Controls at a Qualified Custodian

(Investment Advisers Act of 1940 – Rule 206(4)-2)

This Controls at a Qualified Custodian Playbook is based on the Investment Advisers Act of 1940 – Rule 206(4)-2.
 
It addresses the following areas:
  • Custodian's Controls and Control Objectives, and
  • Relevant General Computer Control Objectives

Back (Small2)

Note:  You must first install the GRC Playbook software before you can open and use the encrypted Playbooks.

All Playbooks are encrypted to protect the privacy and confidentiality of your data. The GRC Playbook software automatically generates and applies the password to programmatically unencrypt a Playbook and open it for use.

Save the downloaded Playbooks to a secure location on your system. Open your Playbooks from your secure location. GRC Playbook Limited does not have visibility into any of the data you enter into your downloaded Playbooks. 

Based on Authoritative Sources

 

SEC

Get Started With GRC Playbook

 

One Affordable Subscription. 100+ Playbooks.

With one subscription, you'll gain access to all of our compliance templates.

 

Find out just how affordable and beneficial a GRC Playbook® subscription can be.

Everything you need, on a platform you already know.

   Get a Demo   

Subscribe Now