Management Report: Improvements Needed in SECäó»s Internal Controls and Accounting Procedures

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By James R. Dalkin (au); Gregory C. Wilshusen (au)
Year: 2012
Pages: 33
Binding Paperback
ISBN 978-1-4578-3141-6

Product Code: 1457831414

Description

On Nov. 15, 2011, GAO issued their opinion on the SECäó»s and its Investor Protection Fundäó»s FY 2011 and 2010 financial statements. GAO also issued their opinion on the effectiveness of SECäó»s internal controls over financial reporting. That report identified significant deficiencies in SECäó»s internal control over financial reporting. The purpose of this report is to: (1) present new recommendations related to the significant deficiencies identified in the Nov. 2011 report; (2) communicate less significant internal control issues identified during the FY 2011 audit of SECäó»s internal controls and accounting procedures; and (3) summarize info. on the status of the recommend. reported as open in the 3/29/11 mgmt. report. Illus. A print on demand report. of an important, hard-to-find report.

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