Region 5 Meeting Fall 2017

Service Credit Union - Portsmouth, NH


Mark your calendars and register now for the Fall 2017 Region 5 meeting set for Monday and Tuesday October 2-3, 2017.

Click Here to Register Now

Meeting Cost:  $199
Includes breakfast Monday-Tuesday and lunch Monday.  Meeting starts each morning at 7:30am and goes to 4:30pm on Monday and noon on Tuesday.  
For registration information, go to

Who Should Attend?
Internal Auditors, Supervisory/Audit Committee Members, Board Members, Compliance Officers, Risk Managers.

Agenda:  Day 1 – Monday October 3, 2017

7:30 – 8:30A 
Registration & Continental Breakfast

8:30 – 8:45A
Welcome and Announcements

8:45 – 10:15A
Common Internal Audit Findings
Ana Foret, CliftonLarsonAllen

This discussion will identify areas of concern commonly fund during internal and external audits.

10:15 – 10:30A
Networking Break

10:30A – 12P
Auditing Compliance Management
Sam Capuano, The Bonadio Group

Regulators have recently placed an increased emphasis on overall compliance management at Credit Unions. This session will cover the Updated Compliance Risk Indicators and revised AIRES questionnaire for Compliance Risk, which were presented in Supervisory Letter SL 17-01. Also to be covered are the updated Compliance Risk Indicators: Board & Management Oversight, Compliance Programs, and Violations of Law & Consumer Harm.    

12 – 1P
Networking Lunch

1 – 2P
Recent Fraud Cases 
Mike Moreau, ACUIA Region 5 Director, Macpage LLC

We will discuss recent frauds in the world of financial institutions, and how to prevent and detect them.

2:15 – 3:30P
NCUA Hot Topics  
Joanne Black, CPA, NCUA Supervisory Examiner 

We will discuss some of NCUA’s hot topics.

3:30 – 4:30P
Roundtable Discussion

Day 2 – Tuesday October 3, 2017

8:30 – 10A
Three Lines of Defense 
Carrie Kennedy and Dustin Birashk , Moss Adams   

When applied properly, the three lines of defense create dialogue and analysis that prevents companies from overlooking risk factors that could ultimately cause financial disaster; as well as allow them to be proactive in how they manage risk within the organization. This session will be a discussion on what the three lines of defense are.

10:15 – 11:45A
Sustainable Vendor Risk Management Program  
Mark Bednarz, PFK O’Connor Davies  

As outsourcing continues to increase, there is a heightened regulatory focus in order to address customer complaints, weak cyber security controls at third parties, improve business resiliency, and address sub-service providers/ 4th parties.  Credit unions should have a sustainable and effective vendor risk management program to manage the multiple risks that exist with these relationships. Recently, Service Organization Control (SOC) 1 report has undergone some change. It is important for internal audit to understand the impact SSAE 18 has on the SOC 1 report.

11:45A – 12P
Wrap Up and Closing

Site and Hotel Information:

Service Credit Union        
3003 Lafayette Road
Portsmouth, NH  03801

Hampton Portsmouth Central  
99 Durgin Lane
Portsmouth, NC  03801
Click Here for Group Reservations

The deadline for group rates Expires Sep 8th

Alternative options in downtown Portsmouth. These options will be more expensive and are subject to $26/night parking rates:

Hilton Garden Inn Portsmouth Downtown
Address: 100 High St, Portsmouth, NH 03801
Phone: (603) 431-1499

Residence Inn by Marriott Portsmouth Downtown/Waterfront
Address: 100 Deer St, Portsmouth, NH 03801
Phone: (603) 422-9200

Questions or need more information?  

Contact the Region 5 Director, Mike Moreau.  

Email: or phone: 978-760-0195

Click Here to Register Now


Event Date: 
Event Type: