The Custody Rule for Financial Firms

This training program explains ‘The Custody Rule’. The instructor will help you determine if your firm has custody, compliance surrounding maintaining custody and regulatory deficiencies.

There have been significant deficiencies over the years since The Custody Rule was amended. It is imperative for Advisers to understand the rule and how to effectively manage and oversee the policies and procedures surrounding it in order to properly secure their clients’ assets and to avoid significant regulatory enforcement and penalties. We will analyse best practices for the financial services industry to take in regards to the regulatory or “The Custody Rule”.

In this webinar, we will explain the rule and the potential effect it may have on your firm and clients.

Areas Covered in the Session :

  • ‘The Custody Rule’ explained
  • Rule 206(4)-2
  • Determining if your firm has custody
  • Frequently asked questions
  • We have custody, now what?
  • Compliance surrounding maintaining custody
  • Custody fees
  • Client communication
  • Surprise exam requirements
  • Regulatory deficiencies
  • Compliance testing surrounding custody, whether you have it or not
  • Internal forensic testing
  • External forensic testing
Who Should Attend:

  • Auditors
  • Compliance Personnel
  • Risk Managers
  • Operations Managers
  • Chief Operating Officers
  • Attorneys
  • Investment Management/Portfolio Managers
  • Client Service Managers
  • Accountants
  • Chief Operating Officers
  • Chief Executive Officers
  • Financial Planners
  • CPA Firms


Lisa M. Marsden

Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services. Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.

Ms. Marsden leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale’s annual conference, conducted training sessions on the financial regulations regarding cyber security.

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  • Login Information with Password to join the session, 24 hours prior to the webinar
  • Presentation Handout in .pdf format
  • Presentation from the Speaker
  • Feedback form
  • Certificate of Attendance
  • Recording access Information with Password to view the webinar, will be sent 24 hours after the completion of the Live webinar.
  • Presentation Handout in .pdf format
  • Certificate of Attendance