Regulatory Compliance, Governance and Security:

client funds


June 3, 2009  6:34 PM

SAS 70 | Surprise Examination | Internal Control Report for Investment Advisers

Posted by: Charles Denyer
charles denyer, client funds, File No. S7-09-09, internal control report, qualified custodian, sample sas 70 type II report, SAS 70, securities, surprise examination, The investment Advisers Act of 1940

The SAS 70 auditing standard is sure to become a necessary element of the proposed changes for the Investment Advisers Act of 1940. The SEC released a draft of proposed changes regarding “Custody of Funds or Securities of Clients by Investment Advisers” (


Forgot Password

No problem! Submit your e-mail address below. We'll send you an e-mail containing your password.

Your password has been sent to: