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  • Outsourcing to Auditors

    • AA-1.5.2

      Investment firm licensees may not outsource their internal audit function to the same firm that acts as their external auditors.

      Amended: October 2009
      Amended: January 2007

    • AA-1.5.3

      Further Guidance on this issue is provided in the Risk Management Module.

      Amended: October 2009
      Amended: January 2007