Effective Management and Oversight of the Custody Rule for Financial Firms Key Take Away This webinar will analyze best practices for the financial services industry to take in regards to the regulatory or “The Custody Rule” and explain the rule and the potential effect it may have on your firm and clients. Overview There have been significant deficiencies over the years since the SEC’s Custody Rule was amended. Investment advisers should understand the rule and how to effectively manage and oversee the policies and procedures surrounding it in order to properly secure their clients’ assets with financial regulation compliance and to avoid significant regulatory deficiencies and penalties. A firm can have custody and not be aware that they do, if they have not properly tested their procedures to the detail of the full custody rule. Why Should You Attend SEC-registered investment advisers who have custody of their clients’ funds or are deemed to have custody of their clients’ assets under the rule must safeguard those assets as required by the SEC’s custody rule. The custody rule is designed to provide additional safeguards for investors against the possibility of theft or misappropriation by investment advisers who are registered with the SEC. Areas Covered In This Webinar Custody Fees Client Communication Internal Forensic Testing External Forensic Testing Learning Objectives Rule 206(4)-2 Custody Defined We have Custody, Now What? Who Will Benefit Webinar Details Date : October 19 th Wednesday 2016 Time : 01:00PM ET / 10:00AM PT Duration: 60 Minutes Speaker : Lisa M Marsden & Stacey Rodgers., President & Founder of Coulter Strategic Services. REGISTER

Audit Compliance Personnel Risk Managers Operations Managers Chief Operating Officers Chief Executive Officers Attorneys Investment Management/Portfolio Managers Client Service Managers Accountants Financial Planners CPA Firms Speakers Profile Lisa M Marsden & Stacey Rodgers Lisa M Marsden, IACCP ® is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services. Prior to that, Ms. Marsden was in the C-Suite as a CTO, COO and CCO for Registered investment advisors in Florida. Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation (IACCP®). Ms. Marsden also holds the Claritas ® Investment Certificate, issued through the CFA Institute. She has held positions in the Banking Trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management. Ms. Marsden currently serves on the Board of the Financial Planners Association of Greater Fort Lauderdale. Stacey Rodgers, CPA | Audit Manager Cohen Fund Audit Services Since joining the firm in 2007, Stacey has specialized in private company attest services and now exclusively focuses on the investment company industry, focusing on hedge funds and investment advisor audits. She is we ll- versed in accounting and financial reporting issues related to investment advisors and her clients look to her as an advisor on issues affecting their businesses. Furthermore, Stacey is involved in our surprise custody examination team to make sure Advisors are in compliance with the amended custody rule. Stacey is actively involved with staff scheduling and development as well as recruiting efforts for the Firm. Stacey attended Hiram College where she received her Bachelor of Science in Accounting and Financial Management. Additionally, she attended Bowling Green State University for her Masters in Accountancy. She is a member of the Ohio Society of Certified Public Accountants (OSCPA) and the American Institute of Certified Public Accountants (AICPA). AtoZ Compliance, th Avenue, New Hyde Park, NY Toll Free: Tel: Fax: Our support team is available from 9:00AM - 5:00PM Eastern; Monday to Friday