9/11/23
11. ARE CONTROLS ESTABLISHED AND PROCEDURES IMPLEMENTED TO ENSURE ADEQUATE: RECORD KEEPING AND AUDIT PROCESSES? (INQUIRY AND REVIEW SICS)
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12. ARE CONTROLS ESTABLISHED AND PROCEDURES IMPLEMENTED TO ENSURE ADEQUATE: DEPARTMENTAL INDEPENDENCE, INCLUDING, BUT NOT LIMITED TO, MEANS TO RESTRICT AGENTS THAT HAVE ACCESS TO INFORMATION TECHNOLOGY FROM HAVING ACCESS TO FINANCIAL INSTRUMENTS? (INQUIRY AND REVIEW SICS)
20
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