Custody Toolkit

$550.00

The complexity of the SEC’s Custody Rule is not to be underestimated. Custody issues remain among the most common deficiencies cited during SEC exams, and even firms with strong compliance programs have had challenges interpreting and applying the different rule elements, No-Action letters, FAQs and Investment Management Guidance Updates. Based on our experience in the field, CSS has created a unique offering to help you better understand the Custody Rule and how it applies to your business – the CSS Custody Toolkit.

Our Custody Toolkit will help you understand and document compliance with the key elements of the Custody Rule; identify accounts over which your firm has custody; identify available exceptions to certain requirements of the Rule based on industry guidance; manage a list of accounts to provide to an accountant for a surprise examination; and evidence your analysis for determining the information in Item 9 of your Form ADV Annual Updating.

The Toolkit includes:

  • A robust, interactive Custody Questionnaire
  • A Form ADV Worksheet template
  • Aggregated library with links and references to underlying regulatory material
  • And more

NOTE: Certain CSS clients will automatically receive the Custody Toolkit free of charge. If your firm has an ACM subscription, or has an existing annual consulting contract that includes an ACM subscription, please see your Alerts Module for access to the Toolkit. For existing consulting clients with contracts for annual, ongoing services who do not have ACM access, please contact your client services representative to discuss your options for adding the Custody Toolkit.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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