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EVENT DATE
Oct 2016
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Effective Management and Oversight of the Custody Rule for Financial Firms - By AtoZ Compliance

Overview

Key Take Away:

This webinar will analyze best practices for the financial services industry to take in regards to the regulatory or “The Custody Rule” and explain the rule and the potential effect it may have on your firm and clients.

Overview:

There have been significant deficiencies over the years since the SEC’s Custody Rule was amended. Investment advisers should understand the rule and how to effectively manage and oversee the policies and procedures surrounding it in order to properly secure their clients’ assets with financial regulation compliance and to avoid significant regulatory deficiencies and penalties. A firm can have custody and not be aware that they do, if they have not properly tested their procedures to the detail of the full custody rule.

Why Should You Attend:

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.

Areas Covered In This Webinar:

• Custody Fees

• Client Communication

• Internal Forensic Testing

• External Forensic Testing

Learning Objectives:

• Rule 206(4)-2

• Custody Defined

• We have Custody, Now What?

Who Will Benefit:

• Audit

• Compliance Personnel

• Risk Managers

• Operations Managers

• Chief Operating Officers

• Chief Executive Officers

• Attorneys

• Investment Management/Portfolio Managers

• Client Service Managers

• Accountants

• Financial Planners

• CPA Firms

Speakers Profile:

Lisa M Marsden & Stacey Rodgers

Lisa M Marsden, IACCP ® is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services.

Prior to that, Ms. Marsden was in the C-Suite as a CTO, COO and CCO for Registered investment advisors in Florida.

Stacey Rodgers, CPA | Audit Manager

Cohen Fund Audit Services

Since joining the firm in 2007, Stacey has specialized in private company attest services and now exclusively focuses on the investment company industry, focusing on hedge funds and investment advisor audits. She is well-versed in accounting and financial reporting issues related to investment advisors and her clients look to her as an advisor on issues affecting their businesses.

For more detail please click on this below link:

http://bit.ly/2ca0rXv

Email: referrals@atozcompliance.com
Toll Free: +1- 844-414-1400
Tel: +1-516-900-5509

Fax: +1-516-300-1584

Notes:
Sponsorship Details:
AtoZ Compliance

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