Investment Management 'Point of View' Series
PwC has developed 'point of view' series on a range of auditing, accounting, advisory and regulatory issues affecting our clients and our profession. Topics include forensic testing, rogue trading, maximizing talent, FAS 157 implementation, wealth management, M&A due diligence, internal controls reporting for hedge funds, evolution of investment management sourcing, and guidance on auditing compliance programs. Click here to request copies.
Assess the risks: Key strategies for overseeing derivatives PwC co-sponsored and participated in the recent BoardIQ Mutual Fund Trustees roundtable. This document highlights the discussion from that session, including the increased use of derivatives, growing oversight concerns by regulators, the inverse floater issue, and the use of derivatives tied to the credit markets. Nine action steps for consideration are offered.
Working guide for an investment company's audit committee
For over 30 years, we have been providing this reference tool for use by audit committees of registered open- and closed-end investment companies.
The guide provides members of those audit committees a source of possible topics and matters to discuss with, and questions to address to, fund management, service providers, and internal and independent auditors. This guide serves as a “thought provoker” to minimize the risk of any considerations or discussions being unintentionally overlooked during audit committee meetings and, conversely, to identify relevant and suitable subjects for discussion. Updated/Published: October 2007.
What are the SEC's expectations of RICs and investment advisers regarding forensic testing?
How can funds, investment advisers and their service providers strengthen internal control by incorporating forensic testing into their compliance programs?
Professional development program The Professional Development Program is a series of courses designed to contribute to the development and education of executives in the investment management industry. Attached is our calendar of current course offerings for Fall 2007. It is also available on-line at www.meetpwc.com/pdp.
