Regulatory Compliance, Governance and Security:

control objectives


November 20, 2009  1:14 AM

SAS 70 and Business Continuity Planning (BCM) | What you Need to Know

Posted by: Charles Denyer
aicpa, BCM, Business Continuity Disaster Recovery, charles denyer, control objectives, SAS 70, sas 70 type ii, type i

As a SAS 70 auditor, i'm often asked if Business Continuity and Disaster Recovery (or any of the other similar terms and phrases used) is part of the actual SAS 70 audit. In fairness, it is even though "technically" it does not fall into a...

May 30, 2009  8:26 PM

SAS 70 Control Objectives for Investment Advisers | Custodial Operations

Posted by: Charles Denyer
cash and security positions, charles denyer, client funds or securities along with performing custodial duties and operations, control objectives, custodial operations, Custody of Funds or Securities of Clients by Investment Advisers, File No. S7-09-09, investment advisers, investment advisors, market values of securities, net settlement procedures, sample sas 70 type II report, SAS 70,, securities income

The SEC released a draft of proposed changes regarding “Custody of Funds or Securities of Clients by Investment Advisers” (File No. S7-09-09), calling for more oversight and controls over...


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