Melissa Roverts is a senior counsel in the SEC’s Office of Investment Adviser Regulation within the Division of Investment Management. Her responsibilities include the agency’s new custody rule, its recent pay-to-play proposal and other general rulemaking and interpretations affecting RIAs. She previously worked as an associate in the Investment Management Group of the Washington, D.C., office of K&L Gates and as a law clerk in the Office of Hearing Officers at NASD (now FINRA).
Aimee Toth is chief compliance officer and general counsel for Allegheny Investments, a dually registered broker-dealer and investment adviser, and Allegheny Financial Group, a federally registered investment adviser. Both are based in Pittsburgh. She formerly was enforcement counsel for the Pennsylvania Securities Commission.
Robert Van Grover is partner in Seward & Kissel’s investment management group in New York. He specializes in the formation of private funds, investment advisers, broker-dealers, commodity pool operators and commodity trading advisers. He advises clients on regulatory and compliance matters, among other topics, including mergers-acquisitions, confidentiality agreements, and soft dollar and other brokerage arrangements.
Richard Brackett is president of High Desert Advisors in Albuquerque, N.M., an RIA he founded in 2003. The firm specializes in providing investment advice and guidance for individuals and institutions having liquid asset investment portfolios. He helps clients create investment goals, provides allocation of assets, and manages their portfolios. He has worked at the Chicago Board of Trade, Conti Commodity Inc. and Bear Stearns & Co and served as a financial advisor with UBS Paine Webber and Prudential Securities.
Janaya Moscony is president of SEC Compliance Consultants in Philadelphia. She formerly worked as a staff accountant for the Philadelphia regional office of the SEC, where she worked on routine and cause examinations as well as enforcement cases on behalf of a broad-range of financial entities. She also has worked with the Bank of Hawaii and BISYS Professional Services. Her firm advises financial institutions on how best to effectively manage the regulatory environment with a focus on balancing business needs with regulatory requirements.
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This webinar was originally recorded January 12, 2010, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.
Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.
- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
The SEC is poised to release its final custody rule, which carries the potential to dramatically change how firms function. Our first webinar of 2010 gives you a chance to hear red-hot analysis of how the rule would affect your firm.
The regulation will mark the first formal rule adopted by the SEC targeting investment advisory firms since the Madoff scandal.
The proposed rule has drawn fire and controversy, especially over its call that firms that deduct client fees would be considered to have custody – and be subject to “surprise” audits.
IA Watch has assembled a panel of five experts, including the SEC’s Melissa Roverts, for this emergency webinar. The panel will describe the rule, analyze its import to advisers and suggest action steps you can take to comply.
Purchase the CD of the January 12th webinar, Guidance to Comply with the SEC’s Final Custody Rule and discover:
- A “surprise exam” for investment advisers, and how “surprise” is defined.
- What clients would have to be told about verifying their assets.
- New requirements for amending Form ADV to list firm auditors – and new responsibilities for auditors to alert the SEC of possible improprieties.
- Which type of custody would warrant a review by a registered accountant, and the parameters of these even tougher inspections.
- What advisers can do if they wish to avoid the required surprise exams.
- Compliance rules for when your firm uses an affiliated qualified custodian.
- What advisers can expect from an inspection resulting in a SAS-70 report.
- And much more.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Guidance to Comply with the SEC’s Final Custody Rule for $195 [TA1910CD].
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