Are You Unintentionally Triggering Custody? Hidden Risks in Everyday Advisory Practices
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Are You Unintentionally Triggering Custody? Hidden Risks in Everyday Advisory Practices
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In this episode of the Oyster Stew podcast, regulatory compliance experts Ed Wegener, Candy Palugi, and Nolan Hughes examine the nuanced world of custody regulations and outline concrete steps firms should take when custody is discovered, including ADV amendments, engaging independent accountants for verification audits, and implementing enhanced supervision procedures.
For compliance professionals and advisory firm leaders, this conversation provides essential guidance on balancing client service with regulatory requirements. Listen now to gain valuable insights that will help protect your firm from unintentional custody violations while maintaining exceptional client service. Review your operational procedures today to ensure you're not triggering custody requirements without proper safeguards in place.
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