Regulatory Compliance, Governance and Security:


July 8, 2009  7:27 PM

SAS 70 Compliance | Why a Readiness Assessment is Essential for the Audit

Posted by: Charles Denyer
control environment, gap analysis, SAS 70, sas 70 readiness assessment, sas 70 resource guide,, type i, type II

Many service organizations having to undergo SAS 70 Type I or SAS 70 Type II compliance would greatly benefit from a SAS 70 Readiness Assessment. So, let's clear the air as to what this actually is. A SAS 70 Readiness Assessment should be a proactive exercise which actually benefits the overall...

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...

April 30, 2009  3:13 PM

SAS 70 Compliance | A Step by Step Processes for SAS 70 Type I and Type II Audits

Posted by: Charles Denyer
charles denyer, sas 70 compliance, sas 70 readiness assessment, SAS 70 Type I, sas70 services,, type ii audit

SAS 70 compliance is a multi-phased, process based methodology that is undertaken by organizations seeking to become SAS 70 Type I or Type II compliant. As a SAS 70 auditor, I’m often asked what the SAS 70 audit process is, how long it...

February 23, 2009  1:11 AM

What is SAS 70 | A Question I’m Often Asked by Service Organizations

Posted by: Charles Denyer
aicpa, regulatory compliance, SAS 70 Type I, sas 70 type ii,, service organizations, What is SAS 70?

What is SAS 70? For us in the regulatory compliance and Information Technology world, this would be an absurd question. Well, put yourself in the shoes of businesses who work hard everyday, struggling to make ends meet, and then suddenly,...

January 28, 2009  1:03 PM

SAS 70 Audits and PCI DSS Compliance | A Two for One Audit? Not Quite

Posted by: Charles Denyer
cpa, payment card industry data security standards (PCI DSS), PCI DSS, pci dss report on compliance (ROC),, qsa,

As an accountant and a PCI Qualified Security Assessor (QSA), i'm seeing more and more auditors essentially provide audit and fieldwork services for both a SAS 70 and a PCI DSS assessment at the same time, then issue a PCI DSS Report on Compliance (ROC)...

December 31, 2008  11:25 PM

SAS 70 Audits and PCI DSS Compliance |What you NEED to Know

Posted by: Charles Denyer
asv, payment card industry data security standards, PCI DSS,, qsa, SAS 70, sas 70 type ii audit,

As an auditor, I am constantly approached by my clients desperately wanting to know if efficiencies can be obtained within the audit and assessment process for companies undergoing both a SAS70 audit and a PCI DSS...

Bookmark and Share     0 Comments     RSS Feed     Email a friend


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: