Controls at a Qualified Custodian  – Rule 206(4)-2

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

 

Custody Rule SEC

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