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IAD represents Internal Auditors from banks, broker-dealers, insurance companies, mutual funds, public accounting firms and self-regulatory agencies associated within the securities industry.

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Possession or Control and Customer Reserve Rule (SEC Rule 15c3-3)

Citigroup Conference Center  8-Dec-08

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Membership in IAD will provide your firm with a cost effective method for staying current with state-of-the-art Internal Auditiing practices.
 

Audit Guidelines




Publications dealing with auditing in the securities industry are emphasized in our Audit Guidelines covering over 20 topics.  
 

September 2008 Newsletter

Enhancing Risk Management in Structured Products; Spreadsheet Management: Not what you figured
 
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