Fraud and Securities Seminar
Event Details
Fraud and Securities Seminar
12/08 - 12/09/2021
8:00 am - 12:00 pm
Event Description

Join the IIA Florida West Coast Chapter and the ISACA West Florida Chapter for its December Fraud and Securities Seminar. We welcome three incredible speakers over two half days to facilitate the December seminar. This seminar will cover three distinct topics. Each speaker is unique in his own right. Jonathan Marks is presenting “ Fraud Risk Assessments.” Jason Mefford is presenting “It’s All About Emotional Intelligence.” And, in a four-hour segment, Dr. Toby Groves is presenting “The New Psychology of Fraud.”

Session Overview:

Part One - Fraud Risk Assessments
Risk assessments are part of the discipline of risk management, where enhanced frameworks and techniques have emerged. Risk management comprises the identification, assessment, and prioritization of risks followed by the coordinated and efficient use of resources to monitor, minimize, and otherwise control the impact of the risks on the organization. Risks arise in many forms and can range from uncertainty in financial markets, operational failures, natural disasters, and pandemics, to legal liabilities and reputational harms. This session will focus on fraud risk assessment and how to conduct the assessment and how to use it effectively. 

After this session, participants will be able to:

  • Understand a best in class methodology for conducting a fraud risk assessment.
  • Understand how to use the fraud risk assessment to enhance your ethics training.
  • Identify common pitfalls in the fraud risk assessment process.

Part Two - It’s All About Emotional Intelligence
Stress levels are on the rise, leading to turnover, absenteeism and health conditions. To succeed in leading diverse, healthy and dynamic teams, internal auditors must understand how to be mindful and emotionally intelligent in their interactions with employees and stakeholders. Using techniques from science, psychology, and emotional intelligence this session will show
how simple changes in style can create large increases in productivity, retention and engagement. In addition, you will learn how to develop a more mindful culture in work teams, understand and develop the key attributes of an emotionally intelligent leader, embrace diversity as a way to create stronger teams, and improve communication between team members. This is an introductory course on the basics of emotional intelligence as it applies to internal auditors. 

After this session, participants will be able to:

  • Identify and manage emotions in yourself and others.
  • Understand techniques for motivating and influencing yourself and others.
  • Move up and down the emotional spectrum and re-program your subconscious brain to be in your desired emotional state.

Part Three - The New Psychology of Fraud
This session features the latest behavioral science and the speakers first hand research and experiences to disrupt everything you thought you knew about fraud. It will spur you to challenge “sacred cows” of the industry and help you develop better thinking approaches to detect, deter, or investigate fraud, waste and abuse. Learn why many of our basic assumptions
about fraud are flawed, why some widely accepted investigative practices are more harmful than helpful, and how auditors and investigators sometimes unwittingly assist fraud schemes.

Major Subjects:

How we unwittingly assist in the production of misleading information

  • The neuroscience of psychopathy
  • Behavioral profiling
  • The new psychology of skepticism
  • Cognitive errors including attribution and overgeneralization
  • How experience, intuition and assumptions can cause cognitive errors

After this session, participants will be able to:

  • Identify at least three cognitive biases commonly committed in fraud investigations.
  • Identify at least one psychological theory that should be used in fraud investigations.
  • Identify three characteristics of skepticism that should be employed in fraud investigations.
  • Identify one outdated economic theory that has underpinned fraud investigations and how to avoid it.

CPE:  8

Field of Study (part 1): Auditing
Field of Study (part 2): Personal Development
Field of Study (part 3): Specialized Knowledge and Applications

Fee:  $99 members, $129 non-members (Registration with payment is required prior to receiving the confirmation log-in link.)

$10 of your registration fee goes to Toys for Tots in the Tampa Bay area!