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SEC Custody Rule: How Does the New Guidance Impact My Firm?

Session Speakers
Session Description

Why Attend
Find out how standing authority to move money has custody implications for advisors following the latest SEC Custody Rule guidance. 

Session Details
Are you taking custody when you move money for your clients? In light of the SEC’s recent Custody Rule guidance, Schwab has made a number of changes and introduced resources to help you understand the new guidance and how to take action. Discover how to select the right course of action for your clients and your firm in a session that will help you:

  • Understand the new guidance in detail
  • Learn how first- and third-party money movements may trigger custody
  • Determine the actions to take when reviewing and updating your firm’s processes
  • Keep abreast of changes and improvements Schwab is making to stay current with the SEC’s guidance

Additional Information
CPE-1 hr
Technology Education Session
1h
Sponsored By


Booth: 631-17
Session Schedule