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Compliance Considerations in Custody

October 28, 2021
9:45 AM - 10:45 AM PDT
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Course Description:

Custody remains one of the most complex subjects for investment advisers. From brand-new start-ups to well established industry leaders, it seems that everyone still has questions about applying custody rules and guidance to their own situations. One thing is certain – you need procedures to ensure the question of custody is never addressed on an ad hoc basis. In this session we will explore the various ways in which a firm may have custody (including first- and third-party transfers) and discuss how firms have designed their procedures to address “accidental custody.”

Learning Objectives

After attending this session, attendees should be able to:

  • Pinpoint when and how you may be deemed to have custody
  • Address issues that have arisen since the SEC’s most recent guidance was adopted in 2017
  • Prevent and detect instances of “accidental custody”

This course is being taught as part of the Fall 2021 In-Person Compliance Conference. To learn more, visit our main conference webpage.

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For Whom: Designed to increase the professional competence of Investment Advisers.

Suggested Skill Level: Intermediate

Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE .

CA MCLE = 75 minutes
IACCP® = 75 minutes
CPE = 75 minutes