Suppose the broker or bank initiates investment transactions, maintains the client's related accountability, or records investment transactions

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Suppose the broker or bank initiates investment transactions, maintains the client's related accountability, or records investment transactions and processes the related data. In that case, the auditors should consider obtaining a service auditor's report on the processing of transactions

Posted Date: May 18, 2024 09:09 AM

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Suppose the broker or bank initiates investment transactions, maintains the client's related accountability, or records investment transactions

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