Regulatory Compliance, Governance and Security:



May 30, 2009  7:59 PM

SAS 70 & Investment Advisers Act of 1940 | Proposed Changes

Posted by: Charles Denyer
charles denyer, Custody of Funds or Securities of Clients by Investment Advisers, File No. S7-09-09, independent public accountant, internal control report, investment advisors, qualified custodian, SAS 70 & Investment Advisers Act of 1940, SEC, surprise examination, The Securities and Exchange Commission

The SAS 70 auditing standard looks to become a vital component of the proposed changes for the Investment Advisers Act of 1940. In short, the recent scandals and ponzi schemes that resulted in the loss of billions of dollars for investors is receiving a wakeup call from the Securities and Exchange...

December 31, 2008  11:14 PM

Sarbanes Oxley (SOX) and SAS 70 | Understanding the relationship

Posted by: Charles Denyer
financial reporting, PCAOB, publicly traded companies, sas 70 sarbanes oxley sox, sas 70 type ii, sas70, SEC, section 404, service organizations

Many people often ask me what exactly is the relationship between SOX and SAS 70. The relationship between SOX and SAS 70 begins with Section 404. Because management must report annually on it’s effectiveness of internal...


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