Dodd-Frank –This sweeping financial regulatory reform initiative is not only enormous in scope; its rules are being shaped and reshaped by political and corporate considerations over an extended period of time. Through it all, the chief audit executive and Internal Audit must forge a strong connection with those in the C-suite in order for top executives to stay informed. Jim Low, KPMG Partner, will discuss the 10 priorities so internal auditors can use these as a vehicle for executive-level discussion and improvement within the enterprise.
Vendor Risk - This session will present steps organizations can take to help ensure the value of the relationship(s) is maximized while meeting the terms of related contractual agreements including understanding of the different types of contractual relationships, challenges and requirements for ensuring a successful relationship, contract types and steps to verify compliance and lessons learned and keys to success for an effective contract compliance program.
Jim Low - Jim has over 19 years experience serving the financial services industry, including commercial, international and investment banks, industrial conglomerates and securities dealers. He is currently leading up KPMG’s Financial Services Regulatory Center of Excellence focusing on the Dodd-Frank Consumer Protection and Welfare Reform Act including Conflict Minerals.
Parth Jhaveri - Parth is a Director in KPMG’s Short Hills Advisory Service practice with over eleven years of audit and advisory experience. He specializes in performing risk and controls assessment, conducting contract compliance services and internal audits as well as gap analysis reviews for clients in several industries. He has assisted with a number of contract compliance engagements dealing with a number of different types of strategic arrangements including licensing, royalty and joint development of products and transactional/vendor driven arrangements.