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Quality control

Post-issuance (cold) review

Outcomes A report of the results will be provided to the partners of
the firm flagging deficiencies that require corrective
action. Recommendations will be made including:

 Communication of findings

 Additional quality control reviews

 Training

 Changes to the firm's policies and procedures

 Disciplinary action

Illustrations and further practice

Now try TYU question 1 from Chapter 4

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