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Clarify roles and responsibilities for completion, tracking, and retention of security ownership forms.
Develop and implement quality assurance measures for the prohibited securities process to ensure staff adherence to timeliness metrics and ethics guidance.
Develop and implement quality assurance measures to ensure adequate monitoring of prohibited securities records including record retention and external audit capability.
Revise MD 7.7, Security Ownership, to include roles and responsibilities clarifications, and remove inconsistencies and outdated information.
Develop, finalize, and implement the prohibited securities desk guide.