SECURITIES AND EXCHANGE COMMISSION FORM NSAR-B. Annual report for management companies filed on Form N-SAR
|
|
|
- Sheena Woods
- 7 years ago
- Views:
Transcription
1 SECURITIES AND EXCHANGE COMMISSION FORM NSAR-B Annual report for management companies filed on Form N-SAR Filing Date: Period of Report: SEC Accession No (HTML Version on secdatabase.com) NUVEEN INVESTMENT FUNDS INC FILER CIK: IRS No.: State of Incorp.:MD Fiscal Year End: 1031 Type: NSAR-B Act: 40 File No.: Film No.: Mailing Address 333 WEST WACKER DR. CHICAGO IL Business Address 333 WEST WACKER DR. CHICAGO IL Copyright All Rights Reserved.
2 PAGE B /31/ C D N 000 E NF 000 F Y 000 G N 000 H N 000 I J A 001 A Nuveen Investment Funds, Inc. 001 B C A WEST WACKER DRIVE 002 B CHICAGO 002 C IL 002 D D N N N N 007 A Y 007 B C C NUVEEN REAL ESTATE SECRURITIES FUND 007 C N 007 C C NUVEEN GLOBAL INFRASTRUCTURE FUND 007 C N 007 C C NUVEEN REAL ASSET INCOME FUND 007 C N 008 A00AA01 NUVEEN FUND ADVISORS, LLC 008 B00AA01 A 008 C00AA D01AA01 CHICAGO 008 D02AA01 IL 008 D03AA D04AA A00AA02 NUVEEN ASSET MANAGEMENT, LLC 008 B00AA02 S 008 C00AA D01AA02 CHICAGO 008 D02AA02 IL 008 D03AA D04AA
3 011 A00AA01 NUVEEN INVESTMENTS 011 B00AA C01AA01 CHICAGO 011 C02AA01 IL 011 C03AA PAGE C04AA A00AA01 BOSTON FINANCIAL DATA SERVICES, INC. 012 B00AA C01AA01 BOSTON 012 C02AA01 MA 012 C03AA C04AA A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 CHICAGO 013 B02AA01 IL 013 B03AA A00AA01 NUVEEN INVESTMENTS, LLC 014 B00AA A00AA01 US BANK NATIONAL ASSOCIATION 015 B00AA01 C 015 C01AA01 MILWAUKEE 015 C02AA01 WI 015 C03AA E01AA01 X 015 A00AA02 STATE STREET BANK AND TRUST COMPANY 015 B00AA02 C 015 C01AA02 BOSTON 015 C02AA02 MA 015 C03AA E01AA02 X AA00 Y 019 A00AA00 Y 019 B00AA C00AA00 NUVEENFUND 020 A ROBERT W. BAIRD 020 B C A GOLDMAN SACHS 020 B C A DEUTSCHE BANK 020 B C A BNY 020 B C A UBS 020 B
4 020 C A MACQUARIE GROUP 020 B C A BARCLAYS CAPITAL 020 B C A MERRILL LYNCH PAGE B C A ISI GROUP 020 B C A CITIGROUP 020 B C A ROBERT W. BAIRD 022 B C D A GOLDMAN SACHS 022 B C D A CREDIT SUISSE 022 B C D A BNY 022 B C D A MERRILL LYNCH 022 B C D A DEUTSCHE BANK 022 B C D A WELLS FARGO 022 B C D A JP MORGAN CHASE 022 B C
5 022 D A ISI GROUP 022 B C D A UBS 022 B C D C D PAGE AA00 N 026 A N 026 B N 026 C N 026 D Y 026 E N 026 F N 026 G N 026 G N 026 H N Y 028 A A A A B B B B C C C C D D D D E E E E F F F F G G
6 028 G G H A A A A B B B B C C C PAGE C D D D D E E E E F F F F G G G G H A A A A B B B B C C C C D D D D
7 028 E E E E F F F F G G G G H Y Y Y 030 A PAGE B C A B C A B C A B A B A B Y Y Y A Y 036 B A Y 036 B A Y
8 036 B AA00 N AA AA00 N AA00 Y AA00 Y 042 A B C D E F G H A B C D E F PAGE G H A B C D E F G H Y Y Y N N N N N N A A
9 048 B B C C D D E E F F G G H H I I J J K K A A PAGE B B C C D D E E F F G G H H I I J J K K A A B B
10 048 C C D D E E F F G G H H I I J J K K N N N N N N N N PAGE N Y Y Y 053 A N 053 A Y 053 B Y 053 C N 053 A Y 053 B Y 053 C N 054 A00AA00 Y 054 B00AA00 N 054 C00AA00 N 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 N 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N
11 054 L00AA00 N 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 Y 055 A N 055 B N 055 A N 055 B N 055 A Y 055 B N Y Y Y N N N 058 A N 058 A N 058 A N Y Y Y 060 A Y 060 B Y 060 A Y 060 B Y 060 A Y 060 B Y PAGE A N 062 B C D E F G H I J K L M N O P Q
12 062 R A N 062 B C D E F G H I J K L M N O P Q R A N 062 B C D E F G H I J K L M PAGE N O P Q R A B A B A B A Y 066 B N 066 C N 066 D N 066 E N
13 066 F Y 066 G N 066 A Y 066 E Y 066 A Y 066 B N 066 C N 066 D N 066 E N 066 F Y 066 G N Y N N 068 A N 068 B N 068 A N 068 B Y 068 A N 068 B N N N N 070 A Y 070 A N 070 B Y 070 B N 070 C Y 070 C N 070 D Y 070 D N 070 E Y 070 E N 070 F Y 070 F N PAGE G Y 070 G N 070 H Y 070 H N 070 I Y 070 I N 070 J Y 070 J N 070 K Y 070 K Y 070 L Y 070 L N 070 M Y
14 070 M N 070 N Y 070 N Y 070 O N 070 O N 070 P Y 070 P N 070 Q N 070 Q N 070 R N 070 R N 070 A Y 070 A Y 070 B Y 070 B N 070 C Y 070 C N 070 D Y 070 D N 070 E Y 070 E N 070 F Y 070 F N 070 G Y 070 G N 070 H Y 070 H N 070 I Y 070 I N 070 J Y 070 J N 070 K Y 070 K Y 070 L Y 070 L Y 070 M Y 070 M N 070 N Y PAGE N N 070 O N 070 O N 070 P Y 070 P N 070 Q N 070 Q N 070 R N 070 R N 070 A Y
15 070 A Y 070 B Y 070 B N 070 C Y 070 C N 070 D Y 070 D N 070 E Y 070 E Y 070 F Y 070 F N 070 G Y 070 G N 070 H Y 070 H N 070 I Y 070 I N 070 J Y 070 J Y 070 K Y 070 K Y 070 L Y 070 L Y 070 M Y 070 M N 070 N Y 070 N N 070 O N 070 O N 070 P Y 070 P N 070 Q N 070 Q N 070 R N 070 R N 071 A B C D A B PAGE C D A B C D A
16 072 B C D E F G H I J K L M N O P Q R S T U V W X Y Z AA BB CC CC DD DD EE A B C D E F G H I J K L PAGE M N O P
17 072 Q R S T U V W X Y Z AA BB CC CC DD DD EE A B C D E F G H I J K L M N O P Q R S T U V W X Y Z AA BB CC CC PAGE DD
18 072DD EE A A B C A A B C A A B C A B C D E F G H I J K L M N O P Q R R R R S T U U V V W X Y A B C D
19 074 E F PAGE G H I J K L M N O P Q R R R R S T U U V V W X Y A B C D E F G H I J K L M N O P Q R R R R S
20 074 T U U V V PAGE W X Y A B A B A B A Y 077 B Y N 080 A00AA00 CHUBB GROUP 080 B00AA00 TRAVELERS,BERKLEY,GREAT AMERICAN,CNA & ZURICH 080 C00AA A00AA00 Y 081 B00AA A00AA00 N 082 B00AA A00AA00 N 083 B00AA A00AA00 N 084 B00AA A00AA00 Y 085 B00AA00 N 086 A A B B C C D D E E F F SIGNATURE STEPHEN D. FOY TITLE V.P.& CONTROLLER
21 Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of Nuveen Investment Funds, Inc.: In planning and performing our audits of the financial statements of the funds listed in Appendix A ( the Funds ), as of and for the year ended December 31, 2015, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Funds internal control over financial reporting. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A companys internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A companys internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and the Board of Directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a companys assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the
22 policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be material weaknesses as defined above as of December 31, This report is intended solely for the information and use of management and the Board of Directors and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/pricewaterhousecoopers LLP Chicago, IL February 25, 2016
23 APPENDIX A Open Ended Funds Nuveen Global Infrastructure Fund Nuveen Real Asset Income Fund Nuveen Real Estate Securities Fund 1
STANDING ADVISORY GROUP MEETING
1666 K Street, NW Washington, D.C. 20006 Telephone: (202) 207-9100 Facsimile: (202)862-8430 www.pcaobus.org STANDING ADVISORY GROUP MEETING BROKER-DEALER AUDIT CONSIDERATIONS JULY 15, 2010 Introduction
Section III. Reports on Internal Controls and Compliance
Section III Reports on Internal Controls and Compliance Independent Auditor s Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements
Meteor Asset Management
Meteor Asset Management Counterparty Credit Default Swap Rates 27 th January 2012 This information is for professional investors only and should not be presented to, or relied upon by, private investors.
The definition of a deficiency is also set forth in the attached Appendix I.
March 19, 2015 Deloitte & Touche LLP 361 South Marine Corps Drive Tamuning, GU 96913-3911 USA Tel: (671) 646-3884 Fax: (671) 649-4932 www.deloitte.com Dr. Robert Underwood President University of Guam
June 30, 2014. Ms. Benita Manglona Director Department of Administration Government of Guam P.O. Box 884 Hagatna, GU 96910. Dear Ms.
Deloitte & Touche LLP 361 South Marine Corps Drive Tamuning, GU 96913-3973 USA Tel: (671)646-3884 Fax: (671)649-4932 www.deloitte.com June 30, 2014 Ms. Benita Manglona Director Department of Administration
CYBER SUPPLY INC. (Exact name of registrant as specified in its charter)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A-1 [X] ANNUAL REPORT UNDER TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended February
Communicating Internal Control Related Matters Identified in an Audit
Communicating Internal Control 1843 AU Section 325 Communicating Internal Control Related Matters Identified in an Audit (Supersedes SAS No. 112.) Source: SAS No. 115. Effective for audits of financial
A LAYPERSON S GUIDE INTERNAL CONTROL OVER FINANCIAL REPORTING (ICFR)
A LAYPERSON S GUIDE TO INTERNAL CONTROL OVER FINANCIAL REPORTING (ICFR) Prepared by Kayla J. Gillan, Member of the Public Company Accounting Oversight Board For The Council of Institutional Investors Annual
Chapter 5. Rules and Policies NATIONAL INSTRUMENT 52-109 CERTIFICATION OF DISCLOSURE IN ISSUERS ANNUAL AND INTERIM FILINGS
Chapter 5 Rules and Policies 5.1.1 NI 52-109 Certification of Disclosure in Issuers Annual and Interim Filings TABLE OF CONTENTS NATIONAL INSTRUMENT 52-109 CERTIFICATION OF DISCLOSURE IN ISSUERS ANNUAL
EXAMPLES OF AUDITOR'S REPORTS ON COMPLIANCE
EXAMPLES OF AUDITOR'S REPORTS ON COMPLIANCE LEGAL COMPLIANCE MANUAL EXAMPLES OF AUDITOR S REPORTS ON COMPLIANCE Page Minnesota Legal Compliance S Local Governmental Units (Other Than School Districts)
FLORIDA DEPARTMENT OF ENVIRONMENTAL PROTECTION LOAN NO. WW67006P
FLORIDA DEPARTMENT OF ENVIRONMENTAL PROTECTION LOAN NO. WW67006P SPECIAL PURPOSE FINANCIAL STATEMENT AND INDEPENDENT AUDITORS REPORTS AUGUST 2007 (DATE OF LOAN INCEPTION) THROUGH SEPTEMBER 2011 CITY OF
CHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF TRIANGLE PETROLEUM CORPORATION AMENDED AND RESTATED AS OF JUNE 6, 2013
CHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF TRIANGLE PETROLEUM CORPORATION AMENDED AND RESTATED AS OF JUNE 6, 2013 I. PURPOSE OF THE COMMITTEE The purpose of the Audit Committee (the "Committee")
Cord Blood America, Inc.
SECURITIES & EXCHANGE COMMISSION EDGAR FILING Cord Blood America, Inc. Form: SC 13G/A Date Filed: 2014-01-14 Corporate Issuer CIK: 1289496 Symbol: CBAI SIC Code: 8071 Fiscal Year End: 12/31 Copyright 2014,
FORTRESS TRANSPORTATION AND INFRASTRUCTURE INVESTORS LLC CHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS MAY 11, 2015
FORTRESS TRANSPORTATION AND INFRASTRUCTURE INVESTORS LLC I. PURPOSE OF THE COMMITTEE CHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS MAY 11, 2015 The purpose of the Audit Committee (the Committee
Debt Management Update. September 14, 2015
Debt Management Update September 14, 2015 New Bond Authorization Request authorization for $800 million revenue bonds to finance a portion of the Move Illinois Program Estimated amount and timing $400
INTERACTIVE BROKERS LLC (SEC I.D. No. 8-47257)
INTERACTIVE BROKERS LLC (SEC I.D. No. 8-47257) STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2003 AND INDEPENDENT AUDITORS REPORT AND SUPPLEMENTAL REPORT ON INTERNAL CONTROL ******* Filed pursuant
KPMG LLP Suite 12000 1801 K Street, NW Washington, DC 20006 Independent Auditors Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements
AK3 CAPITAL ANALYSTS INC. 303 BROADWAY, SUITE 1500 CINCINNATI, OH 45202-4220. SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2008
Note: Broker-dealers are required to disclose any material arrangements with the venues listed in each section below, including, but not limited to, any internalization or payment for order flow arrangements.
Orange County Industrial Development Authority (a component unit of Orange County, Florida)
Orange County Industrial Development Authority Financial Statements Years Ended September 30, 2014 and 2013 Orange County Industrial Development Authority Contents Management s Discussion and Analysis
Compliance Audits 2463. Effective for compliance audits for fiscal periods ending on or after June 15, 2010. Earlier application is permitted.
Compliance Audits 2463 AU Section 801 Compliance Audits (Supersedes SAS No. 74.) Source: SAS No. 117. Effective for compliance audits for fiscal periods ending on or after June 15, 2010. Earlier application
0HE THE HUNTINGTON INVESTMENT CO. 41 SOUTH HIGH STREET 7TH FL COLUMBUS, OH 43215
Note: Broker-dealers are required to disclose any material arrangements with the venues listed in each section below, including, but not limited to, any internalization or payment for order flow arrangements.
FORM N - SAR SEMI - ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES. JPMorgan China Region Fund, Inc. Registrant Name:
FORM - SAR SEMI - AUAL REPORT FOR REGISTERED IVESTMET COMPAIES Client ame: JP Morgan Registrant ame: JPMorgan China Region Fund, Inc. Registrant CIK 0000888137 File umber: 811-06686 Merrill Corp. Items
SIGAR. USAID s Measuring Impact of Stabilization Initiative: Audit of Costs Incurred by Management Systems International APRIL
SIGAR Special Inspector General for Afghanistan Reconstruction SIGAR 15-53 Financial Audit USAID s Measuring Impact of Stabilization Initiative: Audit of Costs Incurred by Management Systems International
L2: Alternative Asset Management and Performance Evaluation
L2: Alternative Asset Management and Performance Evaluation Overview of asset management from ch 6 (ST) Performance Evaluation of Investment Portfolios from ch24 (BKM) 1 Asset Management Asset Management
Q2 2016 Middle Market Equity Capital Report
Q2 2016 Middle Market Equity Capital Report Investors Remain Cautious Amid Unique Conditions A CohnReznick LLP Report 1 Middle Market Equity Capital Report Q2 2016 Unicorns and strategic buyers are shaping
INTERNATIONAL STANDARD ON AUDITING 800 SPECIAL CONSIDERATIONS AUDITS OF FINANCIAL STATEMENTS PREPARED IN ACCORDANCE WITH SPECIAL PURPOSE FRAMEWORKS
INTERNATIONAL STANDARD ON AUDITING 800 SPECIAL CONSIDERATIONS AUDITS OF FINANCIAL STATEMENTS PREPARED IN ACCORDANCE WITH SPECIAL PURPOSE FRAMEWORKS (Effective for audits of financial statements for periods
ATLAS AIR WORLDWIDE HOLDINGS INC Filed by WELLINGTON MANAGEMENT GROUP LLP
ATLAS AIR WORLDWIDE HOLDINGS INC Filed by WELLINGTON MANAGEMENT GROUP LLP FORM SC 13G (Statement of Ownership) Filed 02/14/14 Address 2000 WESTCHESTER AVENUE PURCHASE, NY 10577-2543 Telephone 9147018000
Guide to Internal Control Over Financial Reporting
Guide to Internal Control Over Financial Reporting The Center for Audit Quality prepared this Guide to provide an overview for the general public of internal control over financial reporting ( ICFR ).
Inspection of Fazzari + Partners LLP Chartered Accountants (Headquartered in Vaughan, Canada) Public Company Accounting Oversight Board
1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8433 www.pcaobus.org Inspection of Fazzari + Partners LLP (Headquartered in Vaughan, Canada) Issued by the Public
CHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF ARMSTRONG FLOORING, INC. ADOPTED AS OF MARCH 30, 2016
CHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF ARMSTRONG FLOORING, INC. ADOPTED AS OF MARCH 30, 2016 I. PURPOSE OF THE COMMITTEE The purpose of the Audit Committee (the Committee ) of the
SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2013
Member: Finra and SIPC SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2013 Securities Listed on New York Stock Exchange Summary Statistics: Non-directed orders as percentage of total customer
TR1 TRIAD ADVISORS INC. 5185 PEACHTREE PARKWAY SUITE 280 NORCROSS GA 30092. SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2008
Note: Broker-dealers are required to disclose any material arrangements with the venues listed in each section below, including, but not limited to, any internalization or payment for order flow arrangements.
Investment Fund of the Diocese of Long Island Balanced Fund Financial Statements and Supplemental Schedule December 31, 2013
Investment Fund of the Diocese of Long Island Balanced Fund Financial Statements and Supplemental Schedule Index Page(s) Independent Auditor s Report... 1 2 Financial Statements Statement of Assets and
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC PO BOX 5320 SCRANTON, PA 18505-5320. SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC PO BOX 5320 SCRANTON, PA 18505-5320 SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2012 Summary Statistics : Securities Listed on New York
Sonoma County District Attorney Workers' Compensation Insurance Fraud Program. Audit Report For The Fiscal Year Ended June 30, 2011
Audit Report For The Fiscal Year Ended June 30, 2011 DONNA DUNK Interim Auditor-Controller Treasurer-Tax Collector Audit Report For the Fiscal Year Ended June 30, 2011 T a b l e o f C o n t e n t s Auditor-Controller's
POLICY STATEMENT: Issuing institutions of insurance policies accepted by the City must meet specific rating requirements.
PAGE: 1 OF 5 POLICY STATEMENT: Issuing institutions of insurance policies accepted by the City must meet specific rating requirements. PURPOSE: Acceptance of insurance policies from insurers that meet
AUDIT REPORT. Federal Energy Regulatory Commission's Fiscal Year 2014 Financial Statement Audit
U.S. Department of Energy Office of Inspector General Office of Audits and Inspections AUDIT REPORT Federal Energy Regulatory Commission's Fiscal Year 2014 Financial Statement Audit OAS-FS-15-05 December
The Importance of Brand in the Asset Management Industry. Presentation prepared for Financial Services Forum. London, 25 th June 2015.
The Importance of in the Asset Management Industry Presentation prepared for Financial Services Forum. London, 25 th June 2015. 1. How s drive business value The importance of Customer Experience in driving
COSO Internal Control Integrated Framework (2013)
COSO Internal Control Integrated Framework (2013) The Committee of Sponsoring Organizations of the Treadway Commission (COSO) released its updated Internal Control Integrated Framework (2013 Framework)
FS Regulatory Brief SEC Proposes Amendments to Broker- Dealer Financial Reporting Rule
SEC Proposes Amendments to Broker- Dealer Financial Reporting Rule Amendments call for brokerdealers assertion of compliance with the Financial Responsibility Rules, new reviews by independent auditors,
Judiciary Judicial Information Systems
Audit Report Judiciary Judicial Information Systems February 2012 OFFICE OF LEGISLATIVE AUDITS DEPARTMENT OF LEGISLATIVE SERVICES MARYLAND GENERAL ASSEMBLY This report and any related follow-up correspondence
[RELEASE NOS. 33-8810; 34-55929; FR-77; File No. S7-24-06]
![[RELEASE NOS. 33-8810; 34-55929; FR-77; File No. S7-24-06]](/thumbs/25/6464675.jpg "[RELEASE NOS. 33-8810; 34-55929; FR-77; File No. S7-24-06]")
SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 241 [RELEASE NOS. 33-8810; 34-55929; FR-77; File No. S7-24-06] Commission Guidance Regarding Management s Report on Internal Control Over Financial Reporting
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933 Release No. 9848 / June 18, 2015 UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDING File No. 3-16605; 3-16606; 3-16607; 3-16608; 3-16609;
OFFICIAL USE ONLY. Department of Energy. DATE: January 31, 2007 Audit Report Number: OAS-L-07-06
DOE F 1325.8 (08-93) United States Government Memorandum Department of Energy DATE: January 31, 2007 Audit Report Number: OAS-L-07-06 REPLY TO ATTN OF: SUBJECT: TO: IG-34 (A06TG041) Evaluation of the "Office
NEW HAMPSHIRE RETIREMENT SYSTEM
NEW HAMPSHIRE RETIREMENT SYSTEM Auditors Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance With Government
OBSERVATIONS RELATED TO THE IMPLEMENTATION OF THE AUDITING STANDARD ON ENGAGEMENT QUALITY REVIEW
1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8430 www.pcaobus.org OBSERVATIONS RELATED TO THE IMPLEMENTATION OF THE AUDITING STANDARD ON ENGAGEMENT QUALITY REVIEW
Wall Street s Campaign Contributions and Lobbyist Expenditures
SOLD OUT 99 Wall Street s Campaign Contributions and Lobbyist Expenditures The financial sector invested more than $5 billion in political influence purchasing in the United States over the last decade.
Actiance, Inc. Regional Sales Manager Social Media & Compliance Specialist. Allen & Overy LLP Associate
Actiance, Inc. Regional Sales Manager Social Media & Compliance Specialist Allen & Overy LLP Associate Ameriprise Financial & Chief Counsel & Group Counsel, Interactive Marketing Bank of America Assistant
ORIGINAL LISTING APPLICATION Exchange Traded Products. Part I: Issuer Information
A. General Corporation or Trust Information Corporation or Trust Name: Address of Principal Executive Offices: ORIGINAL LISTING APPLICATION Exchange Traded Products Part I: Issuer Information Telephone
Department of Consumer Affairs Cash Disbursements by Agency Checks
Internal Control Audit of the Department of Consumer Affairs Cash Disbursements by Agency Checks January 2008 Audit No. 2007-102 Internal Audit Office TABLE OF CONTENTS Report Summary Auditor s Report
ALASKA STUDENT LOAN CORPORATION (a Component Unit of the State of Alaska) Expenditures of Federal Awards Reports. Year Ended June 30, 2015
ALASKA STUDENT LOAN CORPORATION (a Component Unit of the State of Alaska) Expenditures of Federal Awards Reports Year Ended June 30, 2015 ELGEE REHFELD MERTZ, LLC CERTIFIED PUBLIC ACCOUNTANTS 9309 Glacier
Our journey to a single global brand. Dr. Manfred Stuettgen, Global Head of Branding Lugano, March 11, 2011
Our journey to a single global brand Dr. Manfred Stuettgen, Global Head of Branding Lugano, March 11, 2011 Management Summary Credit Suisse provides financial solutions to private and corporate clients
Department of Juvenile Justice Youth Centers
Audit Report Department of Juvenile Justice Youth Centers September 2001 This report and any related follow-up correspondence are available to the public and may be obtained by contacting the Office of
Bank of America Senior Vice President, Digital Marketing Senior Vice President, Electronic Communications & Social Media Compliance Vice President
ABN AMRO Chief Compliance Officer Actiance, Inc. General Manager, Social Business AICPA CPA Insider Allen & Overy Partner AllianceBernstein Senior AllianceBernstein Cash Management Services Assistant &
Changes to Broker-Dealer Reporting & Auditing
Background The Sarbanes-Oxley Act of 2002 created the Public Company Accounting Oversight Board (PCAOB) and required that auditors of U.S. public companies be subject to external, independent oversight
SAMPLE OF AUDIT REPORT NON-PROFIT SCHOOL ABC SCHOOL FOR STUDENTS WITH DISABILITIES REPORT OF AUDIT FOR THE FISCAL YEAR ENDED JUNE 30,
NON-PROFIT Page No. NP - 1 SAMPLE OF AUDIT REPORT NON-PROFIT SCHOOL ABC SCHOOL FOR STUDENTS WITH DISABILITIES REPORT OF AUDIT FOR THE FISCAL YEAR ENDED JUNE 30, NON-PROFIT Page No. NP - 2 ABC SCHOOL FOR
OBSERVATIONS FROM 2010 INSPECTIONS OF DOMESTIC ANNUALLY INSPECTED FIRMS REGARDING DEFICIENCIES IN AUDITS OF INTERNAL CONTROL OVER FINANCIAL REPORTING
1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8430 www.pcaobus.org OBSERVATIONS FROM 2010 INSPECTIONS OF DOMESTIC ANNUALLY INSPECTED FIRMS REGARDING DEFICIENCIES
SOUTHWEST TRANSIT Eden Prairie, Minnesota
SOUTHWEST TRANSIT Eden Prairie, Minnesota REPORTS ON COMPLIANCE WITH GOVERNMENT AUDITING STANDARDS, OMB CIRCULAR A-133 SINGLE AUDIT AND MINNESOTA LEGAL COMPLIANCE For the Year Ended December 31, 2013 SOUTHWEST
Department of Transportation Financial Management Information System Centralized Operations
Audit Report Department of Transportation Financial Management Information System Centralized Operations December 2008 OFFICE OF LEGISLATIVE AUDITS DEPARTMENT OF LEGISLATIVE SERVICES MARYLAND GENERAL ASSEMBLY
CLOUD SECURITY CORP.
SECURITIES & EXCHANGE COMMISSION EDGAR FILING CLOUD SECURITY CORP. Form: 10-Q Date Filed: 2015-10-09 Corporate Issuer CIK: 1516079 Copyright 2015, Issuer Direct Corporation. All Right Reserved. Distribution
SOVRAN SELF STORAGE INC Filed by FMR LLC
SOVRAN SELF STORAGE INC Filed by FMR LLC FORM SC 13G (Statement of Ownership) Filed 02/14/13 Address 6467 MAIN ST WILLIAMSVILLE, NY 14221 Telephone 7166331850 CIK 0000944314 Symbol SSS SIC Code 6798 -
(Effective for audits for periods beginning on or after December 15, 2009) CONTENTS
INTERNATIONAL STANDARD ON AUDITING 805 SPECIAL CONSIDERATIONS AUDITS OF SINGLE FINANCIAL STATEMENTS AND SPECIFIC ELEMENTS, ACCOUNTS OR ITEMS OF A FINANCIAL STATEMENT (Effective for audits for periods beginning
Office of the Register of Wills Baltimore County, Maryland
Audit Report Office of the Register of Wills Baltimore County, Maryland April 2002 This report and any related follow-up correspondence are available to the public. Alternate formats may also be requested
Report on. 2010 Inspection of PricewaterhouseCoopers LLP (Headquartered in New York, New York) Public Company Accounting Oversight Board
1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8433 www.pcaobus.org Report on 2010 (Headquartered in New York, New York) Issued by the Public Company Accounting
Credit Ratings vs. Market Pricing
DIMENSIONAL FUND ADVISORS Special Posting June 2012 The financial media treated the recent credit-ratings downgrade of fifteen major US and European banks by Moody s Investors Service as big news. But
Our comments concerning internal control and other significant matters are presented as follows:
MANAGEMENT LETTER Board of Directors Indianapolis, Indiana In planning and performing our audit of the consolidated financial statements of TCM International Institute, Inc. and European Evangelistic Society
Inspection Observations Related to PCAOB Rules and Auditing Standards on Communications with Audit Committees
1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8430 www.pcaobus.org Inspection Observations Related to PCAOB Rules and Auditing Standards on Communications with
Bridgewater Housing Authority For the period October 1, 2008 through March 31, 2011
Official Audit Report-October 19, 2012 Bridgewater Housing Authority For the period October 1, 2008 through March 31, 2011 State House Room 230 Boston, MA 02133 auditor@sao.state.ma.us www.mass.gov/auditor
NASHVILLE STATE TECHNICAL COMMUNITY COLLEGE 120 WHITE BRIDGE ROAD NASHVILLE, TENNESSEE 37209
NASHVILLE STATE TECHNICAL COMMUNITY COLLEGE 120 WHITE BRIDGE ROAD NASHVILLE, TENNESSEE 37209 NATIONAL SCIENCE FOUNDATION AWARD NUMBERS DUE-9850307, DUE-0202249, DUE-0202397 FINANCIAL AUDIT OF FINANCIAL
CITY OF MILWAUKEE DEFERRED COMPENSATION PLAN Milwaukee, Wisconsin. AGREED-UPON PROCEDURES REPORT December 31, 2013
CITY OF MILWAUKEE DEFERRED COMPENSATION PLAN AGREED-UPON PROCEDURES REPORT December 31, 2013 CliftonLarsonAllen LLP CLAconnect.com Independent Accountants Report on Applying Agreed-Upon Procedures Deferred
Comptroller of the Treasury. Central Payroll Bureau
Audit Report Comptroller of the Treasury Central Payroll Bureau August 2003 This report and any related follow-up correspondence are available to the public. Alternate formats may also be requested by
September 9, 2015. Office of the Secretary Public Company Accounting Oversight Board 1666 K Street, N.W. Washington, D.C.
One South Wacker Drive, Suite 500 Chicago, IL 60606 www.mcgladrey.com Office of the Secretary 1666 K Street, N.W. Washington, D.C. 20006-2803 Re: PCAOB Rulemaking Docket Matter No. 041 McGladrey LLP appreciates
LEXINGTON MASTER LIMITED PARTNERSHIP Filed by VORNADO REALTY TRUST
LEXINGTON MASTER LIMITED PARTNERSHIP Filed by VORNADO REALTY TRUST FORM SC 13G (Statement of Ownership) Filed 02/13/04 Address ONE PENN PLAZA SUITE 405 NEW YORK, NY 10119 Telephone 212-692-7200 CIK 0001165460
SECURITIES SERVICE NETWORK, INC. MEMBER FINRA/SIPC 9729 COGDILL ROAD SUITE 301 KNOXVILLE, TN 37932
SECURITIES SERVICE NETWORK, INC. MEMBER FINRA/SIPC 9729 COGDILL ROAD SUITE 301 KNOXVILLE, TN 37932 SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2015 Accounts are carried by National
DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL REPORT ON AUDIT FOR THE YEAR ENDED JUNE 30, 2012
DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL REPORT ON AUDIT FOR THE YEAR ENDED JUNE 30, 2012 AUDIT SUMMARY We have audited the basic financial statements of the Department of Alcoholic Beverage Control as
Massachusetts Bay Transportation Authority
Status Report to the Fiscal Management and Control Board Massachusetts Bay Transportation Authority Year ended June 30, 2015 January 2016 kpmg.com KPMG Audit Objectives Audit Objectives Conduct an independent
SEAGULL ACADEMY FOR INDEPENDENT LIVING - A PROGRAM OF SEAGULL INDUSTRIES FOR THE DISABLED, INC. REPORT ON AUDIT OF FINANCIAL STATEMENTS
LIVING - A PROGRAM OF SEAGULL INDUSTRIES FOR THE DISABLED, INC. REPORT ON AUDIT OF FINANCIAL STATEMENTS TABLE OF CONTENTS INDEPENDENT AUDITOR'S REPORT 1 PAGE MANAGEMENT S DISCUSSION AND ANALYSIS 2-5 GOVERNMENT-WIDE
INTERNATIONAL STANDARD ON AUDITING (UK AND IRELAND) 320 MATERIALITY IN PLANNING AND PERFORMING AN AUDIT CONTENTS
INTERNATIONAL STANDARD ON AUDITING (UK AND IRELAND) 320 MATERIALITY IN PLANNING AND PERFORMING AN AUDIT (Effective for audits of financial statements for periods ending on or after 15 December 2010) CONTENTS
Inspection of PricewaterhouseCoopers (Headquartered in Auckland, New Zealand) Public Company Accounting Oversight Board
1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8433 www.pcaobus.org Inspection of PricewaterhouseCoopers (Headquartered in Auckland, New Zealand) Issued by the
Oxford City Council Managing Capital Projects
www.pwc.co.uk Internal Audit Report 2014/2015 August 2015 Oxford City Council Managing Capital Projects Table of Contents 1. Executive Summary... 3 2. Background and scope... 5 3. Detailed findings...
Applied Investment Management
Applied Investment Management Open House Where: Straz Hall 488, AIM Research Room When: Friday, September 4 th 2:00-3:00 pm Open House 2-2:20 General AIM Information 2:20-2:40 Discussion of AIM Application
LOS ANGELES COMMUNITY COLLEGE DISTRICT BOND CONSTRUCTION PROGRAMS: PROPOSITION A PROPOSITION AA MEASURE J
BOND CONSTRUCTION PROGRAMS: PROPOSITION A PROPOSITION AA MEASURE J Statements of Expenditures of Bond Proceeds and Supplementary Schedules Year ended June 30, 2015 BOND CONSTRUCTION PROGRAMS Table of Contents
Orange County Industrial Development Authority (a component unit of Orange County, Florida)
Orange County Industrial Development Authority Financial Statements Years Ended September 30, 2012 and 2011 Contents Management s Discussion and Analysis 3 Independent Auditors Report 4 Financial Statements
5:31-7 LOCAL AUTHORITIES - ACCOUNTING AND AUDITING
5:31-7 LOCAL AUTHORITIES - ACCOUNTING AND AUDITING 5:31-7.1 Accounting and financial reporting systems (a) The accounting system consists of the methods and records established to identify, assemble, analyze,
County of Santa Clara Finance Agency Controller-Treasurer Department
County of Santa Clara Finance Agency Controller-Treasurer Department Internal Audit Division 55 West Younger Avenue Suite 450 San Jose, CA 95110 408.808.4330 Fax 408.279.8417 October 27, 2006 To: Distribution
Comptroller of Maryland Central Payroll Bureau
Audit Report Comptroller of Maryland Central Payroll Bureau February 2012 OFFICE OF LEGISLATIVE AUDITS DEPARTMENT OF LEGISLATIVE SERVICES MARYLAND GENERAL ASSEMBLY This report and any related follow-up
SECURITIES AND EXCHANGE COMMISSION FORM 8-K. Current report filing
SECURITIES AND EXCHANGE COMMISSION FORM 8-K Current report filing Filing Date: 2007-09-27 Period of Report: 2007-09-27 SEC Accession No. 0000905148-07-006297 (HTML Version on secdatabase.com) IndyMac INDA
INTERNATIONAL STANDARD ON REVIEW ENGAGEMENTS 2410 REVIEW OF INTERIM FINANCIAL INFORMATION PERFORMED BY THE INDEPENDENT AUDITOR OF THE ENTITY CONTENTS
INTERNATIONAL STANDARD ON ENGAGEMENTS 2410 OF INTERIM FINANCIAL INFORMATION PERFORMED BY THE INDEPENDENT AUDITOR OF THE ENTITY (Effective for reviews of interim financial information for periods beginning
Credit Suisse Asset Management Limited UK Order Execution Policy December 2013
Credit Suisse Asset Management Limited UK Order Execution Policy December 2013 Table of Contents 1. General information about this Policy 1 2. CSAML s Core Best Execution Obligations 2 3. Placing Orders
Operational risk capital: Nowhere to hide
Regulatory November 2014 brief A publication of PwC s financial services regulatory practice Operational risk capital: Nowhere to hide Overview The Basel Committee on Banking Supervision (BCBS) last month
STATE OF ILLINOIS NORTHERN ILLINOIS UNIVERSITY ALUMNI ASSOCIATION REPORT REQUIRED UNDER GOVERNMENT AUDITING STANDARDS Year Ended June 30, 2008
STATE OF ILLINOIS NORTHERN ILLINOIS UNIVERSITY ALUMNI ASSOCIATION REPORT REQUIRED UNDER GOVERNMENT AUDITING STANDARDS Year Ended June 30, 2008 Performed as Special Assistant Auditors for the Auditor General,
SIGAR. USAID s Health Care Improvement Project: Audit of Costs Incurred by the University Research Company, LLC APRIL
SIGAR Special Inspector General for Afghanistan Reconstruction SIGAR 16-31 Financial Audit USAID s Health Care Improvement Project: Audit of Costs Incurred by the University Research Company, LLC In accordance
) ) ) ) ) ) ) ) ) ) ) )
1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8430 www.pcaobus.org PROPOSED AUDITING STANDARD AN AUDIT OF INTERNAL CONTROL OVER FINANCIAL REPORTING PERFORMED IN
INTERNATIONAL STANDARD ON AUDITING 260 COMMUNICATION WITH THOSE CHARGED WITH GOVERNANCE CONTENTS
INTERNATIONAL STANDARD ON AUDITING 260 COMMUNICATION WITH THOSE CHARGED WITH GOVERNANCE (Effective for audits of financial statements for periods beginning on or after December 15, 2009) CONTENTS Paragraph
Southwest Human Resource Agency. For the Year Ended June 30, 1996
Southwest Human Resource Agency For the Year Ended June 30, 1996 Arthur A. Hayes, Jr., CPA Director Barbara K. White, CPA Assistant Director Ronald E. Anderson, CPA Audit Manager Dianne Mitchell McKay,
SIGAR. USAID s Higher Education Project: Audit of Costs Incurred by the University of Massachusetts APRIL
SIGAR Special Inspector General for Afghanistan Reconstruction SIGAR 15-52 Financial Audit USAID s Higher Education Project: Audit of Costs Incurred by the University of Massachusetts APRIL 2015 SIGAR
DISTRICT COURT 21-3-04
DISTRICT COURT 21-3-04 SCHUYLKILL COUNTY EXAMINATION REPORT FOR THE PERIOD JANUARY 1, 2008 TO DECEMBER 31, 2010 CONTENTS Page Independent Auditor s Report... 1 Financial Section: Statement Of Receipts
Quality Control for an Engagement Conducted in Accordance With Generally Accepted Auditing Standards
Quality Control for an Engagement 119 AU-C Section 220 Quality Control for an Engagement Conducted in Accordance With Generally Accepted Auditing Standards Source: SAS No. 122; SAS No. 128. Effective for
Understanding the Entity and Its Environment and Assessing the Risks of Material Misstatement
Understanding the Entity and Its Environment 1667 AU Section 314 Understanding the Entity and Its Environment and Assessing the Risks of Material Misstatement (Supersedes SAS No. 55.) Source: SAS No. 109.