Ensure you comply with the SEC’s Final Amended Custody Rule
A practical analysis of the latest revisions and what they mean to your firm
March 17th, 2010
1:30 P.M. ET
Length: 60 minutes
The latest revisions to the SEC’s custody rule have far-reaching implications for RIAs, including those that advise hedge funds. This 60-minute webinar focuses on those issues of most import to your firm and offers insight and advice on steps you should take to ensure you comply. Even if your firm only deducts client fees, understand the implications for you and whether you should still consider adopting new internal compliance procedures. Hear how other firms are responding to the new rule as our presenters cover these key issues:
- What does the rule say now?
- Implications for investment advisers, hedge funds and managed accounts
- What wasn’t adopted and what does that mean?
- Do you need to conduct a surprise exam?
- Are there methods to avoid the need for a surprise exam?
- Private investments and bank debt: What you need to know
- Will trading subsidiaries require their own independent audit?
Don’t miss this targeted webinar presentation – Attendees will walk away with a thorough understanding of the latest revisions, plus smart steps you should take to implement internal compliance criteria in your own firm.
Presenters:
Daniel Altman, Associate,
Schulte Roth & Zabel LLP
Steven M. Felsenthal, General Counsel and Chief Compliance Officer,
Millburn Ridgefield Corporation
Simon Raykher, General Counsel and Principal,
Satellite Asset Management, L.P.
Register Today!
Individual Registration - $195
*Group Registration Options - $1,995
Access for 45 or fewer attendees from the same company. For group registrations of 45 or more, please contact Kathie Eberhard at 704-341-2439 or keberhard@frallc.com.
*Please note when registering delegates under Group Registrations you must submit an advance list of attendees from your organization including email address and name.
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