13 CFR § 107.506 Small Business Investment Companies

§ 107.506 Safeguarding Licensee's assets/Internal controls.

Current through Sep 29, 2026 · Read all of Part 107

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.

← § 107.504 Equipment and office requirements.§ 107.507 Violations based on false filings and nonperformance of agreements with SBA. →