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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.

Upcoming Events




IT, Operational & Compliance Issues related to: Anti-Money Laundering; Meeting Regulatory & Client Legal Requirements; and Financial Services Fraud and Abuse Hot Topics

PricewaterhouseCoopers  16-Sep-09

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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.  
 

March 2009 Newsletter

Integrated Compliance and Risk Management: Rethinking the approach
 
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