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Bridging the Expectation Gap between Banks and External Auditors
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Bridging the Expectation Gap between Banks and External Auditors
  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    PROGRAMME DETAILS

    DATE

    20 – 21 June 2018

    TIME

    9:00 AM – 5:00 PM

    VENUE

    Asian Banking School
    This intermediate programme is designed to help senior and mid-level management understand and appreciate the role of external auditors in contributing to financial stability when they deliver quality bank audits which foster market confidence in banks’ financial statements
    LEARNING LEVEL
    Intermediate
    PROGRAMME FEE*

    AICB MEMBER

    MYR

    2,200

    / PAX

    NON-MEMBER

    MYR

    2,700

    / PAX

    *inclusive of GST
  • Objectives & Outline
    LEARNING OBJECTIVES
    By the end of the programme, participants will be able to:
    • Understand the legislation, financial reporting framework and auditing standard governing the external audits of banks in Malaysia
    • Describe the purpose and objectives of external audits
    • Gain an insight to the audit process
    • Appreciate the different types of reports issued by external auditors, and the impact of audit observations and findings on the banks
    • Build a better working relationship with their internal and external auditors which may lead to enhanced audit process and audit quality
    PROGRAMME OUTLINE
    Malaysian auditing system, legislation and guidelines
    • External audits in the Malaysian environment 
    • Financial reporting framework, accounting and auditing standards 
    • External audit quality and banking supervision 

    Change of external audits’ landscape in the digital age  
    • Evolving roles of external auditors 
    • Keeping up with the banks’ digital transformation 
    • Embracing technology in the audit process 

    Independent review of the banks’ internal controls systems
    • Corporate governance 
    • Compliance with policies and procedures 
    • Information systems 

    Leveraging the work of internal auditors
    • External auditors’ considerations when relying on the work of Internal Audit A nutshell of the external audit process (from a layman’s perspective) 
    • Organisation  
    • Duties and responsibilities 
    • Planning of audit work 
    • Reporting and documentation 

    External audit scope of work
    • Controls testing approach 
    • Substantive testing approach 
    • Technology audits 

    Audit reports for banks
    • Different types of external audit reports 
    • Key audit matters and their implications to banks 

    Reporting framework
    • Reporting to those charged with governance 
    • Role and responsibilities of bank audit committees 
    • Audit oversight authorities 
  • Methodology

    Lecture, interactive group discussions, case studies and sharing of practical experiences

  • Participant Profile
    Middle to senior-level bank executives and those interested to learn about external audits of banks
  • Trainer

    Lynette Kwek

    Senior Consultant, Asian Banking School

    Lynette Kwek started her career as an internal auditor working in the financial services sector prior to joining the public accounting practices. During her tenure as an internal auditor, she gained wide exposure to the review of financial and operational business processes in the banking environment. She led process walkthroughs and reviews of revenue processes, assessment of systems and manual controls for revenue cycles, general ledger interfaces as well as data analytics for the bank and its subsidiaries in the unit trust, asset management and insurance businesses. Besides her industry experience, she also specialised in the reviews of various IT systems environments in the areas of IT governance, information security management, data management and MIS framework, change management, IT system operations, and implementation of IT projects.
    Upon joining the public accounting practice in 2003, she went on to lead and manage a portfolio of audit engagements and risk assurance related projects, which involved sizeable financial services organisations based in and outside of Malaysia. She also led several Sarbanes-Oxley related engagements, IT due diligence, third party assurance reviews, regulatory compliance and outsourced service provider reviews for several local and foreign banks. She was also part of a major IT advisory project for a major bank in the UK when she was attached to one of the big 4 audit firms in London.
      
    Lynette Kwek holds a Master’s Degree (with Distinction) in Accounting and Finance from the University of Birmingham, UK. She is a Fellow of the Association of Chartered Certified Accountants (ACCA) UK, a member of the Malaysian Institute of Accountants (MIA) and a member of ISACA.

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