THE EXAM PROCESS Gaye DeCesare June 7, 2013.

Slides:

Advertisements

Similar presentations

Company Law Consultants and Company Secretaries. Who are we? David Venus & Company LLP are the leading independent firm of chartered secretaries Established.

Advertisements

NC Division of Purchase & Contract - E-Procurement / Education Outreach (last revision May 2006) COMPLIANCE REVIEW PROGRAM.

Sodexo.com Group Internal Audit. page 2 helps an organization accomplish its objectives by bringing a systematic, disciplined approach to evaluate and.

Audit Committee in Albania Legal framework Law 9226 /2006 “On banks in Republic of Albania” Law 9901/2008 “On entrepreneurs and commercial companies” Corporate.

WORKING ON WORK PLANS. Supervisory Committee Work Plans “The better the planning, the better the result!” Work plans provide an organized, systematic.

Areti Moularas, Senior Manager

Office of Inspector General (OIG) Internal Audit

Expectations of Provider Reviews Missouri Medicaid Audit & Compliance Unit (MMAC) Provider Enrollment Contracts & Terminations Provider Review & Lock-in.

The Camp Audit “Keep your friends close and your auditor closer”

E XAMINATION AND E NFORCEMENT I SSUES : B EYOND T HE P ILLARS The AMLA Third Annual Full Day BSA/AML Conference October 4, 2013 Presented by: John M. Geiringer.

IA Clinic. การเตรียมการตรวจสอบ แผนการ ตรวจสอบ แผนการ ปฏิบัติงาน ตรวจสอบ หารือ หน่วยรับตรวจ รายงานผล การตรวจสอบ ติดตามผล การตรวจสอบ ผลการประเมินความเสี่ยง.

1 CHCOHS312A Follow safety procedures for direct care work.

Revisions to the FFIEC BSA/AML Examination Manual and Federal Reserve Board BSA/AML Examination Findings and Issues Timothy P. Leary Senior Special AML.

IIA Standards Briefing CUAV 2011 Williamsburg Virginia May 23, 2011.

Loss Control Program Compliance Audits An overview of the purpose and procedures of program auditing.

C. P. Mansoor S. Ahmed M. Com, PGDBA.  Not confined to Independent Audit  Systematic Examination of  Records  Procedures  Systems  Operations.

Credit unions use social media in a variety of ways, including marketing, providing incentives, facilitating applications for new accounts, inviting feedback.

Internal Audit’s Role in Compliance Laurisa Riggan, CPA, CHE Children’s Mercy Hospitals and Clinics September 26, 2000.

June 7, New York City Financial Network Action 2013.

Introduction. What do they have in common? CASA Peer Review California Association of State Auditors (CASA) California Association of State Auditors.

Understanding & Monitoring Your Examiner’s Findings Daniel C. Moulton, CPA, Partner Doug Orth, CPA, CFE, Managing Partner Orth, Chakler, Murnane and Co.,

New Principal Training Local School Audits July 21, 2014.

Slide 2.1 & 2.2 Learning Objective Given INTOSAI Auditing Standards & mandates of SAIs, you will be able to apply the mandates and standards to identify.

Copyright © 2007 Pearson Education Canada 1 Chapter 1: The Demand for Auditing and Assurance Services.

Chapter 21 Internal, Operational, and Compliance Auditing McGraw-Hill/IrwinCopyright © 2014 by The McGraw-Hill Companies, Inc. All rights reserved.

BSA PROGRAM REQUIREMENTS.  Written, approved by the board of directors, and noted in the board minutes.  Based on the risk assessment  Fully implemented.

NCS Web Seminar Annual Review of Advisory Policies and Procedures Annual Review of Advisory Policies and Procedureswith Kelli A. Capitano, J.D., CSCP ®

Risk Management & Corporate Governance 1. What is Risk?  Risk arises from uncertainty; but all uncertainties do not carry risk.  Possibility of an unfavorable.

FACILITATOR Prof. Dr. Mohammad Majid Mahmood Art of Leadership & Motivation HRM – 760 Lecture - 25.

The Government Recordkeeping Survey 2008 Natalie Dewson, Senior Advisor, Government Recordkeeping Programme, Archives New Zealand.

College Reviews An Overview Presented by Howard Lutwak, CIA Director of Internal Audit January 2004.

1 Kingsley Karunaratne, Department of Accounting, University of Sri Jayewardenepura, Colombo - Sri Lanka Practice Management.

Copyright © 2007 Pearson Education Canada 7-1 Chapter 7: Audit Planning and Documentation.

IFTA Committees Projects Reports IFTA/IRP Managers’ and Law Enforcement Workshop October 2013.

Welcome. Registration complete? CQC Inspection visit Routine Responsive Themed.

Internal Audit Section. Authorized in Section , Florida Statutes Section , Florida Statutes (F.S.), authorizes the Inspector General to review.

Dealing with the Regulators Fairy Tales and War Stories Georgia Credit Union Executive Association Spring Meeting March 10 – 12, 2016 Presented by: Palmer.

Audit Plan ELECTRONIC. PLANNING Auditor Independence Training and Proficiency Professional Care Audit program Working Paper Documentation.

City of Pasadena Analysis of Police Oversight Models Kathryn Olson Change Integration Consulting, LLC Barbara Attard Accountability Associates.

BSA Audit Best Practices | |

Judy Graham, Program Officer

NCUA Consumer Compliance

Audit Documentation.

Subrecipient Monitoring

Hans Nieuwlands CIA CGAP CCSA CEO IIA Netherlands

Asbestos Management.

MGMT 452 Corporate Social Responsibility

Compliance with Framework of Quality Control - General & Specific Controls CA Vimal Chopra, Ex Chairman of CIRC of ICAI.

Health and Safety Policy

AUDIT ON FOREST MANAGEMENT – MALAYSIAN EXPERIENCE

Compliance Huddle june 2017.

SYSTEMS ANALYSIS Chapter-2.

BUILDING A PRIVACY AND SECURITY PROGRAM FOR YOUR NON-PROFIT

Auditor’s Report to the Board of Education

Understanding an External Federal Financial Statement Audit

Compliance Huddle November 2017.

2016 ANNUAL GENERAL MEETING December 7, 2016

Management System Jai Maaruthi Consultaant Chennai & Singapore

ACC 576 Competitive Success/snaptutorial.com

ACC 576 Education for Service/snaptutorial.com

ACC 576 Teaching Effectively-- snaptutorial.com

How we’ll prepare for the General Data Protection Regulation (GDPR)

Risk Management: why and how to protect your health center

Gem Complete Health Services

Welcome! Residual Market Audit Services NJ AIRE

Emerging Audit and Internal Control Issues

How to Prepare for an Audit

Costanza Schivi - 9 April 2019

Risk Management NDS Forum June 23rd 2010.

Presentation transcript:

THE EXAM PROCESS Gaye DeCesare June 7, 2013

Compliance Audits Internal reviews Independent Tests Previous findings Policies/Procedures/Practices Independent Tests BSA, ACH, SAFE Act, Website Previous findings NCUA Examiners Internal/External Auditors Compliance reviews

NCUA Exam - Before Be prepared Previous Findings Policies and procedures Account documents Training records Board minutes Previous Findings

NCUA Exam - Before NCUA guidance AIRES questionnaires Examiner’s Guide National Supervision Policy Manual Letters to CUs Reg Alerts

NCUA Exam - During Be available Be courteous Be respectful Ask questions, but don’t argue

NCUA Exam - After Exit Meeting/Joint Conference Examiner’s Report Enforcement Powers Document of Resolution (DOR) Letter of Understanding and Agreement (LUA) Cease and Desist Order

(in the nicest possible way) NCUA Exam - After Happy? Sad? Angry? Let them know! (in the nicest possible way)

Questions?

How COMPASS Can Help Full Line of Services General compliance support Compliance and Risk Assessments Staff and volunteer training Advertising and marketing review Web site review Independent tests (BSA, ACH, SAFE Act) Pre/post exam areas of concern Policy review

Disclaimer This program is designed to provide accurate and authoritative information. It is done with the express understanding that COMPASS 4 CUs, LLC and its employees are not engaged in rendering legal advice. If legal advice is required, consult an attorney.

THANK YOU!