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Course details

Investment Auditing

Auditing and Governance Risk and Compliance 0 live dates

UPCOMING SEMINAR Contact us Get up to 50% Discount for Group Participants.

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UPCOMING SEMINAR €1,850.- Get up to 50% Discount for Group Participants.

Venue Online

Date Dates on request

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Venue and date

Venue on request

Dates on request

Seminar content

What you will learn

Why Attend
Investment activities involve complex financial instruments, operational risks, regulatory requirements, and governance responsibilities. This course provides participants with practical auditing techniques and control frameworks for assessing investment activities, strengthening risk management, evaluating compliance, and improving the effectiveness of investment oversight and assurance processes.

Course Methodology
The course uses an interactive methodology combining practical exercises, case studies, workshops, discussions, audit simulations, financial analysis activities, and real-world investment auditing scenarios.

Course Objectives
By the end of this course, participants will be able to:

Understand the investment environment and governance frameworks
Apply auditing techniques to different investment products and portfolios
Evaluate investment valuation methods and operational controls
Assess investment risks and regulatory compliance requirements
Apply analytical and forensic techniques in investment audits
Improve reporting effectiveness and audit recommendations
Strengthen oversight of investment management activities

Target Audience

Internal and external auditors
Risk management professionals
Compliance officers
Finance and investment professionals
Audit managers and supervisors
Governance professionals
Professionals responsible for investment oversight and assurance

Target Competencies

Investment auditing
Risk assessment and management
Financial analysis
Regulatory compliance
Internal control evaluation
Data analysis and reporting
Fraud detection techniques
Governance and assurance practices

Benefits

Why attend this seminar

Build current, practical knowledge in auditing and governance risk and compliance.
Translate the course ideas into actions you can use immediately at work.
Review real schedule options across 12 venues and live dates.
Connect course detail, venue, and category routes in one workflow.

Methodology

How the course is delivered

Structured seminar input and guided discussion.
Applied examples using current business situations.
Focused explanations based on the stored overview and outline.
Clear next steps for implementation after the course.

Target audience

Who this is for

Professionals responsible for auditing and governance risk and compliance.
Managers, specialists, and team leads who need applied skills.
Participants looking for a focused route into Investment Auditing.

Seminar details

Detailed outline

Day 1: Investment Environment and Governance Foundations

Understanding investment markets, structures, and investment ecosystems
Reviewing investment policy frameworks and evaluation techniques
Examining governance structures supporting investment activities
Understanding fiduciary duties and responsibilities within investment management
Identifying critical indicators affecting investment performance and risk
Case study exercise on evaluating investment governance structures

Day 2: Investment Instruments and Valuation Techniques

Applying auditing approaches to fixed-income investment products
Understanding evaluation methods for equity-based investments
Reviewing risk assessment approaches for alternative investments
Examining derivatives and complex investment products from an audit perspective
Understanding fair value assessment principles and methodologies
Practical workshop on investment valuation testing techniques

Day 3: Investment Operations and Internal Controls

Understanding investment transaction processing and settlement activities
Reviewing portfolio reconciliation procedures and asset valuation calculations
Examining management fees and expense verification approaches
Assessing custody structures and asset safeguarding processes
Evaluating performance measurement and attribution techniques
Workshop on testing operational controls within investment functions

Day 4: Risk Management and Compliance in Investment Activities

Identifying and assessing market-related risks
Understanding credit and counterparty risk assessment techniques
Reviewing liquidity management and monitoring approaches
Understanding regulatory frameworks affecting investment operations
Examining anti-money laundering and customer verification requirements
Case study on integrated investment risk assessment methodologies

Day 5: Advanced Audit Techniques and Effective Reporting

Applying data analytics techniques within investment auditing activities
Understanding forensic methods for identifying irregularities and fraud indicators
Applying root-cause analysis for audit findings and control weaknesses
Strengthening audit reporting and communication techniques
Understanding effective reporting practices for management and audit committees
Developing personal action plans for professional growth and capability enhancement

Dates and locations

Available seminar dates

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Course certificate

Certificate awarded on completion

Every participant who completes this seminar receives a professional course certificate from INFORAMTECH.

Participants receive an INFORAMTECH certificate for completing Investment Auditing.
The certificate recognises attendance and successful participation in the seminar.
It can support professional development records within auditing and governance risk and compliance and related functions.

Verify a certificate

Information about

Frequently asked questions

When is my seat confirmed?

Your seat is confirmed once full payment has been received.

Do you offer group discounts?

Yes, we offer the following discounts for group bookings:

2 participants: 20% discount
3 participants: 35% discount
5 or more participants: 50% discount

Can discounts be combined with other offers?

No, discounts cannot be combined unless explicitly stated.

What payment methods do you accept?

We accept bank transfers, credit/debit cards, and selected online payment methods.

When do I need to pay?

Full payment must be completed before the course start date to secure your participation.

Is VAT included in the course fee?

VAT treatment depends on your location and status:

EU Companies (with valid VAT number): VAT may be reverse charged (0%)
EU Individuals (without VAT number): VAT is applicable based on local regulations
Non-EU Participants: VAT is generally not applicable (0%)

Can I get a VAT invoice?

Yes, all participants receive an official invoice. EU companies must provide a valid VAT number.

Can I cancel my registration?

Yes, cancellations must be submitted in writing.

What is your refund policy?

More than 14 days before the course: Full refund
7-14 days before the course: 50% refund
Less than 7 days before the course: No refund

Can I transfer my seat to another person?

Yes, substitutions are allowed at no extra cost if requested before the course start date.

What happens if the course is postponed or canceled?

We reserve the right to reschedule or cancel a course due to unforeseen circumstances. In such cases, you may:

Transfer to another date
Receive full refund

Will I receive a certificate?

Yes, all participants will receive a certificate of completion after attending the course.

Is attendance mandatory?

Yes, full attendance is required to receive certification.

Are your courses online or in-person?

We offer both in-person and virtual (live online) training options.

Will course materials be provided?

Yes, all participants receive training materials in digital format.

Are travel and accommodation included?

No, participants are responsible for their own travel and accommodation unless otherwise stated.

Can you deliver customized or in-house training?

Yes, we offer tailored training programs based on your organization's needs.

How can I contact you for support?

You can reach us via email info@inforamtech.uk or through our contact form. Our team will respond promptly.

Testimonials

“

The structure of Investment Auditing made the topic practical and easy to apply immediately.

Course participant

Auditing and Governance Risk and Compliance

“

The venue and date options made planning the right session straightforward.

Seminar attendee

Venue on request

“

Clear content, relevant examples, and useful follow-up topics for the next training step.

Learning manager

Professional development