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 Fraud Seminar

4/16/2014 8:00 AM
4/16/2014 4:35 PM
La Quinta Inn & Suites (4431 Horizon Hill Blvd., San Antonio, TX 78229) | Texas
The San Antonio Chapter of the IIA Presents a
1-Day Fraud Seminar (8 CPE Hours)

​Session Title: “Coordinating Fraud Risk Assessment with Enterprise Risk Management” (2 CPE)

Description: Enterprise risk management requires identification and monitoring of all risk categories facing an organization. While fraud risk may not necessarily rise to the top of an entity’s critical risk factors, integration of a fraud specific risk assessment aligned with the results of the entity-wide risk assessments can yield substantial benefits. During the implementation of Enterprise Risk Management, the critical entity level risks should be drilled down to the process and functional level. Incorporate specific fraud risk considerations to gain the most benefit of this effort. Assessing the relevance of fraud risk categories such as misappropriation of assets, financial reporting fraud, and corruption will assist individuals in management with identifying the schemes and scenarios of fraud with a higher relevance in the organization. Coordinating risk management and assessment efforts allows participants to focus and discuss risk, in various forms and topics, at one time. Thus developing an overall picture of risk within the organization and increasing the awareness of risk among managers and decisions makers.

Learning Objectives:
  • Understand how ERM activities can be extended to fraud risk assessment.
  • Understand how focus on specific fraud risk factors can increase the value obtained in a fraud risk assessment and identification of relevant and probable fraud scenarios.
  • Understand how various risk assessment efforts can be combined to enhance overall risk management and awareness.
  • Alyssa G. Martin, CPA – Dallas Executive Partner, Risk Advisory Services: Has more than 25 years of experience in public accounting, including 17 years of internal control process risk management. Her practice emphasis is in operational analysis, risk management, internal audit, quality assurance reviews, fraud prevention, IT audit, business management consulting, strategic planning and technology consulting for government entities, private and publicly held companies. Much of that work involves collaborating with management teams on growth strategies and board of directors’ matters, as well as working with audit committees involving governance and with private equity firms to coordinate strengthening management activities as new requirements are undertaken. She also has significant experience with management and risk advisory matters, internal audits, information technology advisory work and ERP system implementations. Alyssa is a frequent, sought-after speaker on advisory matters for professional and civic audiences. She authors numerous articles for professional and business publications including a periodic column in the Dallas Business Journal, titled “Management Matters.” As an active member of the American Institute of Certified Public Accountants, the National Association of Corporate Directors, the Institute of Internal Auditors, Alyssa remains on the forefront of industry regulations and changes. She serves on many community boards, civic committees and has been honored with a number of awards. She graduated with a bachelor’s degree and a master’s in business administration from the University of Texas at Dallas.​
  • John M. Wauson, CPA – Senior Manager, Risk Advisory Services: Has more than eight years of public accounting and risk advisory experience. His practice emphasis is in risk management, internal audit, business consulting and process improvement, IT general controls review and outsourced accounting and financial reporting services. He is responsible for supervising ERM engagements, risk assessments, internal audits, consulting and SOX compliance engagements for multiple businesses ranging from small private and public companies to large multi-billion dollar companies. John has made presentations and spoken on several occasions to business, professional and civic organizations. He is a member of and co-chair of Young Professionals Group of the Dallas CPA Society, a member of Texas Society of Certified Public Accountants (TSCPA), American Institute of Certified Public Accountants (AICPA), Institute of Internal Auditors (IIA) and Council of Petroleum Accountants Societies (COPAS). He graduated with a bachelor of business administration degree in accounting from the University of Oklahoma.​
Session Title: “Cybercrime – Mitigating ACH & Wire Transfer Fraud” (2 CPE)​

Description: Learn about current trends with cybercrime relating to ACH and Wire Transfer (Corporate Account Takeover) Fraud, what the banking industry is doing about it, and how businesses can protect themselves.

Learning Objectives:
  • Understand the current trends, issues, and impact of corporate cybercrime relating to ACH and Wire Transfer fraud.
  • Learn about what banks are doing to protect corporate customers, and the limitations of those measures.
  • Help business customers understand the internal measures they can take to reduce the risk associated with ACH and Wire Transfer fraud.
  • Brian Thomas, CISA, CISSP – Partner, IT Advisory Services: Brian Thomas has more than 15 years of experience in management consulting and risk advisory services. With experience managing teams delivering IT-focused solutions such as SOC reporting, system integration, information security, SOX assistance, IT audits, and IT project management; Brian brings diverse knowledge and technical skills to his clients. His responsibilities currently include the management and development of Weaver’s IT advisory practice and he is involved in all aspects of the business. He has experience serving the technology, upstream oil & gas, downstream refining and chemical manufacturing, E&C, oil field services, utilities, and technology service provider industries. Brian frequently speaks and publishes articles on the subject of information security and related subjects. He is a member of the American Institute of Certified Public Accountants IT Executive Committee’s SOC Reporting Task Force and a member of the IM Advisory Council at the McCombs School of Business of The University of Texas at Austin. He graduated with a master’s degree and a bachelor’s degree in civil engineering from the University of Texas at Austin.​
  • Neha S. Patel, CPA, CISA: Neha Patel is a senior manager at Weaver, the largest independent accounting firm in the Southwest with offices throughout Texas. She has more than nine years of experience in public accounting and internal audits focused on information technology (IT) audits; governance, risk and compliance, including service organization control audits (SSAE 16/SOC 1 and trust services audits (SOC 2 and SOC3);  Sarbanes-Oxley (SOX) assessments and other technology consulting.
Session Title: “Using Technology for Data-Driven Investigations of Fraud" (2 CPE)​

Description: Most business transactions are now completely electronic and maintained in data warehouses or relational databases. Using data analysis software, it is now possible to analyze large datasets to detect fraud. By extracting data that meet specific criteria, auditors and investigators can analyze a significant amount of data to identify trends, patterns, anomalies and unexpected relationships. These types of red flags are a good indicator of potential fraud. This presentation will illustrate and explain the various data extraction techniques using an actual fraud case.

Learning Objectives:
  • Learn how to use data analytics to detect fraud.
  • Learn to identify red flags and symptoms of fraud in the data.
  • Develop tests to detect various fraud schemes.
  • Anthony Cecil, CPA, CFE - Forensic Consultant, Resources Global Professionals (RGP): Anthony Cecil’s background encompasses forensic accounting investigations and audits in a wide range of industries. He currently is the principal in a forensic accounting firm based in Dallas, Texas. Prior to this, Mr. Cecil was the controller of a telecommunications company with gross revenue totaling over $360 million. In addition, Mr. Cecil was the managing director of a boutique forensic accounting and computer forensic firm based in Virginia; senior manager in KPMG’s Forensic and Litigation Services group; director of special investigation units for Bell Atlantic Corporation (Verizon Corporation) and Bell Atlantic Mobile (Verizon Wireless); and a senior auditor for Price Waterhouse. Mr. Cecil has experience directing forensic accounting, litigation support and audit engagements for multimillion-dollar entities involving hedge funds, financial institutions, telecommunications, railway, and healthcare. Mr. Cecil’s career has also included expert testimony, liaison with government agencies, witness preparation, and providing accurate accounting information that formed the basis for setting new auditing standards and safeguards against fraud within organizations. Mr. Cecil has extensive experience using IDEA Data Analysis Software (IDEA). He teaches data analysis in his Financial Investigations graduate course as well as provides data analysis training to companies.​
Session Title: “Government Contract Fraud” (2 CPE)​​

Description: Internal Controls: What good are they if not utilized?

Learning Objectives:
  • Learn indicators of contract fraud.
  • How the internal auditor can assist law enforcement in rooting out fraud and corruption.
  • Learn ways fraudsters get around internal controls.
  • Special Agent Fred Olivares, FBI: Entered on Duty with the FBI in June 1988, and was assigned to work white collar crime in the San Diego Division where he investigated various criminal violations including bank fraud, ponzi schemes, fraud by wire, mail fraud and public corruption. Fred is currently assigned to the San Antonio Division where he investigates white collar crime, including bank fraud, investor fraud, money laundering and other related violations. During his countless investigations, he has interviewed thousands of people and reviewed countless documents. He also has trial experience which has lead to the prosecution of numerous subjects. Fred is a Certified Public Accountant and Certified in Financial Forensics, and a Bachelor of Business Administration degree in Accounting from The University of Texas at Austin. He has investigated white collar crime and public corruption for 25 years.​
Price: $100 Members; $125 Non-Members

Early Bird Price: 20% Off! $80 Members; $100 Non-Members – If paid on or before April 2, 2014. Payment is due at the time of registration. We recommend that you pay through PayPal to confirm your registration.

Registration: ​To register, please complete the registration survey at IIA-April-Seminar​.  You will be provided with the option to pre-pay using PayPal upon completion of the survey. Registration deadline is April 9, 2014 (Wednesday).

Cancellation: Refunds will not be granted after Wednesday, April 9, 2014. Substitutions are permitted by notifying Camille Marbury at​.

Hotel Accommodations: In the event that you require hotel accommodations for the night before, please contact La Quinta Inn & Suites at (210) 541-0240. Indicate IIA SA Chapter when reserving your room to obtain the special room rate of $85 per room per night plus tax.