Online Safety Community

Effective Management and Oversight of the Custody Rule for Financial Firms

Event Details

Effective Management and Oversight of the Custody Rule for Financial Firms

Time: January 9, 2018 from 1pm to 2pm
Location: 26468 E Walker Dr, Aurora, Colorado 80016-6104
Street: 26468 E Walker Dr, Aurora, Colorado 80016-6104
City/Town: Aurora
Website or Map: https://goo.gl/S4DYb1
Phone: 7209961616
Event Type: online, webinar
Organized By: Training Doyens
Latest Activity: Dec 4, 2017

Export to Outlook or iCal (.ics)

Event Description

OVERVIEW

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

 

For more detail please click on this below link:

https://goo.gl/S4DYb1

 

Email: support@trainingdoyens.com

Toll Free: +1-888-300-8494

Tel: +1-720-996-1616

Fax: +1-888-909-1882

Comment Wall

Comment

RSVP for Effective Management and Oversight of the Custody Rule for Financial Firms to add comments!

Join Online Safety Community

Attending (1)

Take our poll!

Take our poll!

Latest Activity

Jam Blanco posted a blog post

Making Temporary Construction Fencing Panels

Fencing at construction sites is necessary since it keeps both workers and the general public safe from mishaps on site. If there aren’t any clear boundaries marking off a zone, anyone can wander in and get seriously hurt. With the right precautions in place you can avoid costly lawsuits, fines, deaths and stress.…See More
13 hours ago
John Robinson posted events
17 hours ago
Training Doyens posted events
19 hours ago
swetha posted a blog post

Nebosh IGC Training course - Chennai

Nebosh course in Chennai can be obtained by the safety individual who is doing work, fresher or any engaged indiviuals. The Nebosh course period is 18 days. As we are offering both class room teaching as well as e-learning training with comprehensive of book resources. If you want to perceive a profession in Health and safety sector GWG will give you a best Nebosh training in Chennani.We are…See More
yesterday

Forum

Python Condition Objects Tutorial in 2018

If you have knowledge of other programming languages, then you would know the importance of conditional statements. Conditional statements are required for taking decisions. Whenever we operate the…Continue

Tags: course, certification, training, languages, programming

Started by Elena Lauren Apr 2.

Automation Anywhere. How do I pick a value from dropdown 1 Reply

Automation Anywhere. How do I pick a value from dropdown. I tried 'set text' from a copied variable. Its very slow, and also doesnt…Continue

Tags: anywhere, automation

Started by emmablisa. Last reply by venkatesh Mar 29.

Agile overcome common software security challenges

Paradoxically, security is a negative goal. To secure something, you must understand how insecure it is. Start by trying to break it or by figuring out how other people might break it. The same is…Continue

Tags: agile, scrum, security

Started by nicolewells Mar 23.

Understanding Data Parallelism in MapReduce

In order to understand the goals of MapReduce, it is important to realize for which scenarios MapReduce is optimized. The MapReduce programming model is created for processing data which requires…Continue

Tags: program, Implementation, Mapreduce

Started by gracylayla Mar 14.

TensorFlow serving vs TensorFlow service

I have a question regarding the difference between TensorFlow Serving versus TensorFlow service. (Sorry that I'm not familiar with this at all.)I found TensorFlow serving's definition, which is "…Continue

Tags: training, online, tensorflow

Started by emmablisa Feb 27.

Badge

Loading…

© 2018   Created by Safety Community.   Powered by

Badges  |  Report an Issue  |  Terms of Service