Does your SEC registered investment adviser or its affiliate serve as an introducing broker-dealer or qualified custodian for investment advisory accounts? If so, are you aware of the new internal control report requirements of the U.S. Securities and Exchange Commission (“SEC”)?
Our webinar, Impact of New Custody Rule on an RIA Operating a B-D, Qualified Custodian or Private Investment Fund, recorded on March 25, 2010, is a must for investment advisers using affiliated qualified custodians and affiliated introducing broker/dealers. Jarrod James and Tammy Emsick discuss custody rule guidance issued in March 2010 by the staff of the SEC’s Division of Investment Management. Our presenters give SEC registered investment advisers with introducing broker-dealers specific examples of how to avoid being deemed by the SEC as having custody under the new rule. Finally, specific attention is given to requirements affecting investment advisers that own or operate pooled investment vehicles such as hedge funds, private real estate deals and other private placement securities.
Take this opportunity to understand the implications of the SEC’s new custody rule as relates to the activities of your affiliated introducing broker-dealer, qualified custodian and pooled investment vehicle. You can purchase your seat to this recorded webinar by clicking here.