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
For more information, please visit : https://www.atozcompliance.com/trainings-webinar/banking-financial-services/financial-trading/the-custody-rule-for-financial-firms/lisa-m-marsden-stacey-rodgers/300149
Email: support@atozcompliance.com
Toll Free: +1- 844-414-1400
Tel: +1-516-900-5509
Level:
Intermediate
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.
Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation (IACCP®). Ms. Marsden also holds the Claritas ® Investment Certificate, issued through the CFA Institute.
She has held positions in the Banking Trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management. Ms. Marsden currently serves on the Board of the Financial Planners Association of Greater Fort Lauderdale.
