Advisory Organization Examination Protocol (C) Working Group
Conference Calls

The Advisory Organization Examination Protocol (C) Working Group met June 27, 2007, and August 30, 2007 by conference call.

A draft of the Market Regulation Handbook Chapter Twenty-Five, Conducting the Statistical Agent and/or Advisory Organization Examination was exposed December 12, 2006 with comments to be received by June 20, 2007. This resulted in the Working Group review of three versions which were consolidated into an August 20, 2007, draft. The Working Group is currently revising the latest version. In addition, a separate review of the information systems controls is being conducted for inclusion in Chapter Twenty-Five. The Working Group will also review the various standards contained in the Market Regulation Handbook and recommend revisions if deemed necessary to the Market Regulation Handbook (D) Working Group.

The Working Group is planning to meet via conference call in October.

Action Items:

1. Exposed an August 20, 2007, draft of the Market Regulation Handbook Chapter Twenty-Five, Conducting the Statistical Agent and/or Advisory Organization Examination