Audit in a DisRUPtive World. 4 June 2018 JW Marriott Hotel. Organizer

Transcription

1 June 2018 JW Marriott Hotel Audit in a DisRUPtive World Organizer

2 Overview The Institute of Internal Auditors ( IIA ) Hong Kong is delighted to advise that we will host our full day Annual Conference on 4 June 2018 at the JW Marriott Hotel in Admiralty Hong Kong. The Governors of IIA Hong Kong are pleased to invite you to attend this year s conference which is designed for professionals in the fields of audit, assurance, risk management, governance and compliance. The conference theme this year is "Audit in a DisRUPtive World". The topics this year will cover a broad range of interests starting from use of crypto currencies and its impact to internal audit, how companies use data analytics and AI to prevent and detect fraud, to sharing of experiences and insights from recent cyber security cases and discussing risk culture and ethics audit in light of the latest regulatory requirements. There will be panel discussions that focus on the practical responses adopted by leading companies. Sponsoring Organizations: Supporting Organizations: The IIA Hong Kong Limited - Board of Governors - Mr. Stephen LEE, IIA HK President - Mr. Stephen ANDERSON, Former Global Head of Risk and Asia Pacific Audit, HSBC Holdings Limited - Mr. Pont CHIU, General Manager of Risk Management and Internal Audit, Sino Land Company Limited - Mr. Duncan FITZGERALD, Partner, PwC - Ms. Lucia LAU, Head of Internal Control, Dah Chong Hong Holdings Limited - Ms. Alva LEE, Partner, KPMG - Ms. Helen LI, Group Chief Auditor, The Bank of East Asia Limited - Mr. Frank YAM, CEO, Focus Strategic Group Limited - Mr. Albert YIP, SVP and Regional Head of Corporate Audit, Asia Pacific, State Street Corporation

3 Programme 08:30 09:00 09:00 09:10 09:10 09:55 09:55 10:40 Registration and Morning Refreshments Opening Address by IIA HK President (Mr. Stephen Lee) Keynote Address (Mr. Naohiro Mouri, Chairman of The IIA Global Board of Directors and Executive Vice President and Chief Auditor of AIG) Auditing Crypto Currencies / Assets (Mr. Duncan Fitzgerald, Partner, Risk Assurance of PwC) (Mr. Kenneth Wong, Partner, Risk Assurance Cybersecurity & Privacy Lead of PwC China / Hong Kong and Asia Pacific) 10:40 11:10 11:10 11:55 11:55 12:40 Coffee Break Reinventing Compliance through Data Analytics / Artificial Intelligence (Ms. Bing Yu, Managing Director and General Manager, China of Promontory, an IBM Company) Cyber Risk Recent Cases Review and Lessons Learned (Dr. Frank Law, Senior Superintendent of Police and Cyber Security & Technology Crime Bureau of Hong Kong Police Force) 12:40 14:10 14:10 14:55 14:55 15:40 Buffet Lunch at ManHo Restaurant (Level 3) Auditing Risk Culture and Ethics (Dr. Ian Peters, Chief Executive of Chartered Institute of Internal Auditors) Panel Discussion 1 Auditing Risk Culture and Ethics Moderator - Mr. Douglas Lui, Vice President & Chief Internal Auditor of Sands China Ltd. Panelists - Mr. Ian Martin, Chief Internal Auditor APAC and Managing Director, Citigroup - Mr. Paul McSheaffrey, Head of Banking & Capital Markets (Hong Kong) of KPMG - Dr. Ian Peters, Chief Executive of Chartered Institute of Internal Auditors - Ms. Denise Tai, Senior Manager, Hong Kong Monetary Authority 15:40 16:10 16:10 16:55 16:55 17:00 17:30 Coffee Break Panel Discussion 2 Auditing in a Disruptive World Moderator - Mr. Frank Yam, CEO, Focus Strategic Group Limited Panelists - Mr. Naohiro Mouri, Chairman of The IIA Global Board of Directors and Executive Vice President and Chief Auditor of AIG - Mr. Gerry Schipper, Group Head of Internal Audit, AIA - Mr. Danny Seto, Head, Internal Audit and Risk Management & Internal Control and General Manager, Finance Unit of Tencent Closing Remarks by IIA HK President (Mr. Stephen Lee) Networking Cocktail at The Lounge (Lobby Level) The event is an English medium conference. 6 CPE hours will be awarded for full attendance. All participants will receive the certificate of attendance and a token gift from IIA HK governors.

4 Speakers Keynote Address Mr. Naohiro MOURI - Naohiro is an Executive Vice President and Chief Auditor of American International Group, overseeing a staff of more than 50 internal auditors. He is also Chairman of The IIA Global Board of Directors. In a career spanning more than 20 years, Mouri-san has held a number of chief auditor positions. Most recently, he was a Statutory Executive Officer, Senior Vice President and Chief Auditor for MetLife Alico Insurance K.K. Japan. He also led the audit departments at J.P. Morgan Asia Pacific; Shinsei Bank; Morgan Stanley Japan; and Deutsche Bank Japan. He began his career at Arthur Andersen in Atlanta and Tokyo. Committed to supporting internal audit professionals, Mouri-san also has held numerous board and volunteer leadership positions at The IIA, including International Secretary ( ), Vice Chairman Professional Development ( ), Vice Chairman Professional Guidance ( ), and Vice Chairman Professional Practices ( ). Mouri-san served from as the first president of the Asian Confederation of Institutes of Internal Auditors (ACIIA) and has been IIA-Japan director since Mouri-san has also received the Outstanding Contribution in the Field of Internal Auditing in 2016 by ACIIA. Mouri-san advocates for the profession through IIA and other industry forums, and he has lectured at a number of universities in Japan, including the Meiji University Graduate Program for Professional Accountancy and Senshu University. Mouri-san co-authored Korega Kinyukikan no Naibukansa da (This is internal audit for financial institution) on internal auditing for financial institutions. The book is available in Japanese and Mandarin. Mouri-san is a Certified Internal Auditor (CIA) and a Certified Public Accountant (CPA) and holds the Certification on Control Self-Assessment (CCSA). He earned a bachelor s degree in accounting from Georgia State University. Auditing Crypto Currencies / Assets Mr. Duncan FITZGERALD - Duncan is an experienced practitioner and advisor in the areas of Corporate Governance, Internal Audit, Internal Control Consulting and Regulatory Compliance. He has worked with PwC in Hong Kong since 1996 and has been a partner since Prior to moving to Hong Kong, Duncan worked with the firm in London for 8 years. He has worked with numerous public and private sector clients helping establish and/or review their Corporate Governance frameworks, risk management structures and internal controls. Outside of PwC, Duncan is a Governor of the Institute of Internal Auditors Hong Kong Chapter and helps certain charities and Non-Government Organisations (NGOs) address corporate governance challenges. He is a regular speaker at conferences on risk management, corporate governance and internal audit. Duncan is also helping a number of companies with assessing Risk Culture, both for management and through internal audit. Duncan is a fellow of the Institute of Chartered Accountants in England and Wales, and a member of the Hong Kong Institute of Certified Public Accountants and Hong Kong Institute of Directors. Mr. Kenneth WONG - Kenneth is a Partner in PwC s Risk Assurance practice and our China/Hong Kong and Asia Pacific Risk Assurance Cybersecurity & Privacy practice leader. Kenneth has over 21 years of experience working in Australia, Hong Kong and mainland China in providing a wide range of assurance and advisory services ranging from Cyber and IT security, IT strategy and governance, IT and operational risk management, regulatory advisory services to a wide range of multi-national, local and public sector organisations. Kenneth is actively involved in professional organisations. He is currently Director and Treasurer of the Information Systems Audit & Control Association (China Hong Kong Chapter), a member of the IT Interest Group of the Hong Kong Institute of Certified Public Accountants and a committee member of the HKPKI Forum. Kenneth has designations in Certified Public Accountants (CPA), Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA) and Certified Information Systems Security Professional (CISSP). Reinventing Compliance through Data Analytics / Artificial Intelligence Ms. Bing YU - Bing has more than two decades of experience advising and working with financial institutions in China and Europe, including the U.K. Prior to joining Promontory, Bing served as the partner-in-charge of financial risk management and head of banking for KPMG in mainland China. In those roles, she led strategy and business development and oversaw risk management and compliance projects for financial institutions of all sizes. Bing started her professional career with PwC in 1994, working primarily in its global capital-markets group. She spent over six years in PwC s London office. She also spent three years with UBS in London and Zurich, where as a director in the group finance function she gained extensive experience in investment-banking operations, finance, and risk management.

5 Cyber Risk Recent Cases Review and Lessons Learned Dr. Frank LAW - Frank has been working in the Hong Kong Police Force since 1998, and has been involved in cyber security and technology crime related policing since He is now the Senior Superintendent of the Cyber Security and Technology Crime Bureau. Frank had been responsible for facilitating IT crime investigation and digital forensics training programs on behalf of the Interpol Expert Group on IT Crime (Asia and South Pacific), and had led regional training programs in Korea, Japan, Australia, Thailand and Fiji. He has delivered presentations at many international cybercrime related conferences. In 2009, he was awarded with the "Information Security Leadership Award" by (ISC)2 in recognition of his outstanding leadership and achievements in workforce improvement of information security professionals in the AsiaPacific region. He is a CISSP and holds a PhD in Computer Science. His research interests include live systems forensics, digital forensics and digital timestamp analysis. Auditing Risk Culture and Ethics Dr. Ian PETERS - Ian MBE, Chief Executive, Chartered Institute of Internal Auditors UK and Ireland Ian has held the position of Chief Executive of the Chartered Institute of Internal Auditors since June He was previously Director of External Affairs at the Engineering Employers Federation (EEF) from 2001 and before that Deputy Director General of the British Chambers of Commerce. He has also worked for the Confederation of British Industry where he led their work on Small and Medium Enterprises and for international PR agency Burson-Marsteller. Ian chairs the Independent Monitoring Panel of the UK Chartered Banker Professional Standards Board and has served on a number of government committees. He holds a BA in Geography from the University of Lancaster and a PhD for research into Small Businesses from the University of Southampton. In 2015, Ian was awarded an MBE for services to regulatory reform and in recognition of his work as a member of the UK Government's Regulatory Policy Committee (RPC). Speakers Moderator Panel Discussion 1 Auditing Risk Culture and Ethics Mr. Douglas LUI - Douglas has over 20 years experience in finance, accounting, audit and risk management, governance and compliance, across the U.S., Asia and Europe. He is the Chief Internal Auditor for Sands China Ltd., a multi-billion Hang Seng index constituent, where he currently leads the internal audit function with a 30-member strong team of qualified professionals. Prior to Sands China, he was the Global Head of Audit & Risk Management for the Hongkong Shanghai Hotels Limited, the Hong Kong stock exchange listed owner and operator of the iconic Peninsula Hotels, where he was responsible for Internal Audit, Risk Management and Compliance related matters for the group. Prior to that, he led the Enterprise Performance Management & Governance Risk & Compliance business for the global software giant, SAP, in North Asia, covering China, Hong Kong, Macau and South Korea. Before returning from the U.S., he was Global Finance Director of Universal Music Group, the world s largest music publisher, responsible for global finance operations in Los Angeles, New York, Miami, London and Amsterdam. Prior to that, he was Controller of Shared Services for the Universal Studios Group worldwide head quarter in Los Angeles, CA. After his tenure in Universal, he joined a US$20B financial institution as head of Operational Risk Management, leading implementation of Basel II and companywide policies and procedures. He was qualified with Ernst & Young, Canada, and is a member of the Canadian Institute of Chartered Accountants, an international affiliate of the American Institute of Certified Public Accountants, a member of the Institute of Internal Auditors, the Risk Management Association and the Global Association of Risk Professionals. He is a frequent speaker and publisher of professional journals and conferences in Asia and the U.S. Panelists Mr. Ian MARTIN - Ian joined Citigroup in January 2015 as the Chief Internal Auditor and Managing Director for Citibank Asia Pacific, based in Hong Kong. The Asia Pacific Internal Audit team has a headcount of over 400 staff covering 17 markets. Previously, Ian held a number of positions in HSBC, including Head of Group Audit Asia Pacific, Head of Global Operational Risk Audit and Head of Group Audit Middle East and North Africa. Ian has over 30 years of financial services experience and began his career in the accountancy profession. Mr. Paul MCSHEAFFREY - Paul has thirteen years experience in Hong Kong having previously worked for KPMG in the UK for eight years. Paul is the Head of Banking & Capital Markets for Hong Kong, he is a member the British Chamber of Commerce Financial Services Committee and of the Private Wealth Management Association s Accreditation and Examination Committee. In his role as Head of Banking & Capital Markets Paul is responsible for co-ordinating our Banking & Capital Markets offerings and supporting our account teams in taking these to clients. Paul is a regular participant at industry conferences. Paul has worked with a range of clients, mainly international financial institutions in Hong Kong and Asia Pacific, providing internal audit regulatory assistance, investigations and other assurance services. Paul has also worked with banks on a range of regulatory related projects, covering regulatory compliance, anti-money laundering and benchmark rate setting.

6 Dr. Ian PETERS - Ian MBE, Chief Executive, Chartered Institute of Internal Auditors UK and Ireland Ian has held the position of Chief Executive of the Chartered Institute of Internal Auditors since June He was previously Director of External Affairs at the Engineering Employers Federation (EEF) from 2001 and before that Deputy Director General of the British Chambers of Commerce. He has also worked for the Confederation of British Industry where he led their work on Small and Medium Enterprises and for international PR agency Burson-Marsteller. Ian chairs the Independent Monitoring Panel of the UK Chartered Banker Professional Standards Board and has served on a number of government committees. He holds a BA in Geography from the University of Lancaster and a PhD for research into Small Businesses from the University of Southampton. In 2015, Ian was awarded an MBE for services to regulatory reform and in recognition of his work as a member of the UK Government's Regulatory Policy Committee (RPC). Ms. Denise TAI - Denise serves in the Banking Policy Department of the Hong Kong Monetary Authority and is currently responsible for capacity building of the banking sector in Hong Kong. Since her joining to the Hong Kong Monetary Authority, Denise has taken up position of prudential supervision of Hong Kong banking industry s corporate sector credit risk with particular focuses on Mainland-related exposures and renminbi business. Before banking supervision, Denise was in charge of banking statistics analysis and marco-prudential surveillance of the banking sector. Moderator Panel Discussion 2 Auditing in a Disruptive World Mr. Frank YAM - Frank has over 30 years of experience in the auditing and IT fields. He is currently the Chairman and CEO of Focus Strategic Group Ltd., a consulting firm providing Business and Technology services and solutions, with special focus on IT auditing, risk management, cyber-security, blockchain and cryptocurrencies. Frank had served as President for ISACA China Hong Kong Chapter, as well as Vice President for ISACA International. He was also the Founder of the Hong Kong Chapter of the Association of Certified Fraud Examiners and currently serving as Governor of IIA Hong Kong. Panelists Mr. Naohiro MOURI - Naohiro is an Executive Vice President and Chief Auditor of American International Group, overseeing a staff of more than 50 internal auditors. He is also Chairman of The IIA Global Board of Directors. In a career spanning more than 20 years, Mouri-san has held a number of chief auditor positions. Most recently, he was a Statutory Executive Officer, Senior Vice President and Chief Auditor for MetLife Alico Insurance K.K. Japan. He also led the audit departments at J.P. Morgan Asia Pacific; Shinsei Bank; Morgan Stanley Japan; and Deutsche Bank Japan. He began his career at Arthur Andersen in Atlanta and Tokyo. Committed to supporting internal audit professionals, Mouri-san also has held numerous board and volunteer leadership positions at The IIA, including International Secretary ( ), Vice Chairman Professional Development ( ), Vice Chairman Professional Guidance ( ), and Vice Chairman Professional Practices ( ). Mouri-san served from as the first president of the Asian Confederation of Institutes of Internal Auditors (ACIIA) and has been IIA-Japan director since Mouri-san has also received the Outstanding Contribution in the Field of Internal Auditing in 2016 by ACIIA. Mouri-san advocates for the profession through IIA and other industry forums, and he has lectured at a number of universities in Japan, including the Meiji University Graduate Program for Professional Accountancy and Senshu University. Mouri-san co-authored Korega Kinyukikan no Naibukansa da (This is internal audit for financial institution) on internal auditing for financial institutions. The book is available in Japanese and Mandarin. Mouri-san is a Certified Internal Auditor (CIA) and a Certified Public Accountant (CPA) and holds the Certification on Control Self-Assessment (CCSA). He earned a bachelor s degree in accounting from Georgia State University. Mr. Gerry SCHIPPER - Gerry is responsible for leading and overseeing the internal audit function across all lines of business for the AIA Group of companies. Gerry also advises senior management and the Group Audit Committee on risks and controls. By maintaining relationships with external auditors and the Audit Committee of the Board of Directors, he also ensures communication on critical issues is conducted in a timely manner. Before joining AIA in 2010, Gerry was a partner with Deloitte, specializing in financial services. Gerry is a member of the Hong Kong Institute of Certified Public Accountants, the Institute of Chartered Accountants in Australia and the South African Institute of Chartered Accountants, and also an advocate of the High Court of South Africa.

7 Registration Information Date of Enrollment: IIA HK Annual Conference 2018 Monday, 4 June 2018 One Form per Participant For Group Registrations, see below Remarks Name: (Mr. / Mrs. / Miss. / Ms.) Last Name: Company: Position: IIA Membership No.: Name of (if applicable) Supporting Organisation(s): / Membership No.: / Address: Contact Person: Sponsoring Organisation(s): Tel. No.: Receipt Please tick this box if you require an invoice Please tick this box if you require a receipt Kindly note that receipts will be sent to above before conference date. Registration Fee *Remarks: -There will be a 10% discount on the fees below for group registration of 5+ simultaneously from the same organization. Category IIA Member HK$ 4,300 Early Bird [10% Discount] Till Friday, 4th May HK$ 3,870 HK$ 550 Cocktail Only Non-IIA Member HK$ 4,900 HK$ 4,410 HK$ 760 Member of Sponsoring / Supporting Organisation Registration Deadline: Friday, 1st June 2018 Method of Payment 1. Cheque made payable to: THE INSTITUTE OF INTERNAL AUDITORS HONG KONG LIMITED To be sent to the billing address below. 2. Bank deposit / transfer to: THE INSTITUTE OF INTERNAL AUDITORS HONG KONG LIMITED Account No.: Bank: HSBC Swift Code: HSBCHKHHHKH Location: No. 1 Queen's Road Central, Hong Kong To be sent to / billing address below with bank (transfer) slips as proofs. Payment Information Seats are based on FIRST COME, FIRST SERVED. All registrations MUST be accompanied with payment. Upon receipt of your registration, you are deemed to have read and accepted the terms and conditions contained therein. Cancellation Once registered, there will be no refunds. HK$ 4,600 HK$ 4,140 HK$ Free Pass for Sponsors Only 1 Free Access for Supporting Organizations Only The organizer reserves the right to change conference programmes and assumes no liability if the conference is changed, postponed, or cancelled due to unforeseen circumstances. Contact Information The Institute of Internal Auditors Hong Kong Attn. to The Event Managers Tel: Fax: Billing Address: 821, 8/F, Po Yip Building, 23 Hing Yip Street, Kwun Tong, Kowloon, Hong Kong conference@theiiahk.org Website: IIA Hong Kong Annual Conference 2018 Date: Monday, 4 June 2018 Venue: JW Marriott Hotel, Ballroom, Level 3, 88 Queensway, Admiralty, Hong Kong