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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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