sec-oig-audit-recommendations
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sec-oig-audit-recommendations

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SECUES A EE COMMISSIOAUCOMMEAOACKI SYSM (SEMIAUAt t: 000 A AUE C COMMEAO SSSEC LTR1 Off AdntrSv ld d rd nd4 A OAS t d CtrtMt nn dd pr ttrprt dntrt(nt2 Off AdntrSv ld d pd ndtn rprtrth thnldrdddfl.3 Off AdntrSv ld dnth nd td ntrtd thrrpdv thntrt On th .. .nd4 Off AdntrSv ld d tnprtrprt d rd flrt thd .. .5 Off AdntrSv l d n ndtrnpl trl Cn hdtd Offn...6 Off AdntrSv l pr ndOff th t thpr CtrtOff n ...nd7 Off Atnld rd fdn pl d ntr th ll rth l d t.. .nd8 Off Atnld rthnr thd Atn ln rrtthr tndl .nd9 Off Atnld dthSEC4,t Ctrt Adntrn, rdntrt d rth ...10 Off Atnld d tn r ndprd t tfth rln th thd Atn ln ntrt pr.4 ndA thCn f 1 OCIE ld plt prrr pt prCdtInvtnt Adv Exn f trrf vtnt v, ...2 OCIE ld thrr vtnt v b nd ptt ftn rn fr l vnd Off thCn, ...nd3 Enfnt d OCIE ld tlh d htjntpr prf th l ptt ftn...4 OCIE ld tlh prtthltn ndftn th rv t vtnt v d ...5 Wh thOCIE b nftn ptn ndt vtnt v, OCIE ld thvtntv rA f d...nd6 OCIE ld tlh prtthltvtnt v rA OCIE b prlth vtnt v.7 OCIE ld rtthpnt th t ndvb thr rt td nt. SECUES A EE COMMISSIOAUCOMMEAOACKI SYSM (SEMIAUAt t: 000COMMEAO SSA AUE CLTRSEQ 8 OCIE ld rtthpnt th tf nd4 A thCn fb thr rt nb ntth th prCdtInvtnt Adv Exnvtnt vrv.nd9 OCIE ld rnd tthChrn fth Cn rth d rrthfldnftn tbrt pt rA:nd10 Cn ld fthpr rtlAndnttrA [l . IA ].nd11 OCIE ld d d htpd pr fndtthd ...

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SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
t t: 000
A AUE C COMMEAO SS
SEC LTR
1 Off AdntrSv ld d rd nd4 A OAS t d Ctrt
Mt nn dd pr ttrprt d
ntrt(nt
2 Off AdntrSv ld d pd nd
tn rprtrth thnld
rdddfl.
3 Off AdntrSv ld dnth nd
td ntrtd thrrpdv
thntrt On th .. .
nd4 Off AdntrSv ld d tn
prtrprt d rd fl
rt thd .. .
5 Off AdntrSv l d n nd
trnpl trl Cn hdtd
Offn...
6 Off AdntrSv l pr nd
Off th t thpr Ctrt
Off n ...
nd7 Off Atnld rd fd
n pl d ntr th ll r
th l d t.. .
nd8 Off Atnld rthn
r thd Atn ln rrtth
r tndl .
nd9 Off Atnld dthSEC4,
t Ctrt Adntrn, rdntrt
d rth ...
10 Off Atnld d tn r nd
prd t tfth rln th th
d Atn ln ntrt pr.
4 ndA thCn f 1 OCIE ld plt prrr pt pr
CdtInvtnt Adv Exn f trrf vtnt v, ...
2 OCIE ld thrr vtnt v b nd
ptt ftn rn fr l vnd Off
thCn, ...
nd3 Enfnt d OCIE ld tlh d htjnt
pr prf th l ptt ftn...
4 OCIE ld tlh prtthltn nd
ftn th rv t vtnt v d ...
5 Wh thOCIE b nftn ptn nd
t vtnt v, OCIE ld thvtnt
v rA f d...
nd6 OCIE ld tlh prtthlt
vtnt v rA OCIE b
prlth vtnt v.
7 OCIE ld rtthpnt th t nd
vb thr rt td nt.

























SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
t t: 000
COMMEAO SSA AUE C
LTRSEQ
8 OCIE ld rtthpnt th tf nd4 A thCn f
b thr rt nb ntth th prCdtInvtnt Adv Exn
vtnt vrv.
nd9 OCIE ld rnd tthChrn fth
Cn rth d rrthfldn
ftn tbrt pt rA:
nd10 Cn ld fthpr rtl
AndnttrA [l . IA ].
nd11 OCIE ld d d htpd pr f
ndtthd ptvn th OCIE vth
t t n t d h rt
.
nd468 v thOCIE Exn 1 OCIE ld prl trt dtr
pln...
nd2 OCIE ld tlh pr f d rnn
tl d ftn fr rt dtrth
d..
OCIE ld tlh pr th plnh ttr nd3
fld ptl vln rl b .. .
4 In rd th thfd thCt f Entpr nd
Mnn prt d prr tln, OCIE ld ...
nd5 OCIE ld nllrd tt thft
pd pr th rd tt d lnt
lltn .
nd6 pd lntrd bthOCIE th pr th
rftbld lld...
All OCIE tdr lntth n vt th nd7
d rpt ld b..
All ptllrt ftn rv bthOff nd8
Cpln Intnd Exnfr t lnt
ld b.. .
OCIE ld t pd pr r tth nd9
rdtbt ...
10 OCIE ld td pd thrd nd
t n ftd .
Aft n prnhbn pr, nd11
th l h t thnMd, thn
Md ld bbjt t.. .
12 Aft thnMd f drt, ld b nd
rl tl n t d .. .
13 n tld ld rth l th nd
n th thnMd,
l d .. .
2





















SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
000t t:
SSCOMMEAOAUE CA
LTRSEC
nd14 Sttv ndt bOCIE rtrtd thdv thOCIE Exn 468
ptdOCIE prn td .. .
nd15 rf v n ld b ffnt
dl tprr dd pp , d
thnnr.
Wh lnl OCIE nt n trn nd16
, thtld ld vth thprrttr .
ndOCIE ld nllrd tt thft 17
pd pr th rd tndt dt
d nn...
ndf n ld drthltn th18
n td tld blt b
thr ptr t f.
Sr OCIE nt ld rth pnn th th nd19
prrtld pt t...
OCIE ld Chf, lldn ld nd20
n, btprt l
n
ndOCIE ld d fl pl th 2
th hvd tnpr dnndr
lb...
OCIE ld d d plt tttb nd22
nt bOCIE trnf ddt thd pt
d .
nd2 Sjt tpr thn tld, OCIE
ld ntt nt IA ...
nd24 In th n, b
ptl rl vln h f th
ld nlt th th...
nd2 OCIE ld btrn th r
ttlt, bh thU.S. d j f rt
nd26 OCIE ld btrn bth0 tht
thpt f r ...
nd2 r t h tr hbn
d h t thn thd pt
(tpt n
nd28 OCIE n f ld brr tvtt l
tr b dth tptd h
ddt thd pt .
OCIE ld btrn jntlth thOff nd2
En An tbA,
OCIE f ld bv dt trtn d nd30
tn blfnn h l
...











































SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
000t t:
SSC COMMEAOAUEA
LTRSEQ
ndWh n t pl f thn f 31v thOCIE Exn 468
prt hh prr ln th prt, th
n tld rn tthr . ..
ndOnpn OCIE ld brpblf trnth32
prr l n d thtrnld
ndOCIE pd pr ld rldth th33
nn n, .. .
ndExn f ld n lv bt34
tht prffnt b f dnn
pl tpth prrtl t
ndOCIE trnld rtn pn lb 35
d thpt f thr tn th
pfnthr df OCIE.
OCIE nt ld r th ll ppt OCIE nd36
thr p th
n, pth rr ntt
...
ndWh d dd tn t 37
lnt, OCIE
Enfnt ld tlh fl f t nd146 Enfnt Mt Efft
v t lnt(, nzhd trnSv
prrtf th th.
Enfnt ld rthSEC t d lnt hdl nd2
pr f dpt rt ftn rt
ndEnfnt ld rrtd lnttbrd b3
l t dlpnd thbjt tt prr t
dn ttfth tn.
ndEnfnt ld tlh trrth l4
lntth pr thrftbld
lbpr fth b..
nd5 Enfnt ld prtrntf trth
th ntn Stn 2. th
Enfnt Ml d ...
ndEnfnt ld nllrd tt thft6
pd pr th rd tn t d lnt
hdl.
ndEnfnt ld p plpr trth7
vtn tt l dl
thth d .. .
ndEnfnt ld trn f rrd ftn8
llfr thnn l d d h
fr thld br.
ndEnfnt ld ndth plnrd9
bpr d vtn d th thpl
n tn t...
4























SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
t t: 000
SSCOMMEAOAUE CA
LTRSEQ
ndEnfnt ld rrth t thplnrd Enfnt Mt Efft 1046
drt, rl tl t tthSv
vtn, d l t.
nd11 Enfnt ld tlh pr th jr
Enfnt tnhdftth tn
t fr .
nd12 Enfnt ld ndt pd t r nl
plt pd pr r tftn
th vnd Off .. .
Enfnt ld rrth thplnrd d nd13
thd tr brt
rd b vt .
ndEnfnt ld rth ffnt rr bh14
pvd ppt d tvtnfrt t
prf td th ...
Enfnt ld p plpd pr nd15
trn trf h dd
t ftn ld b.. .
Enfnt ld lnt hdl nd16
pr pr f rlntrv
vtn pd prlvt.
Enfnt ld ndt pd tn r tr nd17
th MUI rd th nld
Cn d trth
pr
Enfnt ld p plprtpdlrd nd18
f thr rpbrdptl th
pfn fl dd rt f th n .. .
ndEnfnt ld tlh trnp19
tthOIG rv ftn rdf nrn
n prr prrd ...
nd20 Enfnt ld tlh trnp
tthOIG rv ftn rdf n
rd hdl.. .
Enfnt ld tlh trnp nd2
rnrnth ...
ndChrn Offl fl thChf IA Off pn th46 IA v 1
d ndd rth thChf IA Off h
thprrttht.. .
ndChrn Offl b t2
Cn pld thpl thpt th
d Inftn A
nd3 Chrn Offl dt thChf IA Off tr
th: ...
nd4 Chrn Offl dt thChf d
Inftn A (IAOff tpr t
pd pr f l IA


SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
t t: 000
AUE C COMMEAO SSA
SEQ LTR
46 IA v 5 Off G Cnl l prd f r nd
p thpn r d rpbd
th thOff G .
6 Chrn Offl dt thChf d nd
Inftn A (IAOff trth ffnt l
.pt lltthOff ..
nd7
Inftn A (IAOff tllth thrpt
fd dn nd th.. .
Chrn Offl dt thChf d nd8
Inftn A (IAOff trth prrttrn
ptpr tl...
9nd
Inftn A (IAOff d thOff d
Inftn ArA Opnt.. .
Chrn Offl dt thChf d nd10
Inftn A Off tndt trnth nd tfl
plt thprtd l th
464 tn tOIG l 1 OIG th thr bdnprr tdn nd
An d Stlt AntInvv dpltn
2 OIG th fbdnprr t nd
ttlt rnt
46 OASIS St pt 2008 SMA 1 EvtOCIE Adv Intl St th prtn Cpl
vnt
2 Evt ntrtrOCIE Adv Intl Cpl
St h tfl t nt pr
3 Ilt tftn fl fnt ntr f OCIE Cpl
Adv Intl St
46 v thCn n 1 vthrt OIG rv tdnh Cpl
t ld bdtthprt
2 Cdt h rv f t thrtnprh nd
bn l
3 Cdt prrt d ld bt Exh nd
0 tOM
4 v d t pd pr f vtnt nd
nt th OM
4 ln Exptn 1 v prt d rln th ln nd
D
2 Elh pr trrftn th nd
d d nt rt
3 prrttn fl tfr nd
6









































SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
t t: 000
AUE C SSA COMMEAO
SEQ LTR
ln Exptn 4 trrltvtn prr d t nd4
fnt ln
v f rr ptl ln d nd5
prn d dn th Enfnt
nd6 fttfpr r
nd7 th Cn thtn nfr
ndn f nln ptn
8 I dn t rfrrt Cpl
9 hnttd rtrr nd
10 Crdth f rrtrn t nd
d 8d fl th dt rf
11 Crdtrtrpt n rt Cpl
dptl ln vlnd
d prp r Enfnt rr
12 I fl, pl h tr vr nd
dn d l
13 EvtEAthtn prd nr nd
tfth r lthpr
14 Anh h hplt thtn nd
prd plt prrtpr
15 Wth SAA tfrd ddd nd
rnd Cn pr
16 ldth SAA f td tl nd
tfrtrlth th
17 tnfth dn th SAA f d ntt nd
rf dd drtpr ln
r
4 Ovt S 1 nd ld rth l t td th
pln rprrv b rndth
r brt S.
2 , nltn th thOCIE d thOEA, ld t nd
h tn ld bt rdthC th
t rtrn S...
3 ld rth l pd td dth nd
pln prvvthCth thSEC pr
Srv th x nth [80.
4 nd, nltn th thOEA d thOCIE, ld d
f dnh br fd bth
r rnl





















SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
000 t t:
AUE C COMMEAO SSA
LTRSEC
ndOvt S 5 ld r th thOff G Cnl d4
rdh ld prpt th t...
nd6 d thOCIE ld tprrttntf
S t thCn ptnrdth
pn thr ln f
nd7 ld rth Cn d rp t
rbSf t t rr b
thCn r.
ld rth r plnf nd8
dnn Sd f th hrt
Slth thCn r.. .
9 Chrn, nrt th thh Cn l nd
rthOff Int G fd ndt
nbd.
OCIE ld thS p nprr. nd10
nd11 OCIE, nltn th thEO d thOAS, ld tn
dn r thdrt OCIE (Sn d
b pt rd S tt
12 Chrn, nrt th thh Cn l nd
rthOff Int G fd nrn
AOt S d d ...
13 OCIE ld pfn rtdnh th nd
r bnvlft bS
pfn...
14 , nltn th thOCIE, thOEA, thOIA, d th nd
O, ld ...
15 Chrn, nrt th thh Cn l nd
rthOff Int G fd n
r d, .
OCIE ld pfn rth, d nd16
d rt rtfd .
nd17 , nltn th thOff OCIE, thOIA, d thO,
ld .. .
nd18 Chrn, nrt th thh Cn l
rthOff Int G fd r
d d, ...
nd19 OCIE ld ndt ntth th
rvdr prl nptth
r.
20 , nltn th thOCIE, thOIA, d thO ld . . nd
2 Chrn, nrt th thh Cn l nd
rthOIG fd thlftn d
prr d .. .
8









































SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
t t: 000
COMMEAO SSA AUE C
LTRSEQ
nd22 Chrn, nrt th thCn l rth4 Ovt S
Off Int G fd f pf
r d, .. .
nd2 Chrn, nrt th thh Cn l
rthOIG fd pl t f
pln d ...
nd24 , nltn th OCIE, thOEA, th0, thO d
thOGC, ld ...
Cpl1 nlr trt b prr pln bApr ,4 t n r
200d r rr brn d rtn
nd2 Cdt pd trnd rdtAdntr
Offtvptt d
Cpl3 ptttrrtnlld
costs
Cpl4 Ilt prttn d p pld
ttrt d
Cpl5 rlltn r bllt btrt
pttt pfr th
Cpl6 Enrf f td lnr
dtn tn ttf
nd7 Cdt tn rpdl prr pttt
rpr rtn b
Cplrdlrd prr ptt rrt tr8
b td lv tr,
CplSr pntrlllt bprr9
ptt lv
nd10 Ilt dn nt ntr rn f
prr n
1 O, nltn th OGC, ld rrl Cn nd4 Att Annl Ctn r
Mb tntrtnllth th tb
dpltn ll rt.
nd4 E l & GnthS 1 vp thltn rvd ddt
nltttdrtl d pt nflt tt d nd Adn Ind r Clt,
pr tf .
nd2 tnh tl ld bpl r f
nflt tt brnd ftn, h th
ftn ld br f rth f
In thnt tpthplt rtn th th nd3
ftn pr ld trhf d th thplt
ddthnf prf ftn
Enrf lth pr d nd pnt pl nd4 nt Wv 1
d ptl




























SECUES A EE COMMISSIO
AUCOMMEAOACKI SYSM (SEMIAUA
t t: 000
C COMMEAO SSA AUE
LTRSEQ
nt Wv 2 Enrthr f ftn f rprr t nd4
rnddrnt
3 Clpd pr rd ppt nd
dtn ld btn d rn
4 Enrn f tfr ddtrpdt nd
r drnt rn, d
n
5 Enrt f drnt rn d nd
bpv
6 Enrdtn rn f d ln th nd
pr f tnt rn
7 Enrpl d pfd f l nd
ddtrpdt
8 Enrf trvpd fl trn nd
drnt pr
4 2008 d Inftn St 1 OIndtlthrntrf thrn Cpl
Mt A v systems
2 Adt d plt CC dd nfnd nd
dt dtn dntrttn
l d plt CC rtt
3 U ExSrpt, th l OIG Cpl
rttpl td SEC nl SMA rt
rd th OMM8
nd4 t l td Sht Sl 1 v t th tr f n t
Cplntd fr lllnt
2 vt tECC f trpr rd nd
rr n t lllnt
3 Add n t lltt lnt pl nd
bpd d tl llnt f
4 v d plt pd prf pv Cpl
r l n frd f fth r
nd5 v t pd pr f th
Cplnt pd frprr hdtd th
rn f
nd6 f dl hdttprnnd
t f Cplnt pd frprr
7 OIE tpfnrflp trl nd
Cplnt pd fr(Cpntn
dtn d t tthC d
rn fnr fltpfnthlr nd8
Cplnt pd fr