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CUSTODY ACCOUNT REGULATIONSAdditional conditions applicable to the custody and administration of securities, metals and other
deposited assets.1. Scope
These custody account regulations apply to the
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Who needs custody services comptrollers handbook?
01
Financial institutions
02
Custody service providers
03
Comptrollers and financial managers
04
Regulatory authorities
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What is custody services comptrollers handbook?
The custody services comptrollers handbook is a regulatory document that provides guidelines and procedures for custodial services, outlining responsibilities, compliance requirements, and operational standards for entities providing custody services.
Who is required to file custody services comptrollers handbook?
Entities that provide custody services, including financial institutions and custodians of assets, are required to file the custody services comptrollers handbook to ensure compliance with applicable regulations.
How to fill out custody services comptrollers handbook?
To fill out the custody services comptrollers handbook, entities must collect relevant operational data, complete the required sections based on their specific custodial services, and submit the document as prescribed by the regulatory authority.
What is the purpose of custody services comptrollers handbook?
The purpose of the custody services comptrollers handbook is to ensure that custodial services are conducted in a safe, efficient, and compliant manner, thereby protecting client assets and maintaining market integrity.
What information must be reported on custody services comptrollers handbook?
Information that must be reported includes details about custodial practices, compliance with regulations, risk management procedures, and specific client asset management practices.
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