World Conference Calendar

34376 Conferences

Effective Management and Oversight of the Custody Rule for Financial Firms

Added by Training Doyens on 2017-12-03

Conference Dates:

Start Date Start Date: 2018-01-09
Last Date Last Day: 2018-01-09
Deadline for abstracts/proposals Deadline for abstracts/proposals: 2018-01-09

Conference Contact Info:

Contact Person Contact Person: Training Doyens
Email Email:
Address Address: 26468 E Walker Dr, Aurora, CO, 80016, United States
Phone Tel: 7209961616
Phone Fax: 7209961616

Conference Description:

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.
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.

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.

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

Development, Maintenance and testing of the IPS process.
This webinar will benefit the Portfolio Managers, Traders, Client Service Managers, Operations staff and the Compliance Professionals

For more detail please click on this below link:

Toll Free: +1-888-300-8494
Tel: +1-720-996-1616
Fax: +1-888-909-1882
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