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There 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. Key Learning Objectives - Rule 206(4)-2 - Custody Defined - Frequently Asked Questions - We have Custody, Now What? - Custody Fees - Client Communication - Internal Forensic Testing - External Forensic Testing http://cl.exct.net/?qs=e865a40ba158627391f0ac13b402ad1b12b334e7301cbb26f743e23b8652badb75122b1baa448565270f36479dfc2a63 View More http://cl.exct.net/?qs=e865a40ba1586273ec1daa2dc5ee7e8449290d77be1498d8e175af6480dab1a02c22ed1b7b29145d05c6e51838ea74cb http://cl.exct.net/?qs=e865a40ba158627391f0ac13b402ad1b12b334e7301cbb26f743e23b8652badb75122b1baa448565270f36479dfc2a63 YES I am Attending http://cl.exct.net/?qs=e865a40ba1586273dba7a976fa3016a5eb09feea1a767ee927d602500e3bfcc74c656431909c3b60158537566d8fec79 NO I Want a Different Course http://cl.exct.net/?qs=e865a40ba1586273cbe6cc998dba68397fd832a354c6daff2b5f891693072bbb4a595a24267f9a6be38be6a24c5e56ca Lisa M. Marsden & Stacey Rodgers Lisa has been in the financial services industry for over 25 years. She has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations. Stacey focuses on audit and tax matters exclusively for the investment industry. http://cl.exct.net/?qs=e865a40ba1586273cbe6cc998dba68397fd832a354c6daff2b5f891693072bbb4a595a24267f9a6be38be6a24c5e56ca View More Workshop http://cl.exct.net/?qs=e865a40ba158627362e7660905f1eadaf2bff1115428747b2f2612c2a3b82f791987f1759c57306b822a25079e9c8af5 Quality Management Systems that Comply with ISO13485:2016 http://cl.exct.net/?qs=e865a40ba15862730aadd5157ba0a5ed3ae2538d588bba7ecb4022507b6333b9f72923f87222edd29543d650684dd7d2 View More http://cl.exct.net/?qs=e865a40ba15862733a54a64077c1ab117c1e004b757aaf15080f9415467be329fd58bba564795fdced06fea09918af6b NEW! 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Understanding the New SEC Guidance on the Custody Rule: SLOAs, First-Person Transfers, and Inadvertent Custody
LIVE WEBINAR
Date: Thursday, 29 June 2017
Time: 10:00 AM PDT | 01:00 PM EDT
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Call 510-857-5896
38780 Tyson Lane Suite 210 Fremont, CA-94536
Get upto 10% off if you register today!
Call 510-857-5896 to know more.
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. There 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.

Key Learning Objectives
  • Rule 206(4)-2
  • Custody Defined
  • Frequently Asked Questions
  • We have Custody, Now What?
  • Custody Fees
  • Client Communication
  • Internal Forensic Testing
  • External Forensic Testing
instructorLisa M. Marsden & Stacey Rodgers
Lisa has been in the financial services industry for over 25 years. She has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations. Stacey focuses on audit and tax matters exclusively for the investment industry.
View More
Workshop 
Quality Management Systems that Comply with ISO13485:2016  
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NEW! SOP Library
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