Rule 206(4)-2, The `Custody Rule` 2016

Topics

• Notices to clients detailing how their assets are being held
• Use of "qualified custodians" to hold client assets
• Annual surprise exams
• Account statements for clients detailing their holdings
• Additional protections when a related qualified custodian is used

Who should Attend

Attendees from:

• Compliance Personnel
• Audit
• Operations Managers
• Risk Managers
• Attorneys
• Chief Operating Officers
• Client Service Managers
• Investment Management/Portfolio Managers
• Chief Operating Officers
• Accountants
• Financial Planners
• Chief Executive Officers
• CPA Firms