4e. IA – Evolving Custody Responsibilities (Intermediate)

This session will focus on the new interpretations of the custody rule and how these apply to various situations within firms and across major custodians.  The speakers will discuss applicability and strategies for analysis, disclosure obligations, what they’ve learned, and what they would do differently.  The session will include case studies or scenarios that discuss various applications of the custody rule.

Learning Objectives:

  • Hear what firms are doing to comply with the SEC’s evolving custody rule interpretation and prospects for additional SEC action following its 2019 request for comment
  • Discuss the latest developments on inadvertent custody and how to best handle these situations
  • Consider the scope of the authorized trading exception to the Custody Rule
  • Dialogue about standing letters of authorization and first-person transfers


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 3:45 pm - 5:00 pm Amber Allen William Nelson

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org