This training program explains ‘The Custody Rule’. The instructor will help you determine if your firm has custody, compliance surrounding maintaining custody and regulatory deficiencies.
In this webinar, we will explain the rule and the potential effect it may have on your firm and clients.
Why Should You Attend:
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 analyse best practices for the financial services industry to take in regards to the regulatory or “The Custody Rule”.In this webinar, we will explain the rule and the potential effect it may have on your firm and clients.
Learning Objectives:
- ‘The Custody Rule’ explained
- Determining if your firm has custody
- Compliance surrounding maintaining custody
- Surprise exam requirements
- Regulatory deficiencies
- Compliance testing surrounding custody, whether you have it or not.
Areas Covered in the Webinar:
- Rule 206(4)-2
- Custody defined
- Frequently asked questions
- We have custody, now what?
- Custody fees
- Client communication
- Internal forensic testing
- External forensic testing
Who Will Benefit:
- Audit
- Compliance Personnel
- Risk Managers
- Operations Managers
- Chief Operating Officers
- Attorneys
- Investment Management/Portfolio Managers
- Client Service Managers
- Accountants
- Chief Operating Officers
- Chief Executive Officers
- Financial Planners
- CPA Firms
Course Provider
Lisa Marsden,
