Webinar Archive: Current Trends and Auditor Independence

Mutual fund directors, and specifically audit committees, are responsible for maintaining an understanding that their independent registered public accounting firm, remains in fact, independent. This responsibility covers a number of areas, including open dialogue with the auditors about their system of quality control to maintain their independence, the pre-approval of non-audit services and how those services might be thought to bear on the firm’s independence, and providing oversight in cases where instances of independence violations occur. 

Marcy Kempf and Aly Cottam, partners from Cohen & Company, presented relevant rules that govern auditor independence within the registered fund environment, as well as about recent rule changes, final and proposed, that the SEC has made regarding auditor independence.

The webinar originally aired April 30, 2020.

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