Please join ACA Compliance Group's Brett Niehaus and Matthew Girandola, and Karen Kerby from Untracht Early LLC, on March 7, 2018, at 11 a.m. ET for a discussion on examination requirements under the custody rule.
- Summary of Rule 206(4)-2, the Custody Rule, and the implications for Separate Account Managers
- Recent SEC guidance regarding the Custody Rule – and what Separate Account Managers should know
- Summary of the Surprise Examination process
- Tips and advice to ensure a smooth exam and how to avoid pain points and pitfalls
Time will be reserved for participants to ask questions.