Webinar on Effective Management and Oversight of the Custody Rule for Financial Firms

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Category Custody Rules for Financial Analysis, Advanced Financial Firms

Deadline: January 09, 2018 | Date: January 09, 2018

Venue/Country: Colorado, U.S.A

Updated: 2017-12-12 20:51:10 (GMT+9)

Call For Papers - CFP

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.

WHY SHOULD YOU ATTEND

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.

AREAS COVERED

Rule 206(4)-2

Custody Defined

Frequently Asked Questions

We have Custody, Now What?

Custody Fees

Client Communication

Internal Forensic Testing

External Forensic Testing

LEARNING OBJECTIVES

Development, Maintenance and testing of the IPS process.

WHO WILL BENEFIT

This webinar will benefit the Portfolio Managers, Traders, Client Service Managers, Operations staff and the Compliance Professionals

SPEAKER

Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services and customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Florida. Ms. Marsden has a degree in computer programming from Keiser University and holds the Investment Advisor Certified Compliance Professional Designation, and she is a CFA Investment Foundations Certificate Holder. Ms. Marsden is the 2017 President of the Financial Planners Association of South Florida.

For more details click on this link

http://bit.ly/2nQCSJr

Email: supporttrainingdoyens.com

Toll Free:+1-888-300-8494

Tel: +1-720-996-1616

Fax: +1-888-909-1882

PRICE :$199