Published on February 20, 2009
A Value-Added Audit On ETHICS and AUDITORS DUTIES (Assessing Organizational and Individual Ethics) By Tommy Seah World Class trainer for practicing auditors 13th Aug 2009, Hotel Rendezvous, Singapore BACKGROUND 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 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 Jointly Organized by Endorsed by CFE International Certified System Investigator CFE Strategic Consultancy Group CSI World Headquarters, Singapore Alliances Private Limited (CSI CPE Credits: 8)
A Value-Added Audit On ETHICS and AUDITORS DUTIES (Assessing Organizational and Individual Ethics) COURSE OUTLINE WHO SHOULD ATTEND COURSE OUTLINE WHO SHOULD ATTEND What is Ethics? Internal & External Auditors Ethical Issues Facing Employees General Counsels Ethics vs. Morality Chief Information Officers Business Ethics: The Key Issues Chief Security Officers What is Fraud? Controllers Examining Judgment The Many Forms of Unethical Chief Privacy Officers Behavior Corporate Ethic Officers A Framework for Judgment Human Relations professionals General Ethic Questions all Professionals Should Ask Anyone charged with designing or implementing processes aimed at Ethical model for Decision Making creating organizational change Why do people behave unethically Any individual who wishes to learn Questioning Professional how to assess ethical practices (or Responsibility & Ethical Conduct shortcomings) within workplace Establishing Ethics Policies environments. Ethics Auditing Individuals responsible for Internal Danger Signs of assessing their organization's Organizations at Ethical Risk values, ethic programs, training, Ethical Hazards Related to policies and procedures or have an Groupthink impact on their organization's The Temptation Triangle expectations or standards for Can Ethics Be Taught? ethical employee behavior. Ethics in Practice Anyone who needs to understand the impact that ethical business What is SEATA? practices have on organizational How can you know whether the behavior, culture, and business auditors are auditing or “auditioning”? practices Is SEATA the tool for times like these?
A Value-Added Audit On ETHICS and AUDITORS DUTIES (Assessing Organizational and Individual Ethics) A CLOSER LOOK AT... A CLOSER L An important fact of reengineering, downsizing, rightsizing, or other major organizational change is that groups that are not perceived as providing value will be reduced or eliminated. That may even include the audit or quality assurance group! In order to survive, all groups must demonstrate added value to their customers. Value Added Auditing is one method that ensures a higher level and perception of value to the auditing customers, line management. This is what we do best! Our audit process is a matrix of services, integrating technical expertise and practical business advice into a powerful analytical tool. By developing the story behind your numbers, we are able to understand your business drivers and assess their present and future impact. Conducted in compliance with the highest standards, we are able to deliver an audit that is much more than a report card. Once we have completed the fieldwork, we will arrange a “Closing Meeting” to provide advice and recommendations which may improve your company’s efficiency and profitability. What differentiates our audit Effective process is the creative, on-going Internal Industry interaction between clients and Control Expertise our experienced audit team. The most important thing to AUDIT remember is that you will be using Certified Fraud Examiners Enhanced Seamless and or Certified System Business Transition Process Investigator for this purpose. Improved Backed by industry knowledge Profits and expertise, our team will tailor procedures to identify your specific concerns and issues. By addressing those areas, we will provide you with the best value through a risk-based approach, which concentrates on where the greatest risk of material misstatement could occur. If you’d like to find out more, contact at or e-mail
A Value-Added Audit On ETHICS and AUDITORS DUTIES (Assessing Organizational and Individual Ethics) SPEAKER SPEAKER Tommy Seah Tommy Seah Tommy is someone that you would like to meet and to know. Straight talking, sincere, kind, helpful and without pretences, he is truly a man of strong conviction and blessed with many practical talents. First and foremost, he is a World Class hands-on accountant He has worked as an Accountant and Auditor for some of the largest companies in the world. He is 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 the 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 recruitment of auditors for combating fraud and the FBI for combating Financial Crimes. His services in providing technical training and consultancy in AML and Basel II systems implementation is much sought after by numerous 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 only Regent Emeritus form the Asia Pacific Rim. For that very reason and all the fraud cases he has undertaken, 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 his audit duties cover the Singapore and Hong Kong operations of the bank. His brief covers all areas of the bank's audit of operations and IT systems. Prior to this, he was Head of Operations of a foreign bank. Tommy Seah is the author of seven banking books including the F.I.G. Program. The FIG is the authoritative and definitive text on Financial Instruments designed to be used in the world wide banking industry. This publication has received excellent review and first class commendation from some of the most authoritative professional certification body and top rated banks in the world. In addition to being a Fellow Member of two internationally recognized prestigious leading UK Accountancy body and an Associate of The Australian National Institute of Accountants, Tommy holds professional graduate diplomas 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 a member of the Institute of Internal Auditors (USA) and Information Systems Audit and Control Association (ISACA), previously known as EDP Auditors Association. (USA). For the past thirty years, Tommy has trained numerous bank auditors and consulted by numerous lawyers in the region. Financial Instruments, Foreign Exchange, Money Market Options, Derivatives and Swaps are his special interests. He devotes a substantial portion of his time in research work and is 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 out for yourself, that notwithstanding his unenviable profession, why is he so immensely popular and such a social magnet everywhere he goes. http://www.cfe-icg.com Integrity Accuracy Objectivity
REGISTRATION FORM A Value-Added Audit On ETHICS and AUDITORS DUTIES (Assessing Organizational and Individual Ethics) 13th August 2009, Hotel Rendezvous, Singapore Course Fees: SGD 650 PAYMENT METHODS Category Discount By Cheque: Early Bird ** 5% Please cross cheque made payable Corporate (3 or more pax) 5% to CFE International Consultancy Group Pte Ltd and mail your payment together with this ACSI (Associate) 10% registration form to the company address CSI (Certified) 15% stated below in the “How to Register” box below. Telegraphic Transfer: * Does not include hotel accommodation. ** Early Bird Discount ends 10th July 2009. • Singapore & Other Delegates— The Hongkong and Shanghai Banking Corporation Ltd PARTICIPANT DETAILS Account No. : 147-619399-001 NAME: Dr/ Mr/ Mrs/ Ms Account Name : CFE International Consultancy Group Pte Ltd Swift Code : HSBCSGSG COMPANY DESIGNATION: HOW TO REGISTER COMPANY NAME: ONLINE : www.cfe-icg.com EMAIL : email@example.com TEL : (+65) 6222 9860 COMPANY ADDRESS: FAX : (+65) 6222 9865 POST TO : CFE International Consultancy Group Pte Ltd PARTICIPANT’S EMAIL: 6 Eu Tong Sen Street #05-13, The Central Singapore 059817 TEL NO. : SUSPECT A FRAUD? FAX NO. : Call Certified Fraud Examiner at +65 6222 9860 or email firstname.lastname@example.org CONTACT PERSON’S NAME: CFE International I have read and understood the booking terms & conditions Consultancy Group Private Limited Signature: Date: 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.
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