Understanding the New SEC Guidance on the Custody Rule: SLOAs, First-Person Transfers, and Inadvertent Custody 2017

  • 29 Jun 2017
  • Webinar

Description

Understanding the New SEC Guidance on the Custody Rule: SLOAs, First-Person Transfers, and Inadvertent Custody 2017 is a webinar that covers topics such as:

  • Custody Defined
  • Rule 206(4)-2
  • We have Custody, Now What?
  • Frequently Asked Questions
  • Client Communication
  • Custody Fees
  • External Forensic Testing
  • Internal Forensic Testing

Understanding the New SEC Guidance on the Custody Rule: SLOAs, First-Person Transfers, and Inadvertent Custody 2017 is intended for:

  • Investment Advisory Firms
  • Financial Planning
  • Investment Managers
  • Financial Services
  • Accountants
  • Portfolio Managers
  • Auditors
  • Certified Public Accounts
  • Compliance Consultants

Past Events

Important

Please, check "Understanding the New SEC Guidance on the Custody Rule: SLOAs, -Person Transfers, and Inadvertent Custody" official website for possible changes, before making any traveling arrangements

Event Categories

Business: Finance, Internal Audit & Compliance, Management
Services: Banking, Insurance
Technology: Acoustics, Information Technology (IT)

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