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Article 7. Regulations Governing the Activities of Third-Party Auditors Who Are Hired by the Controller | Midpage
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California Code of Regulations
Title 2
Division 2. Financial Operations
Chapter 2. State Controller
Subchapter 8. Unclaimed Property Law
Article 7. Regulations Governing the Activities of Third-Party Auditors Who Are Hired by the Controller
Article 7. Regulations Governing the Activities of Third-Party Auditors Who Are Hired by the Controller
State of California
1180.011
Statement of Purpose.
1180.012
Authority to Conduct Unclaimed Property Examinations.
1180.013
Adherence to Contract.
1180.014
Terms of Compensation.
1180.015
Principles of Examination Conducted by Third-Party Auditors.
1180.016
Independence.
1180.017
Training and Expertise.
1180.018
Conflict of Interest.
1180.019
Confidentiality.
1180.020
Communications with Holder.
1180.021
Prior Written Authorization Required.
1180.022
Subcontracting and Affiliated Companies.
1180.023
Preparation of Working Papers.
1180.024
Availability of Working Papers.
1180.025
Retention of Working Papers.
1180.026
Opening Conference.
1180.027
Topics Covered in Opening Conference.
1180.028
Phase I of Examination: Basic Corporate Information Gathering.
1180.029
Phase II of Examination: Devising the Examination Program.
1180.030
Phase III of Examination: Examination of Accounts.
1180.031
Phase IV of Examination: Detailed Testing Covering Entire Examination Period.
1180.032
Phase V of Examination.
1180.033
Extension of Examination Period.
1180.034
Final Decision-Making Authority.
1180.035
Explanation of Appeals Process.
1180.036
Working Paper Requirements.
1180.037
Signing, Dating, and Paginating.
1180.038
Source, Purpose, Scope, Procedures, Findings and Conclusions.
1180.039
Indexing.
1180.040
Cross-Referencing.
1180.041
Legends and Tick Marks.
1180.042
Sampling Requirements.
1180.043
Cooperation Among the States.
1180.044
Closure.
1180.046
Correspondence.
1180.047
Sample Confidentiality Agreement.
1180.048
Sample Confidentiality Agreement.