During the exams, SEC staff members choose one or two areas, such as conflicts of interest or portfolio management, and examine the books and records of the newly-registered adviser.
"The Audit Committee advised the company and its independent accountants that it had reached certain preliminary findings, including that there were likely violations of the books and records and internal controls provisions of the FCPA, " it said.
According to AICPA rules for auditor independence, PwC can support software development and implementation for its audit client if that system is not the financial accounting software that produces the books and records the firm will audit.
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The habitual doctoring of books and records, the fictitious trades, the phantom accounts were the core of the charade.
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The SEC Complaint charged Peterson with with violations of the anti-bribery, books and records and internal control provisions of the FCPA, and with aiding and abetting violations of the anti-fraud provisions of the Investment Advisers Act of 1940.
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For as long as they could, the Office of the Comptroller of the Currency, overseer and regulator par excellence of our national banks, coddled their flock and were loathe to give up any confidential information they stumbled across while looking at the big banks books and compliance records, over lunch.
It is this doctrine that allows us to browse the stacks of used books and records stores.
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The Gene Simmons brands has Gene Simmons records, Gene Simmons comic books and the Gene Simmons Family Jewels show, which lasted 9 seasons and any number of other Gene Simmons marketing and expos.
He has trawled through old newspaper clippings, reports, books and records from the Loch Ness Investigation Bureau of the 1960s and 1970s, for all recorded sightings that peaked especially after the infamous 'surgeon's photograph' of 1934.
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In a letter Friday, they said they'd demand books and records related to the board's analysis and discussion of any strategic transactions.
While the rules are virtually the same in some areas (such as books and records), there are key differences that will need to be addressed.
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The collection consists of books, posters, magazines, films, old radio and TV programs and records acquired over the last 30 years.
All of it clothes, books and records, furniture, even the cans of food from my kitchen cupboards.
Kate and her training partner Steven Lewis are threatening to create a further anomaly in the record books by vaulting higher indoors than the corresponding outdoor British records by Whitlock (4.47m) and Nick Buckfield (5.80m).
The two pled guilty to one count each of conspiracy to falsify books and records and wire fraud.
The Museum of American Finance, which safeguards a collection of financial industry books and records, will be closed Saturday.
When the doors of his buildings aren't locked, his neighbors filter through to borrow books and records or eat occasional communal meals.
The college's Angus Library contains over 70, 000 books, pamphlets, journals, church records and letters.
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Its meticulous records from church documents and sagas, a set of semihistorical books, let the 290, 000 residents trace their family trees to the earliest days.
Its meticulous records from church documents and sagas, a set of semihistorical books, let the country's 290, 000 residents trace their family trees back to the earliest days.
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