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June 3, 2009 6:34 PM
Posted by: Charles Denyer
charles denyer, client funds, File No. S7-09-09, internal control report, qualified custodian, sample sas 70 type II report, SAS 70, securities, surprise examination, The investment Advisers Act of 1940
SAS 70 | Surprise Examination | Internal Control Report for Investment Advisers
Posted by: Charles Denyer
charles denyer, client funds, File No. S7-09-09, internal control report, qualified custodian, sample sas 70 type II report, SAS 70, securities, surprise examination, The investment Advisers Act of 1940The 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” (
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