13 CFR 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.
Title 13 published on 2014-01-01
no entries appear in the Federal Register after this date.