Effective Management and Oversight of the Custody Rule for Financial Firms

OVERVIEW

Have been significant deficiencies over the years since The Custody Rule was amended. It is imperative for Advisers to understand the rule and how to effectively manage and oversee the policies and procedures surrounding it in order to properly secure their clients’ assets and to avoid significant regulatory enforcement and penalties. We will analyze best practices for the financial services industry to take in regards to the regulatory or “The Custody Rule”. We will explain the rule and the potential effect it may have on your firm and clients.

SEC-registered investment advisers who have custody of their clients’ funds or are deemed to have custody of their clients’ assets under the rule must safeguard those assets as required by the SEC’s “custody rule. The custody rule is designed to provide additional safeguards for investors against the possibility of theft or misappropriation by investment advisers who are registered with the SEC.

WHY SHOULD YOU ATTEND

Stay informed on the recent Custody rule issues to keep your firm out of the regulators spotlight. Learn what to do when you have Custody and how to effectively manage the compliance requirements.

AREAS COVERED

• Rule 206(4)-2
• Custody Defined
• Frequently Asked Questions
• We have Custody, Now What?
• Custody Fees
• Client Communication
• Internal Forensic Testing
• External Forensic Testing

LEARNING OBJECTIVES

Development, Maintenance and testing of the IPS process.

WHO WILL BENEFIT

This webinar will benefit the Portfolio Managers, Traders, Client Service Managers, Operations staff and the Compliance Professionals

Email: [email protected]

Toll Free: +1-888-300-8494

Tel: +1-720-996-1616

Fax: +1-888-909-1882

Others Details

In this webinar will analyze best practices for the financial services industry to take in regards to the regulatory or SEC Custody Rule. Book now!