SAS 70 & Investment Advisers Act of 1940 | Proposed Changes
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...
View ArticleSAS 70 Control Objectives for Investment Advisers | Custodial Operations
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 investment...
View ArticleSAS 70 | Surprise Examination | Internal Control Report for Investment Advisers
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...
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