Regulatory Compliance, Governance and Security:

surprise examination

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June 3, 2009  6:34 PM

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 1940

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  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...


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