Auditing Asset Management

MIS Training Institute (MISTI)
Training overview
3 days

Course description

Auditing Asset Management - 3-Day Course

'The idea behind internal auditing is that it must address the key risks and controls that operate in every area of an organization. This includes asset management.

This three-day course from MISTI was created to help participants understand the key issues that are associated with auditing asset management. The three main asset types focused on during this program are equity, fixed income, and property. Participants will also discuss other asset types in less detail. By the time they have completed the course, participants will have constructed a series of audit programs that will prepare them to audit an asset management operation and they will have a greater awareness of the main issues and controls as they are practically applied. The course is led through a combination of lectures and hands-on workshops and make use of case studies, role playing, and other exercises.

Who should attend?

This course specifically designed for employees who are required to conduct internal audit assignments within asset management.

Training Content

  • The General Asset Management Control Environment
  • Case study: What information is of greatest importance to the internal auditor? What should be requested in advanced?
  • Case study: Develop a pre-audit planning document suitable for an asset management audit 
  • Acquiring a Client
  • Case study: Develop an audit programme suitable to audit the acquisition process and also for on-going review of existing relationships
  • Quoted Equity Investment
  • Case Study: Develop an audit programme suitable for the audit of quoted equity investments
  • Case Study: Develop an audit programme suitable for the audit securities lending
  • Quoted Fixed Income Investment
  • Case study Develop an audit programme suitable for the audit of quoted fixed income investments
  • The Risk Management of Alternative Investments
  • Case study: Develop an audit programme suitable for the audit of alternative investments
  • Money Market Funds
  • Case Study: Develop an audit programme suitable for the audit of money markets funds
  • The Risks in Asset Allocation & Portfolio Management
  • Case Study: Develop an audit programme suitable for the audit of asset allocation and portfolio management
  • The Risks in Outsourcing and the Selection and Management of Third Parties
  • Other Matters


The cost of this course is $2495 per participant. Request information to learn more!

Certification / Credits

Participants will understand the risks and management techniques used within asset management and how to audit them including:

  • Front, middle and back office roles
  • Controls over equity and fixed income investment
  • How to audit performance measures
  • The risk associated with portfolio management
  • How to audit counterparty credit risk
  • The risk associated with other non-traditional asset classes

Completion of this course is worth 24 CPE Credits



MIS Training Institute (MISTI)

With offices in London and Boston, MISTI is the global leader in IT audit, audit and information security training. Founded in 1978, MISTI has gained experience through training more than 200,000 delegates across five continents.  MISTI has made it their...

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MIS Training Institute (MISTI)

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Shannon, S, Athene USA
Good overall base for auditing asset management companies
Francisco, G, Aegon Asset Management
Very informative on the current trends dominating the asset management landscape.
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