Regulatory Alerts2000-03-17
Added · Updated
Circular D4/EB/1 on the Examination of the Securities Ledger of Stockbroking Companies as of 31 March 2000
The Banking and Financial Commission requires approved auditors of stockbroking companies to submit a special report by 31 May 2000 regarding the securities ledger as of 31 March 2000. The report must include a description of the company's custody policies, an assessment of the organizational controls, a certification of the ledger's completeness and accuracy, and a description of the audit methodology, including circularization results. Auditors must highlight significant unresolved issues and ensure a complete inventory of all storage locations.
More like this from NBB
We email you every new NBB publication the day it's published.
Topics
Share