Custody Unlocked
The Investment Adviser Custody Rule: Practical Guidance for SEC Registered Advisers
Join us for a practical deep dive into one of the SEC’s most scrutinized areas for 2026—the Custody Rule. Our two nationally recognized speakers bring deep experience spanning regulation, policy development, and adviser compliance.
- Robert E. Plaze, Consultant and Expert Witness; author on subject of custody; former SEC Deputy Director, Division of Investment Management, and former Partner, Proskauer
- Laura Grossman, Associate General Counsel, Investment Adviser Association
- Jackie Hallihan, Chief GRC Officer, Salus GRC (Moderator)
What we’ll cover:
– Applying the Custody Rule to real-world scenarios
– SLOAs: common misconceptions and practical guidance
– Pitfalls in custody program implementation
– Preparing for the SEC’s 2026 exam’s focus on custody
– Expert perspectives on potential rule amendments
Who it’s for: SEC-registered investment advisers—asset managers, wealth advisers, private fund/PE/real estate advisers, and CCOs/CFOs.
Speaker
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Jacqueline HallihanChief GRC Officer, Salus GRCJackie is a pioneer in the compliance consulting industry, with a proven track record as an entrepreneur who founded multiple regulatory compliance and technology companies, including a founding partner at Ascendant Compliance Management and founder and CEO of National Regulatory Services. She brings over 30 years of experience, and most recently served in an Executive Director role in compliance services within a RegTech firm. As Chief GRC Officer at SalusGRC, she is responsible for spearheading Salus GRC’s global GRC strategies, with a focus on maximizing growth opportunities. She is a founder and life-time member of the National Society of Compliance Professionals (NSCP).
