative and definitive text on Financial Instruments designed to be used in the world wide bankingindustry. This publication has received excellent review and first class commendation from some of themost authoritative professional certification body and top rated banks in the world. In addition to beinga Fellow Member of two internationally recognized prestigious leading UK Accountancy body and anAssociate of The Australian National Institute of Accountants, Tommy holds professional graduatediplomas from two Banking Institutes including the prestigious Chartered Institute of Bankers (UK).Besides being a qualified fellow member of two U.K. professional accounting bodies, he is also amember of the Institute of Internal Auditors (USA) and Information Systems Audit and ControlAssociation (ISACA), previously known as EDP Auditors Association. (USA).
For the past thirty years, Tommy has trained numerous bank auditors and consulted by numerouslawyers in the region. Financial Instruments, Foreign Exchange, Money Market Options, Derivativesand Swaps are his special interests. He devotes a substantial portion of his time in research work andis presently available on retainer to selected established banks for loss prevention consultancy. Today,he is still very much a hands-on accountant, auditor, investigator and SOX 404 Compliance examiner.He is one of those people that you would like to meet in person, if for no other reason, than to find outfor yourself, that notwithstanding his unenviable profession, why is he so immensely popular and sucha social magnet everywhere he goes.
A Value-Added Audit
On ETHICS and AUDITORS DUTIES(Assessing Organizational and Individual Ethics)
REGISTRATION FORM
13th August 2009, Hotel Rendezvous, SingaporeCourse Fees: SGD 650
Category Discount
Early Bird ** 5%
Corporate (3 or more pax) 5%
ACSI (Associate) 10%
CSI (Certified) 15%
PAYMENT METHODS
By Cheque:
Please cross cheque made payableto CFE International Consultancy Group Pte Ltdand mail your payment together with thisregistration form to the company addressstated below in the “How to Register” box below.
* Does not include hotel accommodation.** Early Bird Discount ends 10th July 2009.
PARTICIPANT DETAILS
NAME: Dr/ Mr/ Mrs/ Ms
COMPANY DESIGNATION:
COMPANY NAME:
COMPANY ADDRESS:
PARTICIPANT’S EMAIL:
TEL NO. :
Telegraphic Transfer:
• Singapore & Other Delegates—
The Hongkong and Shanghai Banking Corporation LtdAccount No. : 147-619399-001Account Name : CFE International Consultancy Group
Pte LtdSwift Code : HSBCSGSG
ONLINE : www.cfe-icg.comEMAIL : [email protected] : (+65) 6222 9860FAX : (+65) 6222 9865POST TO : CFE International Consultancy Group
Pte Ltd6 Eu Tong Sen Street#05-13, The CentralSingapore 059817
HOW TO REGISTER
IMPORTANT NOTICE
Payments are required with registration and must be received prior to the Coaching Session to guarantee your place. Walk-in delegates will only be admitted on the basis of space availability at the Coaching
Session and with immediate full payment.
CANCELLATIONS & TRANSFERS
If you are unable to attend, a substitute delegate is welcome at no extra charge. Please provide the name and the title of the substitute delegate at least 2 days prior to the program. A refund less 10%
administrative charge will be made for cancellation received in writing 10 working days before the program date. A complete set of program documentation and a 50% refund will be given for cancellation made
3 working days before the program date. Regrettably, no refund can be made for cancellation made on and/or after the program. A complete set of documentation will however be posted to you.
The organizer reserves the right to make any amendments and/or changes to the program, venue, speaker replacements and/or topics if warranted by circumstances beyond its control.
DISCLAIMER
Due to the interactive nature of the learning session, the sequence and contents of the program may be vary according to the needs of the participants. The speaker reserves the right and the privilege to
conduct the program in the manner which he thinks to be in the best interest of the majority of the participants. Please ensure that you understand this completely so as to prevent any form of unrealistic
expectation and or disappointment in a public enrolment program that was not tailored to your specific need. Please inform the
organizer in advance if you are not agreeable or do not completely understand the above term and we will cancel your enrolment accordingly.
FAX NO. :
CONTACT PERSON’S NAME:
I have read and understood the booking terms & conditions
Signature: Date :
CFE International Consultancy Group Private Limited
SUSPECT A FRAUD?Call Certified Fraud Examiner at +65 6222 9860
or email [email protected]