Mapping to your regulation

NodeAsset provides neutral controls that each deployment configures. It makes no claim about any jurisdiction’s rules and holds no certification. Your adviser maps the objectives below to the rules you report against, such as token-securities rules, transfer-agent and registrar rules, investor-protection rules, AML and sanctions rules, and record-keeping rules.

Control objective	Control family	Matrix rows
Only eligible investors hold the asset	Eligibility	CTL-1, CTL-10
Holdings, size and flows stay within limits	Limits and settlement safety	CTL-3, CTL-4, CTL-16
No unit is issued without payment	Limits and settlement safety	CTL-5, CTL-6
Orders settle at a fair, independent price	Pricing	CTL-7 to CTL-9
Problems can be stopped at once, and units moved only with authority	Interventions	CTL-10 to CTL-12
No one person can complete a sensitive act	Duties and governance	CTL-13
The register keeper keeps control of the register	Duties and governance	CTL-4, CTL-14; shared: the register keeper
Changes to rules and code are controlled	Duties and governance	CTL-14; shared: the Canton network, the vendor
The books are complete and accurate	Records and privacy	CTL-16, CTL-17
Every act can be traced	Records and privacy	CTL-18
Investors’ data stays private, and within your perimeter	Records and privacy	CTL-15, CTL-19
The venue’s own operation is resilient, secure and overseen	Shared responsibility	Shared: the venue’s own processes, the vendor

Each row’s evidence and test are in the control matrix, also as a CSV for your own test plan. A shared row is another party’s responsibility, which the matrix does not test. Related: Compliance overview · Evidence and testing · FAQ

The story

Control families

For auditors

Mapping to your regulation