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Section 22. Internal Record Keeping and Accounting Controls - Securities Regulation Code

Section 22. Internal Record Keeping and Accounting Controls of Securities Regulation Code. Section 22. Internal Record Keeping and Accounting Controls. - Every issuer which has a class of securities that satisfies the requirements of Su

  • Subjects 9 Bar syllabus groups
  • Codals 48 Primary legal sources

Securities Regulation Code

Section 22. Internal Record Keeping and Accounting Controls. - Every issuer which has a class of securities that satisfies the requirements of Subsection 17.2 shall:

22.1. Make and keep books, records, and accounts which, in reasonable detail accurately and fairly reflect the transactions and dispositions of assets of the issuer;

22.2. Devise and maintain a system of internal accounting controls sufficient to provide reasonable assurances that: (a) Transactions and access to assets are pursuant to management authorization; (b) Financial statements are prepared in conformity with generally accepted accounting principles that are adopted by the Accounting Standards Council and the rules promulgated by the Commission with regard to the preparation of financial statements; and (c) Recorded assets are compared with existing assets at reasonable intervals and differences are reconciled.

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