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STATUS OF RECOMMENDATIONS: AUDIT OF THE NRC’S PROHIBITED SECURITY OWNERSHIP PROCESS
STATUS OF RECOMMENDATIONS: AUDIT OF THE NRC’S PROHIBITED SECURITY OWNERSHIP PROCESS
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.