Regulatory Compliance, Governance and Security:

sample sas 70 type II report

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June 3, 2009  6:34 PM

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



Posted by: Charles Denyer
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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” (

May 30, 2009  8:26 PM

SAS 70 Control Objectives for Investment Advisers | Custodial Operations



Posted by: Charles Denyer
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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...


May 4, 2009  4:20 PM

SAS 70 Certification | Expert Advice on Type I and Type II SAS 70 Audits



Posted by: Charles Denyer
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SAS 70 Certification is everywhere these days, or so it seems. From small start-up organizations to large multi-national corporations, many people have been hit by the SAS 70 bug. What's also interesting to note are the vast differences you can see when...


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