Invite Your Entire Staff to Tune in:
  • Chief Compliance Officers
  • Compliance Managers
  • General Counsel
  • Senior Managers

One registration & a speaker phone is all you need!


Panel of Experts:

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).

Barry Greenberg is a partner with Akin Gump in Dallas, where he advises private and offshore funds, mutual funds and investment advisers. Mr. Greenberg’s experience includes guidance regarding the formation and operation of both U.S. and offshore investment funds, state and federal investment adviser registration, fund and adviser regulatory compliance issues and internal investigations. Prior to joining Akin Gump, Mr. Greenberg served as vice president, legal, compliance and administration of American Beacon Advisors, Inc., a registered investment adviser and mutual fund sponsor. Mr. Greenberg began his legal career in the Fort Worth district office of the Securities and Exchange Commission.

Bibb Strench is an attorney with Seward & Kissel in Washington, D.C. Mr. Strench’s practice focuses on exchange-traded funds, investment advisers, mutual funds and SMA sponsors. He provides advice on regulatory, compliance, entity formation, auditor independence, corporate governance and other issues related to the operation of the aforementioned businesses. Mr. Strench began his career as a staff attorney in the Division of Investment Management of the  Securities and Exchange Commission, where he was principally responsible for granting exemptive orders and responding to no-action and interpretive requests under the Investment Company Act and Investment Advisers Act.

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.

About the Webinar:

This webinar was originally recorded April 20, 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.

100% Money-Back Guarantee:

If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!

Sponsor

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.

Now that the custody rule is in place, it’s time to act. Yet many questions remain. That’s why we’ve assembled an expert panel to give you practical advice to comply with the new rule, plus answer your outstanding questions about the SEC’s custody rule revisions.

Take this opportunity to ensure you’re reacting properly to the new rule, plus getting the latest answers on this complex new rule.

Purchase the CD of the April 20th webinar, Answers and Advice to Satisfy the SEC’s New Custody Rule and discover:

  • Ways to revise or end your trustee relationships to stay within the bounds of the rule.
  • Advice on how to draft the “legend” that must be included with account statements.
  • Suggestions for finding PCAOB-verified accountants – and when you can select a non-PCAOB accountant.
  • Pointers for how to structure the relationship with the auditor so your firm gets a head’s up to potential problems.
  • Timeframes for compliance, especially for the surprise exam and internal control report.
  • What advisers to pooled vehicles need to know to comply.
  • Answers to your most challenging questions around the rule.
  • And much more.

YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Answers and Advice to Satisfy the SEC’s New Custody Rule for $195 [TA1961CD].


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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.

© 2010 IA Watch