Surprise Examination Requirement Under the Custody Rule

March 07, 2018 - 11:00 am
Investment Adviser

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.

Discussion Topics:

  • 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.