Finally, consider a regulatory audit.

最后，考虑一个调整的审计。

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Intensification of regulatory compliance mandates, which may necessitate detailed audit records of activity across the development lifecycle.

法规遵循的增强，这可能要求详细的跨开发生命周期的活动的审计记录。

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A.Identify sources of potential engagements (e.g., audit universe, management request, regulatory mandate).

确认潜在审计业务的来源(如审计域、管理层的要求、法规要求)。

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For example, Leighton is alleged to have misrepresented to pool participants that a regulatory audit prevented him from making any distributions or payments to pool participants or returning participant funds upon request, when, in fact, no such audit had occurred.

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Several audit firm professionals tried to convince the SEC and PCAOB staff that they were mistaken in the belief that broker-dealer auditors could not sign the broker-dealer audit opinion as well as help implement accounting software, prepare period-end journal entries and compile those same financial statements and regulatory reports that they would audit.

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"The options exchanges have, and thus ORSA has, audit trails with which to perform their regulatory functions, " she said.

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