Submitting OIG:
Report Description:
Registered Investment Adviser Examinations: EXAMS Has Made Progress To Assess Risk and Optimize Limited Resources, But Could Further Improve Controls Over Some Processes, Report No. 571
Date Issued:
Tuesday, January 25, 2022
Agency Reviewed / Investigated:
Component, if applicable:
Division of Examinations
Location(s):
Agency-Wide
Type of Report:
Audit
Questioned Costs:
$0
Funds for Better Use:
$0
Number of Recommendations:
1
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