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The Senior Executives Group of AMF In Partnership with the Investment Adviser Association
SAS 70 Lunch & Learn
June 23, 2005
11:45 a.m. - 2:45 p.m.
Global Financial Markets Conference Center
360 Madison Avenue (Entrance on 45th Street), 17th Floor
New York City
This Lunch & Learn event is intended to address the reporting questions that are raised by customers of asset management firms. When is a SAS 70 Audit Report appropriate? What is the relevance of Sarbanes Oxley to asset management firms? Are there Best Practices that are satisfactory to auditors and others?
Program
11:45 a.m. - 12:00 noon
Registration / Box Lunch Available
12:00 - 12:55 p.m.
Overview of SAS 70
Description of Opportunities available to asset managers by John Gidman, Executive Vice President of Loomis Sayles, Chair of the Senior Executives Group
Including a special presentation regarding the potential resources available pursuant to a proposed SEG Web site relating to financial controls reporting by asset managers
12:55 - 1:50 p.m.
Auditor's Views
We will offer a panel consisting of decision-makers affiliated with the Big Four Accounting Firms.
Moderator: Joseph Sack, Executive Director of SEG
Panelists:
Bruce Marcus, Deloitte & Touche
James Merrill, Ernst & Young
Cuan Coulter, PricewaterhouseCoopers
Audience Q&A
1:50 - 2:45 p.m.
SEG and IAA Members Panel
Moderator: Caroline Schaefer, Associate General Counsel, Investment Adviser Association
- Discussion of Best Practices
- How Firms View Their Requirements Under Sarbanes Oxley
- Liaison with Auditors
- Next Steps for the Industry
Panelists:
Tracie Ahern, Lord Abbett
Cindi Finn, ING Investment Management
Mark Hemenetz, Schroder Investment Management
2:45 p.m.
Program Concludes
Registration Information
Registration Fee: $195
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