An A+ compliance audit

Derham, Paul
March 2007
Money Management;3/29/2007 Practice Management, Vol. 21, p14
Trade Publication
The article offers tips for financial services companies on how to pass the compliance audit in Australia. The author suggests that these companies should see to it that they are complying with their obligations as stipulated by the Australian Securities and Investments Commission's (ASIC) policy. It is also important for the business to notify the ASIC if changes occur within the business. It is also significant to ensure that the written processes reflect the actual happening in the business.


Related Articles

  • Establish Operational Risk and Compliance Management as a Sustainable Business Process.  // U.S. Banker;Dec2005, Vol. 115 Issue 12, Special section p7 

    The article discusses the scope and implications of the Core Discipline of Operational Risk. It covers procedures, systems, monitoring and communication protocols that enable institutions to manage their exposure to errors due to failures in people, systems and processes and external events. The...

  • ConVis Looking Ahead Following City's Audit. Lewis, Connie // San Diego Business Journal;9/20/2004, Vol. 25 Issue 38, p3 

    Reports on the impact of the six-month audit of the expenses of San Diego Convention & Visitors Bureau on the outlook of the agency itself. Facts and figures; Actions taken by the bureau's executives in response to the report of the city auditor; Tally of expenses.

  • Assurance Services. Sprague, Carolyn // Assurance Services -- Research Starters Business;4/1/2018, p1 

    Assurance services refer to independent professional services offered by CPAs and others to improve information quality or its context for decision makers ("Assurance services, 2006). Traditional auditing services have focused on financial and governance issues and not on broader functional...

  • Score an A+ for compliance audit. Derham, Paul // Money Management;9/12/2013, Vol. 27 Issue 35, p20 

    The article focuses on the business subject to an external Australian Financial Services License (AFSL) compliance audit. It states that a compliance audit happens when external compliance consultants visit and evaluate the business against the requirements of the financial services laws,...

  • The Organic vs. the Mechanistic Audit. Dirsmith, Mark W.; McAllister, John P. // Journal of Accounting, Auditing & Finance;Spring82, Vol. 5 Issue 3, p214 

    Two views of the independent attest function have apparently emerged in the twentieth century: one that views the audit as a mechanistic process that can be improved by "knowing more, knowing it faster and knowing it better," and the other which views it as an organic process that involves the...

  • CHOICE OFFER FOR SMES.  // Accountancy;Aug2009, Vol. 144 Issue 1392, p104 

    The article presents an overview of an assurance service which was developed by the Institute of Chartered Accountants in England and Wales to meet the needs of accounting companies below the statutory audit threshold that seek some level of comfort on their accounts. A discussion of an increase...

  • REST ASSURED. Webley, Lorna // Accountancy;Nov2008, Vol. 142 Issue 1383, p74 

    The article discusses employment options for those trained in assurance services such as auditors and accountants in assurance on non-financial information. Other topics include the demand for credible, publicly available non-financial information in the form of an assurance report and corporate...

  • COMPLIANCE That Risky, Dirty Word. Malik, William S. // Security: Solutions for Enterprise Security Leaders;Apr2006, Vol. 43 Issue 4, p28 

    The article examines the issue of attestation in business in the United States. To streamline attestation, the initial step is to comprehend what is needed to establish confidence. Auditors verifies the accuracy of reporting. Two product requirements help determine the solution's ability to...

  • How CCOs Measure Integrity Program Effectiveness. Aguilar, Melissa Klein // Compliance Week;Oct2009, Vol. 6 Issue 69, p42 

    The article reports on the 2009 Global Integrity Survey conducted by "Compliance Week" and Integrity Interactive on the efficiency of the compliance programs initiated by the global companies. The survey was done to 150 ethics and compliance executives of the global companies. The survey shows...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics