May 30, 2009 8:26 PM
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,
sas70.us.com,
securities incomeThe 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
Posted by: Charles Denyer
charles denyer,
sas 70 compliance,
sas 70 readiness assessment,
SAS 70 Type I,
sas70 services,
sas70.us.com,
type ii auditSAS 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
Posted by: Charles Denyer
aicpa,
regulatory compliance,
SAS 70 Type I,
sas 70 type ii,
sas70.us.com,
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
Posted by: Charles Denyer
cpa,
payment card industry data security standards (PCI DSS),
PCI DSS,
pci dss report on compliance (ROC),
pciassessment.org,
qsa,
sas70.us.comAs 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
Posted by: Charles Denyer
asv,
payment card industry data security standards,
PCI DSS,
pciassessment.org,
qsa,
SAS 70,
sas 70 type ii audit,
sas70.us.comAs 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...
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