Fall Seminar November 6, 2015

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1 Fall Seminar November 6, 2015 Join the Montgomery Chapter for 8 hours of Fraud CPE! Date: Friday, November 6, 2015 Time: Friday: Registration/breakfast at 7:30am with class beginning at 8:00am Cost: $135 for member early registration by 10/26 $150 for member registration 10/27 to 10/30 $150 for non-member early registration by 10/26 $165 for non-member registration 10/27 to 10/30 Class Location: Alfa Insurance Company 2108 East South Blvd., Montgomery, AL Continental breakfast, lunch and snacks are included in the registration fee. For questions, please contact Candice McBroom (President) at cmcbroom@alfains.com OR Event details and trainer bio will be posted at the Events tab at

2 Tommie Singleton, Ph.D., CPA, CISA, CITP, CGEIT, CFF Director of Consulting/Partner, Carr Riggs & Ingram TOMMIE SINGLETON is the service line leader for Consulting services at Carr Riggs & Ingram, a large regional public accounting firm. His duties involve forensic accounting, IT auditing, service organization control, and business valuation engagements. Tommie taught at several universities from 1991 to Prior to obtaining his Ph.D. in Accountancy from the University of Mississippi, he was president of a small value-added dealer of accounting information systems using microcomputers for eleven years. His education and experience are a mix of Information Systems and auditing. Altogether, Tommie has over 30 years of experience with IT and fraud, including numerous engagements, numerous seminars, two books ( CITP Review and Forensic Accounting and Fraud Auditing ), and teaching classes at universities. Dr. Singleton is a member of the AICPA, ASCPA, ACFE, IIA, and ISACA. Tommie has been active in service to the profession. Dr. Singleton served on the AICPA s Information Technology Executive Committee from , and Coordinator for the AICPA s two IT audit schools from 2009 until the present. Tommie served on the IT Assurance Task Force for both ISACA and AICPA. He also was the column editor for IT Audit Basics column of ISACA Journal from 2006 through Specialties Fraud, IT Audit, SOC reports/ssae No. 16, CPE provider

3 Fall Seminar Outline 8 CPE hours FRAUD 105 INTRODUCTION TO FRAUD DETECTION AND PREVENTION Description: Fraud examination is a methodology for resolving fraud allegations, which begins with fraud detection or fraud audits, but also encompasses obtaining and analyzing evidence (including non-financial evidence), taking statements, writing reports, reporting findings, and providing litigation support. This seminar will provide attendees with some basic knowledge and skills to about conducting effective asset-theft fraud investigations. Intended audience: Accountants, Attorneys, Auditors, Controllers, Educators (especially in the areas of accounting and criminal justice), Loss Preventions Specialists, Managers, Private Investigators, and Law Enforcement Personnel. Course level: Basic (Recommend Seminar #101, #102 as prerequisite) Time required: 4 CPE hours Agenda: 1. Introduction / Review [~0:10] 2. Definitions of Fraud [~0:20] 3. Classic Fraud Research [~0:30] 4. The Fraud Triangle [~0:30] 5. The Scope of Fraud [~0:30] 6. The Profile of a Fraudster [~0:30] 7. Fraud Taxonomies [~0:30] 8. Axioms of Fraud [0:30] 9. Fraud Prevention [2:15] 10. Fraud Detection [2:15] Course Objectives: Motivated to be more proactive about fraud Basic knowledge of the major fraud schemes (ACFE Fraud Tree) Basic understanding of the major steps in fraud examination Better able to recognize fraud and initially respond correctly Course materials: PowerPoint slides Video segments (optional) Practical cases (3 to 5 real-life cases)

4 FRAUD 106 RESPONDING TO FRAUD INCIDENTS Description: An entity s response to a fraud committed against it should not be an ad hoc function. Instead, every entity should develop a response plan to fraud BEFORE one is committed, while key people are calm and collected. A response plan should begin with a risk assessment. By studying fraud concepts, fraud research, and one s own organization, he/she will be effective in developing any risk assessment. Then the entity should develop appropriate responses related to public image, law enforcement, customers, innocent employees, and other constituents. The conclusion of this process would be a complete and effective fraud policy. Intended audience: Accountants, Attorneys, Auditors, Bookkeepers, Controllers, Educators (especially in the areas of accounting and criminal justice), Loss Preventions Specialists, Managers, Private Investigators, and Law Enforcement Personnel. Course level: Basic (recommend seminar #101, #102, #105 as prerequisites) Time required: 4 CPE hours Agenda: 1. Introduction [~0:20] 2. An Adequate Fraud Policy [~1:00] 3. How to Make an Appropriate Risk Assessment of Fraud in Your Organization [~0:50] 4. Public Relations, Insurance and other response issues [~0:50] 5. Law Enforcement & Disposition of Fraud Cases [~1:00] Course Objectives: Motivation to develop better risk assessment as it relates to fraud Information and examples of specific risk assessments related to fraud Ability to connect fraud research and concepts with risk assessment Better able to make effective decisions related to fraud and whether to prosecute a fraudster Be better prepared to handle the public image, internal image, customers, and other constituents if a fraud occurs Course materials: PowerPoint slides Risk Assessment models/lists/instruments Practical cases Sample Fraud Policies

5 Seminar Registration November 6, 2015 Name: Company: Address: Registrant Information Billing Registrant (if different) Telephone: Preferred badge name: Registration Fee: $135.00, member registered by 10/26, IIA Membership Number: $150.00, member registered by 10/30, IIA Membership Number: $150.00, non-member registered by 10/26 $165.00, non-member registered by 10/30 Check enclosed # OR Bill my employer For credit card payments, contact Candice McBroom **Will have an additional processing fee. ** Upon registration, an invoice will be ed to the billing provided. Payment will be due on or before 10/30/15 at 5 pm, unless other arrangements are made and approved by the President and Treasurer. Make checks payable to: Payment can be mailed to: IIA Montgomery Chapter Carrie Baker Alfa Insurance P.O. Box Montgomery, AL Cancelation notices received by noon on 10/30 will receive a full refund; no refunds for cancellations after noon on 10/30/15. Send this form to Candice McBroom: cmcbroom@alfains.com OR FAX at Questions: Candice McBroom at OR Carrie Baker at