Presents a Lunchtime Technical Session

Wednesday, 18 February, 2004
Regulatory Compliance Auditing

presented by

Ulysses Chioatto & Sam Brown
SSAMM Management Consulting

Time: 12 noon for 12.15 pm
Venue: CTA Business Club
MLC Centre
19-29 Martin Place
(Cnr Martin Place & Castlereagh Street)
Sydney

Cost: Members – free / Non-members $15.00

CPE: 2 hours
(Includes a light lunch)

A Culture of Compliance

Regulatory compliance is about the integrity of the systems that support organisations in their efforts to comply to regulations for legislation such as Privacy; Corporations; FSRA, Trade Practices and Electronic Transactions, to name just a few.

ASIC reviews include the IT function’s role supporting regulatory compliance.

A new Criminal Code applies to all Commonwealth legislation - this code introduces the concept of a 'corporate culture' in regulatory compliance. This requires more than formal documents appearing to require compliance.

This presentation will outline an approach to taking an integrated approach toward regulatory compliance and to effectively turn legislation into a workable business process by integrating the frameworks of Risk Management, Compliance and Internal and External Audit. The learning outcomes are:

• To gain an understanding of where IT systems and controls fit into an organisation’s regulatory compliance program;

• To identify the key components required when assessing systems and software for regulatory needs;

• To appreciate the changing demands of regulatory compliance

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