THE INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA
Organised by: Hosted by:
Internal Audit Standards Board Western India Regional Council of ICAI
CPE Hours: 6 Hrs
WORKSHOP ON INTERNAL AUDIT OF MUTUAL FUNDS
(On: December 16, 2010)
(At: ICAI Bhawan, ‘Anveshakʹ, 27 Cuffe Parade,Colaba, Mumbai)
WHO SHOULD ATTEND
Internal And External Auditors; Risk Managers and Middle Managers; Regulators and Mutual Fund Managers
Program Details:
Registration - 9:30 a.m. to 10:00 a.m.
Inaugural Session - 10:00 a.m. to 10:30 a.m.
Technical Session I
(10:30 a.m. to 11:15 a.m.)
Mutual Fund – Concept & Recent Trends
• Mutual Fund – Concepts, Advantages & Types
• Size and segments of the mutual fund industry
• Factors that have contributed to the Industry growth
TEA BREAK - 11:15 a.m. to 11:30 a.m.
Technical Session II
(11:30 a.m. to 12:30 p.m.)
Regulations Governing Mutual Fund Industry
• Structure & legal environment
• Supervision and regulation
• Right of investors
• Transparency and disclosure
• Internal governance
Technical Session III
(12:30 p.m. to 1:30 p.m.)
Management of Debt & Equity fund portfolio
• Basic characteristics of Debt & Equity securities
• Debt / Equity valuation
• Risks in Debt & Equity investment
• Types of risk and returns that different assets classes offers
• Portfolio Strategy
LUNCH - 1.30 p.m. to 2.30 p.m.
Technical Session IV
(2:30 p.m. to3:30 p.m.)
Important Aspect in Audit of Mutual funds
• Internal Control assessment
• Risk Management
• Reporting
• SEBI Directive
TEA BREAK - 3:30 p.m. to 3:45 p.m.
Technical Session V
(3:45 p.m. to 4:30 p.m.)
Systems Audit of Mutual Funds
• SEBI Directive
• Audit of systems, processes and access rights
Technical Session VI
(4:30 p.m. to 5:30 p.m.)
Key Risk Areas
• Overview
• Group Discussions
Delegate Fees: ` 1,250 Per Member. (Inclusive of background material, breakfast & lunch and Rs.250/â€towards CA Benevolent Fund)
(Cheques/demand drafts should be made in favour of “WIRC of ICAI” payable at Mumbai. Please mention your name, membership number and contact details at the back of the cheque/demand draft.)
Registration is limited to 50 members.
To Register Online visit http://wircâ€icai.org .
For Further Details, Please Contact
Seminar Director
Chairman, Internal Audit Standards Board
Phone: (0120) 3986949
E mail: cia@icai.org; auditing@icai.org
Seminar Co-ordinator
Chairman, WIRC of the ICAI
Phone: (022) 39802923/ 39802922
E mail: wircevents@yahoo.com
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