- Inspection year
- 2023
- Report date
- 14-Sep-2023
- PCAOB release
- 104-2023-166
- Audits reviewed
- 1
- Audits w/ Part I.A deficiencies
- 1
- Part I.A deficiency rate
- 100%
- Part I.A deficiencies
- 1
- Part I.B deficiencies
- —
- Report
- View PDF ↗
Deficiencies (1)
Grouped by issuer and in the same order as the PCAOB report, so each item ties back directly to the source.
Issuer A1 deficiency
| # | Area | Deficiency | Standard | Flags |
|---|---|---|---|---|
| 1 | Investment Securities | The firm's internal inspection program inspected this audit and reviewed this area but did not identify the deficiencies below. The firm did not perform substantive procedures to test the net asset value of certain investment securities beyond comparing the securities' net asset value to pricing information obtained from an affiliate of both the manager of the funds and the record keeper. (AS 2501.07) Financial statement audit only | AS 2501.7 | Significant risk |