Chairman’s Message – April 11, 2012

FSA Times Home Page The financial services industry is being especially challenged by the increasing volume of regulations that seem like a constantly moving target. It’s critical that the role of internal audit and compliance in our organizations be clearly defined and well coordinated to reduce the possibility of non-compliance and the resulting financial penalties, [...]

Chairman’s Message – January 11, 2012

Chairman’s Message — January 11, 2012 FSA Times Home Page Happy New Year! As we begin 2012, we continue to learn more about a financial services industry scandal that emerged in the fourth quarter of 2011 at MF Global. If you think about the last several years and the number of these cases — Bernie [...]

Chairman’s Message – October 26, 2011

FSA Times Home Page I hope everyone had a great summer. I’m not sure about you, but my summer seems to go by more quickly every year. As we head into fall, we have our eyes on yet another multi-billion dollar rogue trader fraud at Societe Generale. It will be interesting to read the details [...]

Chairman’s Message – July 20, 2011

FSA Times Home Page   On June 16, the Financial Services Advisory Board (FSAB) presented “Consumer Protection Implications for Financial Services Auditors,” the second in a series of four compliance webinars in partnership with Protiviti. We’d like to thank Carol Beaumier, Michael Brauneis, and Steven Stachowicz for an excellent presentation. Our compliance series continues with [...]

Chairman’s Message – April 13, 2011

FSA Times Home Page The Financial Services Advisory Board (FSAB) has been busy collaborating with IIA chapters that are hosting regional and international conferences to develop and present financial services training programs. Currently, we are working with the conference organizers of the Midwestern Regional Conference (Milwaukee) and the Central Regional Conference (Pittsburgh) in 2011 to [...]

Chairman’s Message – January 19, 2011

FSA Times Home Page The holidays have passed and many of us are already into the busiest time of the year. The stock market somewhat rebounded at the end of 2010 and let’s hope the trend continues upward for the economy in general. It is a very interesting time in our industry and there is [...]

Chairman’s Message – October 20, 2010

FSA Times Home Page On behalf of the Financial Services Advisory Board, I want to thank all who took the time to complete the recent survey regarding your membership with the Financial Services Specialty Group. We received some excellent feedback and suggestions from our members and met in early September to evaluate the results and [...]

Chairman’s Message – July 14, 2010

FSA Times Home Page Last month’s IIA International Conference in Atlanta was a great success. As we announced previously, the Financial Services Auditors (FSA) group combined forces with the Atlanta Conference Committee on a financial services virtual track in lieu of holding our own separate conference as we have done previously. For any of you [...]

Chairman’s Message, April 14, 2010

FSA Times Home Page I hope each of you had a chance to review the program information for The IIA’s International Conference taking place June 6–9 in Atlanta, Ga. As I’ve discussed previously, your Financial Services Auditors Board (FSAB) decided to merge the 2010 Financial Services Conference with the International Conference, which is effective this [...]

Chairman’s Message, January 20, 2010

Greetings and happy new year to all of our financial services group members. I hope everyone had a great holiday season. Your Financial Services Advisory Board was busy meeting face-to-face at the 2009 IIA Mid-year Committee meetings in Orlando, Fla., and working with the 2010 Atlanta International Conference Program Committee. As you may recall, we [...]