Applicable standards for investment companies’ industry engagements
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Applicable standards for investment companies’ industry engagements

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The AICPA Investment Companies Expert Panel and staff developed the following table, which summarizes the audit, attestation and independence standards applicable to AICPA members performing audit and attestation engagements for certain SEC-registered entities as well as those not registered with the SEC in investment companies’ industry. This table is based upon current applicable rules and/or law, as well as the AICPA Code of Professional Conduct.

The table that follows is not inclusive of all scenarios. The SEC offers additional scenarios and relevant information about qualifications of accountants in the SEC Division of Corporation Financial Reporting Manual.

Download the ICs RIAs-applicable-standards 7.18.22

File name: ics-rias-applicable-standards-7-18-22.pdf

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