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We are pleased to present this newest edition of our publication, “Working Guide for an Investment Company’s Audit Committee.” As part of our commitment to the investment management industry, we have been providing this tool for more than thirty years.
The purpose of the Working Guide is to suggest appropriate questions for Audit Committee consideration during its meetings with internal and independent auditors, management, and service providers. In this edition, we have, for the first time, included a separate section discussing mandated responsibilities and communications for Audit Committees to address – principally with auditors, but in some cases also with management – under the Sarbanes-Oxley Act or other regulatory requirements, in light of the increasing governance responsibilities that have been defined by regulation.
Download: Working Guide for an Investment Company’s Audit Committee* (PDF 103 KB) | |
