Registration Documents
Treasury OpsOperationsRisk Management
Use these standardized templates to register custodial accounts, track access changes, document security configurations, and perform quarterly reviews.
See also: Classification Framework and Enhanced Controls for High-Risk Accounts
Registration Template
Use this template when initially documenting a custodial account.
CUSTODIAL ACCOUNT REGISTRATION
Account Name: [Descriptive name]
Custodian: [Provider name and legal entity]
Account ID: [Custodian reference number]
Network(s): [Bitcoin, Ethereum, etc.]
Registration Date: YYYY-MM-DD
Registered By: [Name]
CLASSIFICATION
Impact Level: [Low / Medium / High / Critical]
Operational Type: [Cold Vault / Warm Storage / Active Operations / Time-Critical]
Justification:
- Financial exposure: $XXX,XXX,XXX
- Operational dependency: [Description]
- Recovery time objective: [X hours/days]
ASSETS CONTROLLED
Asset | Network | Value | Purpose
--------|----------|-----------|------------------------------
BTC | Bitcoin | $XXX,XXX | [Reserve/Trading/Operations]
ETH | Ethereum | $XXX,XXX | [Reserve/Trading/Operations]
USDC | Ethereum | $XXX,XXX | [Reserve/Trading/Operations]
CUSTODY MODEL
Type: [Qualified Custodian / Co-managed / MPC Platform]
Key Management: [MPC 3-of-5 / Multi-sig 2-of-3 / HSM]
Key Control: [Custodian only / Co-managed / Client-controlled]
Recovery Capability: [Yes - describe / No]
INITIAL ACCESS SETUP
Primary Administrator: [Name, added YYYY-MM-DD]
Initial Approvers: [Names, added YYYY-MM-DD]
Note: Complete access details documented in Access Change Template
Note: Security configuration documented in Security Configuration Template
ATTESTATION
This account [meets / deviates from] security standards for its classification.
[If deviation: Explain gap and compensating controls]
CONTACTS
Security Owner: [Name, email, phone]
Backup Contact: [Name, email, phone]
Custodian Support: [Name, email, phone]
Last Updated: YYYY-MM-DD
Updated By: [Name]Access Change Template
Use this template when modifying user access to a custodial account.
CUSTODIAL ACCOUNT ACCESS CHANGE
Account Name: [Name]
Custodian: [Provider]
Account ID: [Reference]
Change Date: YYYY-MM-DD
Changed By: [Name]
ACCESS MODIFICATIONS
Additions:
Name/Role | Access Level | MFA Method | Justification
----------|--------------|----------------|------------------------------
[Name] | [Approver] | [Hardware key] | [Reason for addition]
Removals:
Name/Role | Access Level | Removal Reason
----------|--------------|-------------------------------
[Name] | [Approver] | [Personnel change / Security / Other]
Permission Changes:
Name/Role | Old Level | New Level | Justification
----------|-----------|-----------|---------------------------
[Name] | [Initiator] | [Approver] | [Reason for elevation]
CURRENT ACCESS LIST (after changes)
Name/Role | Level | MFA Method | Device ID
----------|-----------|---------------|---------
[Name] | Admin | Hardware key | [ID]
[Name] | Approver | Hardware key | [ID]
[Name] | Approver | Hardware key | [ID]
[Name] | Initiator | TOTP | [ID]
VERIFICATION
[ ] All removed users confirmed deactivated in custodian platform
[ ] All new users completed MFA setup
[ ] Access permissions tested and verified
[ ] Emergency contacts updated
[ ] Documentation updated in [location]
APPROVALS
Requested By: _________________ Date: _______
Approved By: _________________ Date: _______
Security Review: _________________ Date: _______
Change Ticket: [Reference number if applicable]Security Configuration Template
Use this template to document detailed security settings. Complete this after initial account registration.
CUSTODIAL ACCOUNT SECURITY CONFIGURATION
Account: [Name]
Custodian: [Provider]
Last Configuration Update: YYYY-MM-DD
Configured By: [Name]
AUTHENTICATION SETTINGS
Multi-Factor Authentication:
Role | Primary Method | Backup Method | Enrollment Status
Administrator | Hardware key + biometric | Hardware key + PIN | [Active]
Approver | Hardware key | TOTP + SMS | [Active]
Initiator | Hardware key or TOTP | SMS | [Active]
Viewer | TOTP | SMS | [Active]
Session Controls:
- Timeout: [X minutes]
- Re-auth required for: [High-value transactions, policy changes, user management]
- Concurrent sessions: [Allowed/Blocked]
ACCESS CONTROL
Current User List:
Name/Role | Level | MFA Method | Device ID | Added Date
----------|----------|--------------|----------|------------
[Name] | Admin | Hardware key | [ID] | YYYY-MM-DD
[Name] | Approver | Hardware key | [ID] | YYYY-MM-DD
[Name] | Approver | Hardware key | [ID] | YYYY-MM-DD
Note: Track all access changes using Access Change Template
Approval Thresholds:
Transaction Value (% of Total Assets) | Required Approvers | Time Delay | Additional Requirements
<0.1% | 1 | None | MFA
0.1% - 1% | 3 | 4 hours | MFA
1% - 10% | 4 | 24 hours | Multi-channel confirmation, test transaction
10% - 25% | 5 | 24 hours | Multi-channel confirmation, test transaction
>25% | 7 | 48 hours | Multi-channel confirmation, test transaction
Separation of Duties:
[ ] Initiators cannot approve own transactions
[ ] Admins cannot unilaterally execute withdrawals
[ ] Minimum [X] unique approvers required
NETWORK RESTRICTIONS
IP Whitelist:
XXX.XXX.XXX.XXX - [Office Location]
XXX.XXX.XXX.XXX - [VPN Range]
XXX.XXX.XXX.XXX - [Backup Location]
Change Approval: [24 hour delay / XX approvers required]
Emergency Override: [Process description]
VPN Requirement: [Mandatory / Optional]
Geographic Restrictions: [Blocked countries/regions]
Device Fingerprinting: [Enabled / Disabled]
TRANSACTION POLICIES
Address Whitelisting:
Status: [Enabled / Disabled]
Current Addresses: [XX addresses]
Addition Process: [XX approvers, YY hour delay]
Review Schedule: [Monthly / Quarterly]
Transaction Limits:
Limit Type | Amount | Override Process
------------------|----------|-----------------
Single Transaction | $XXX,XXX | [Authorization required]
Hourly Aggregate | $XXX,XXX | [Authorization required]
Daily Aggregate | $XXX,XXX | [Authorization required]
Weekly Aggregate | $XXX,XXX | [Authorization required]
Monthly Aggregate | $XXX,XXX | [Authorization required]
Time-Lock Settings:
Change Type | Delay Period
-------------------------------------|-------------
New address addition | XX hours
Policy modification | XX hours
High-value transaction (>$XXX,XXX) | XX hours
MONITORING & ALERTS
Real-Time Alerts:
Type | Enabled
---------------------------|--------
All outgoing transactions | [ ]
New device login | [ ]
Failed authentication attempts (>X) | [ ]
Policy violations | [ ]
Large transactions (>$XXX,XXX) | [ ]
Unusual access times | [ ]
New geographic location | [ ]
Alert Routing:
Severity | Contact | Method | Response Time
---------|------------------|-------------|--------------
Critical | [Name, phone] | SMS + Call | <15 min
High | [Name, phone] | SMS + Email | <1 hour
Medium | [Name, email] | Email | <4 hours
VERIFICATION
[ ] All settings tested and operational
[ ] Alert routing verified
[ ] User access confirmed
[ ] Documentation stored in [location]
Configured By: _________________ Date: _______
Reviewed By: _________________ Date: _______
Approved By: _________________ Date: _______Quarterly Review Template
Use this template for regular security reviews of custodial accounts.
CUSTODIAL ACCOUNT QUARTERLY REVIEW
Account: [Name]
Custodian: [Provider]
Review Period: [Q1/Q2/Q3/Q4 YYYY]
Review Date: YYYY-MM-DD
Reviewed By: [Name]
ACCESS AUDIT
Current Users:
Name/Role | Level | Last Login | MFA Status | Action Required
[Name] | Admin | YYYY-MM-DD | Active | None
[Name] | Approver | YYYY-MM-DD | Active | None
[Name] | Approver | Never logged in | Inactive | Remove access
Access Changes This Quarter: [X additions, Y removals, Z modifications]
Findings:
[ ] All users still require current access level
[ ] No dormant accounts (>90 days inactive)
[ ] MFA functioning for all users
[ ] No unauthorized access detected
Actions Required:
- [List any access to be removed/modified]
- [List any policy updates needed]
TRANSACTION REVIEW
Transaction Volume:
- Total transactions: [X]
- Average per month: [Y]
- Largest transaction: $XXX,XXX
- Total outflow: $XXX,XXX
Pattern Analysis:
[ ] Transactions within expected parameters
[ ] No unusual transaction patterns detected
[ ] All large transactions properly authorized
[ ] Test transactions performed correctly
Anomalies Detected:
- [List any unusual activity or violations]
SECURITY CONFIGURATION
Whitelist Review:
- Current addresses: [X]
- Addresses added this quarter: [Y]
- Addresses to remove: [Z]
- Review complete: [Yes/No]
Spending Limits:
Current | Actual Usage | Status
Single: $XXX,XXX | Max: $XXX,XXX | [Appropriate / Adjust]
Daily: $XXX,XXX | Avg: $XXX,XXX | [Appropriate / Adjust]
Monthly: $XXX,XXX | Avg: $XXX,XXX | [Appropriate / Adjust]
Findings:
[ ] Limits appropriate for current usage
[ ] No limit breaches this quarter
[ ] IP whitelist current and accurate
[ ] Time-locks functioning properly
ALERT EFFECTIVENESS
Alerts This Quarter:
Type | Count | False Positive Rate
Critical | [X] | [Y%]
High | [X] | [Y%]
Medium | [X] | [Y%]
Response Times:
Severity | Target | Actual Average | Status
Critical | <15 min | [X min] | [Met/Missed]
High | <1 hour | [X min] | [Met/Missed]
Medium | <4 hours | [X hours] | [Met/Missed]
Findings:
[ ] Alert routing working correctly
[ ] Response times meeting SLAs
[ ] No missed critical alerts
Actions Required:
- [Adjust alert thresholds if needed]
- [Update contact information]
CUSTODIAN RELATIONSHIP
SOC Reports: [Current / Expired - date]
Security Incidents: [Any custodian-wide incidents this quarter]
Service Quality: [Any issues or concerns]
Communication: [Regular contact maintained]
RISK ASSESSMENT UPDATE
Classification Review:
Current: [Impact Level / Operational Type]
Still Appropriate: [Yes / No]
If No, Recommended Change:
New Classification: [Level / Type]
Justification: [Explain change in risk profile]
Asset Value Change: [% increase/decrease]
Operational Change: [Any significant changes in usage]
RECOMMENDATIONS
Security Improvements:
1. [Recommendation]
2. [Recommendation]
3. [Recommendation]
Operational Improvements:
1. [Recommendation]
2. [Recommendation]
ATTESTATION
This account [continues to meet / deviates from] security standards.
[If deviation: Describe and provide remediation plan]
APPROVALS
Reviewer: _________________ Date: _______
Security Officer: _________________ Date: _______
Treasury Lead: _________________ Date: _______
Next Review Due: YYYY-MM-DD