13 C.F.R. § 107.506

Current through September 30, 2024
Section 107.506 - Safeguarding Licensee's assets/Internal controls

You must adopt a plan to safeguard your assets and monitor the reliability of your financial data, personnel, Portfolio, funds and equipment. You must provide your bank and custodian with a certified copy of your resolution or other formal document describing your control procedures.

13 C.F.R. § 107.506