Management Report: Improvements Needed in SEC's Internal Controls and Accounting Procedures

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DIANE Publishing, 2009 - 29 pages
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On Nov. 14, 2008, an opinion was issued on the SECs FY '08 and '07 financial statements. Also, an opinion was issued on the effectiveness of SECs internal control over financial reporting (incl. safeguarding of assets) and over compliance as of Sept. 30, 2008, and an evaluation of SECs compliance with selected provisions of laws and regs. during FY '08. This report presents issues identified during a FY '08 audit of SECs internal controls and accounting procedures and recommends actions to address these issues. This report makes 19 recommend. to strengthen internal controls and accounting procedures. These recommend. are in addition to 24 recommend. included in prior year audits of SECs financial statements that still need to be fully addressed.
 

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