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

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