During 2016-17, 37 warning letters and 35 deficiency letters
were issued to Mutual Funds/ Asset Management Companies (AMCs) while Adjudication proceedings were initiated against three Mutual Funds.
Still on the subject of regulation, let's have some fun with deficiency letters
. Part of the joy of getting a new insurance program licensed in a new state is the exchanges with regulators.
14, 2017, the Office of Compliance Inspections and Examinations (OCIE) published its National Exam Program Risk Alert detailing frequently identified compliance issues cited in investment advisor examination deficiency letters
The agency's Office of Compliance Inspections and Examinations states in the alert that the compliance issues were most frequently identified in deficiency letters
recently sent to SEC-registered investment advisors and as part of an examination initiative that focused on advisors' use of "accolades" in their marketing materials.
M2 EQUITYBITES-April 7, 2016-RiT Technologies Reports Receipt of Two NASDAQ Staff Deficiency Letters
TELECOMWORLDWIRE-April 7, 2016-RiT Technologies Reports Receipt of Two NASDAQ Staff Deficiency Letters
Also, pre-market approval (PMA) backlogs have been cut in half, and the percentage of PMAs with deficiency letters
have fallen as well.
The California Board of Accountancy is sending deficiency letters
to almost 600 licensees for failing to respond to the most recent batch of CBA peer review inquiries.
Although the contractor at this point seemed very agreeable to resolving these issues and correcting the road, it took four more tries, four more reviews and deficiency letters
, and two months to finally correct the problems.
The new release, which combines older enhancements, can now track for lender-required policy characteristics and send deficiency letters
when these requirements are missing.
bidders must have the ability and knowledge to conduct the initial and annual inspections at all applicable units, including all independently owned homes and condo/townhouses, using hud~s quality standards, which would include scheduling, conducting inspections, deficiency letters
, inspectionforms/reports, rent reasonableness forms and follow-up inspections as needed.
OCIE said the list of compliance failures were sent to SEC-registered advisors via deficiency letters