Controls at a Qualified Custodian (IAA Rule 206(4)-2) Playbook Library

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The Controls at a Qualified Custodian Playbook is based on the Investment Advisers Act of 1940 – Rule 206(4)-2 and addresses the following areas:

 

  • –  Custodian’s Controls and Control Objectives, and
  • –  Relevant General Computer Control Objectives
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