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Letter of Deficiencies


letter of Deficiencies

standards. Others organize comments based on functional area or location. If you require a printed version of this document contact the United States Securities and law and Suicide Exchange Commission, Office of Inspector General, Mail Stop 11-7, 450 Fifth Street.W., Washington,.C. According to ocie, in fiscal year 2002, the Examination staff performed 626 Broker-Dealer (BD 138 Transfer Agent, 3 Clearing Agency, 32 Self-Regulatory Organization (SRO 1,570 Investment Advisor (IA and 278 Investment Company (IC) examinations.

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4.8.9 Statutory Notices of, deficiency

Currently, if they do not hear from the staff for a few months, they assume that the response was acceptable. For instance, registrants could improve their operations before the staff conducts the examination. During the audit, we interviewed and surveyed Commission staff and registrants. Auditors lets do this like Judas want to help their clients succeed, and the management letter should be viewed as a value-added "bonus" to the audited financial statement. The corrective actions and their implementation are typically reviewed during the registrant's next examination. The management letter can provide innovative ideas, based on industry best practices, about ways to improve internal control systems, streamline operations, and cut back on expenses. . The database helps to ensure consistency throughout the Program. During the audit, ocie began to implement a method to provide registrants with notification. The outcomes are: Issue a letter to the registrant indicating that no deficiencies 2 were identified; Issue a deficiency letter to the registrant describing the deficiencies and requiring the registrant to implement appropriate corrective actions, and submitting a written response describing the actions;. We are making several recommendations that we believe will improve the process, including: disclosing common deficiencies routinely and systematically, improving the Office of Compliance Inspections and Examinations (ocie) liaison oversight of the Broker-Dealer Program, clarifying the guidance to the staff concerning what actions to take.

What is deficiency letter?



letter of Deficiencies

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