audit trail report

Receive alerts:
by e-mail
E-mail Your information will be added to a database with the sole purpose of serving your subscription. This database is the exclusive property of vLex Networks S.L. and will never be shared with any other company. By sending your request you accept the Data Protection Policy of vLex Networks S.L. I have read and accept the Terms of Use
via RSS

2.468 documents for audit trail report

- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Commentary .02 to NYSE Arca Equities Rule 5320 To Require That ETP Holders Report to the Order Audit Trail System Information Barriers Put Into Place by the ETP Holder in Reliance on Commentary .02 to NYSE Arca Equities Rule 5320
- Federal Register Nbr. 77 FR 23303, April 18, 2012
- Notices
- Securities and Exchange Commission
- Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 To Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320
- Federal Register Nbr. 77 FR 23298, April 18, 2012
- Notices
- Securities and Exchange Commission
- Audit trail: State Pharmacy Board criticized in report.
State Board of Pharmacy inspectors ignore a sizable portion of those they are required to inspect, have given some pharmacies a longer-than-legal rene...
- New Hampshire Business Review
- October 09, 2009

- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Rule 5320 To Require That Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320
- Federal Register Nbr. 77 FR 23305, April 18, 2012
- Notices
- Securities and Exchange Commission
- Designing an Internal Control Assessment Program Using Coso's Guidance On Monitoring
Section 302 of the Sarbanes-Oxley Act of 2002 (SOX) requires that CEOs and CFOs of public companies, in connection with the filing of periodic reports under the Securities Exchange Act of 1934, disclose any changes in their internal control systems. SOX section 404 further requires that management present a report assessing the effectiveness of its internal controls and that such assessment report be audited by a registered accounting firm. The Committee of Sponsoring Organizations of the Treadway Commission (COSO) issued Guidance on Monitoring Internal Control Systems in January 2009. The guidance provides a model for company management to design and implement an internal control assessment program. This article addresses the issues of designing such a program. The first section deals ...

... supported by documentation to form an audit trail of the assessment program. The major emphasis of t...
- CPA Journal, The
- Vol. 80 Nbr. 5, May 2010
- HHS Issues Proposed Rule Regarding Disclosure Accounting And Access Reports
...This access report is not the same as an "audit trail" or "audit log." If an entity has PHI in mul...
- Mondaq Business Briefing
- United States Law Articles in English
- The right internal controls prevent fraud and loss: the larger the organization, the more formal the requirement for internal controls; the smaller the organization, the more resources-constrained it is. Yet, some simple procedures can be applied for writing internal controls that can be utilized for all levels of business.
...? Would lack of encryption trigger reporting in a loss or theft? Is there sufficient protection... for publicly held companies and their auditors. . As related to internal controls, Sections 302 a... report; inventory write-off; and audit trail report. . 10 Create a whistleblower policy and enc...
- Financial Executive
- Vol. 27 Nbr. 6, July 2011
- MaxSol Showcases HIPAA-Strength Audit Tracking at HIMSS; Healthcare Organizations Track, Log and Report Every Access to Medical Records With MaxSol's Audit Trail.
Business/Technology Editors and Health/Medical Writers HIMSS 2000 CONCORD, Mass.--(BW HealthWire)--April 19, 2000 At last week's HIMSS 2000 conv...
- Business Wire
- April 19, 2000
- 21 CFR 1311.215 - Internal audit trail.
... calendar day and generate an incident report that identifies each auditable event. (c) The phar...
- Code of Federal Regulations - Title 21: Food and Drugs
- A Liquidity Motivated Algorithm for Discerning Trade Direction
Most exchanges do not report trade direction thus researchers and traders must deduce whether a trade is buyer or seller initiated since this information is required to evaluate models of bid-ask spread components and to understand the market for immediacy. Algorithms that assign trade direction based on the proximity to bid or ask quotes are easily implemented but ignore information readily discernable from orders, changes in the quoted depth and subsequent price movements. Using the New York Stock Exchange Trades, Orders and Quotes database, systematic biases in existing trade direction algorithms are documented that can be rectified by recognizing that the impact on liquidity is the fundamental characteristic underlying order placement. Although this liquidity-based method is difficu...

... of the transactions, quotes, orders, and audit files are combined into a continuous series and or... transactions do not have complete audit trails in the TORQ database. For those transactions that ...
- Multinational Finance Journal
- Vol. 12 Nbr. 1/2, March 2008