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#1800071 - 04/01/13 05:40 PM Retail Sales of Nondeposit Investment Products
Auditor412 Offline
Member
Joined: Jun 2011
Posts: 51
Midwest, United States
Does anyone have an audit program that they'd be willing to share in regards to retail sales of nondeposit investment products? This is a new audit area for our department; I've researched the FFIEC and FDIC for procedures and obtained the Interagency Statement on Retail Sales of Nondeposit Investment Products but I am having trouble narrowing it down to a solid set of procedures. Any assistance is greatly appreciated! Thanks!

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#1800264 - 04/01/13 10:50 PM Re: Retail Sales of Nondeposit Investment Products Auditor412
rlcarey Online
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rlcarey
Joined: Jul 2001
Posts: 79,893
Galveston, TX
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