Dallas Chapter of the IIA / March 2003 Seminar

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Fraud Risk Management:
Issues & Answers for Auditors and Fraud Examiners

1:30 - 5:30 on March 20, 2003

John J. Hall, CPA

The fraud handling expectations placed on auditors and fraud examiners grow each year. Most managers and Board members expect that audit, risk management, and security groups possess and can effectively deploy fraud-handling expertise. With the additional expectations from the Sarbanes-Oxley Act, professional auditors and others are working harder than ever to define their fraud-handling role and be part of the solution.

But even very experienced auditors will acknowledge that handling wrongdoing, misconduct and fraud issues, while interesting, is an area of great uncertainty and risk. What is needed is a place for auditors and fraud examiners at all levels to learn about the skills necessary to respond effectively to these challenges.

This “how-to” seminar does just that. It will help participants be more effective in:

Assisting management with their fraud prevention and detection responsibilities
Identifying fraud exposures and risks
Detecting fraud and misconduct
Handling fraud incidents

Topics Covered

The role of the fraud examiner and auditor in risk management
What the professional standards say (and what they don’t say)
Responding to Sarbanes-Oxley Act requirements
Creating a Current Loss Scorecard § Fraud Prevention: helping management create an anti-fraud environment
Fraud risk assessment during project planning
Creating a fraud risk inventory for your organization
Fraud discovery skills for internal auditors and fraud examiners
Fraud examples and the impact on audit planning, work programs and controls
Example fraud indicators
High payback audit steps
The internal auditor’s role in investigations
Helping management correct control weaknesses

Mr. Hall is a consultant, speaker, and seminar instructor. He leads programs to help clients:

Create a comprehensive anti-fraud environment
Identify and assess areas of exposure to wrongdoing, misconduct and fraud
Strengthen fraud prevention and detection controls

John also helps clients handle incidents of wrongdoing, misconduct and fraud. These services include incident investigation, preparation and review of fidelity bond insurance claims, coordination with law enforcement and prosecutors, and identification and correction of control failures related to the incident.

Other training, consulting and coaching areas include:

Behavior and communication skills enhancement for professionals, including:
- Establishing rapport
- Listening and interviewing
- Speaking and presenting
- Selling ideas
- Influencing others to take action
Consulting skills for professional auditors
Internal audit department effectiveness, structure and strategy

John has 25 years of experience as a consultant, speaker and business owner and in public accounting, internal auditing, and corporate management positions. Prior to returning to his own business in December 2002, he was North American Practice Director - Internal Audit Services for Jefferson Wells International. In this position, John was responsible for internal audit co-sourcing and related specialty services (including fraud, litigation services and forensics) for the firm’s 37 offices throughout North America.

Mr. Hall is a member of the American Institute of CPAs and the Institute of Internal Auditors. He is chair of the 2002 and 2003 AICPA National Conferences on Fraud.

IIA Member Cost: $35 (Payable on-line with credit card or at the door)
Non-IIA Member Cost: $50
CPE: 4 hours
Questions: melinda.lokey@triadhospitals.com