Report File
Date Issued
Submitting OIG
Securities and Exchange Commission OIG
Other Participating OIGs
Securities and Exchange Commission OIG
Agencies Reviewed/Investigated
Securities and Exchange Commission
Components
Division of Examinations
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
Report Type
Audit
Agency Wide
Yes
Number of Recommendations
1
Questioned Costs
$0
Funds for Better Use
$0
