Auditing Investments

By: Barbara Davison, CIA, CISA, FLMI

Investments probably rank in the top 10 of the most difficult and challenging of all audit areas. Today’s headlines are full of investment disasters. Organizations have lost millions of dollars using complicated, often misunderstood investment strategies. 

Auditing Investments leaves the guesswork behind and shows step-by-step how to prepare for this type of audit. In a concise, easy-to-read format, it covers the main areas of a typical investment infrastructure, including:

  • Trading
  • Portfolio management
  • Research
  • Trade settlement
  • Maintaining custodian relationships
  • Principal and income collection
  • Investment accounting and reporting
  • Performance tracking
  • Asset and liability management
  • Counter-party underwriting

Auditing Investments includes detailed Audit Checklists, helpful Investment Web Sites, and Suggested Readings to enhance your knowledge of investments. It is a valuable tool designed to help alleviate the anxiety of auditing this complex, high-risk area.

Item Number: 10.1171

Products specifications
Attribute nameAttribute value
Publication Year1999
Page Count74
Picture of Auditing Investments - eBook
Auditing Investments - eBook
SKU: 4050.PUB.BK01.00279.00.01
$65.99