Regulatory Compliance, Governance and Security:

mary schapiro


January 6, 2010  1:29 PM

SEC Moves Forward with Surprise Audits in a Post Madoff World

Posted by: Charles Denyer
madoff ponzi scheme, mary schapiro, sas 70 resource guide, sas 70 type ii audit, sec surprise audit

Sure, this sounds like great news from the SEC in that it's trying to build an image (that has been badly tarnished in recent years) that it does have teeth, can enforce rules, and has the public's best interest at heart. However, the problem is that under the new rules, only about 1,900 of the...


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