13 CFR 107.506
§ 107.506 Safeguarding Licensee's assets/Internal controls.
United States · 13 CFR — Business Credit and Assistance · Status: effective
Cite this
- Citation
- 13 CFR 107.506, § 107.506 Safeguarding Licensee's assets/Internal controls, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/51602
- Permanent ID
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Full text
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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.