Kathy Malone, Attorney and Managing Director, Duff & Phelps to Speak at TKG's Event

NEW YORK - Oct. 17, 2017 - PRLog -- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Kathy Malone, Attorney and Managing Director, Duff & Phelps will speak at the Knowledge Group's webcast entitled: "Navigating SEC's Latest Custody Rule Guidance and Its Impacts on Advisers LIVE Webcast."  This event is scheduled for October 23, 2017 @ 12:00 PM to 1:00 PM ET.

For further details, please visit:

https://www.theknowledgegroup.org/webcasts/legal/corporate-law/navigating-secs-latest-custody-rule-guidance

About Kathy Malone

Kathleen Malone is an attorney and a managing director at Duff & Phelps in the Compliance and Regulatory Consulting Practice.

Kathleen has worked with several private fund managers in registering them with the appropriate regulatory authority, establishing compliance programs, identifying and addressing risks and conflicts, conducting mock regulatory examinations and assisting with regulatory examinations and inquiries. In addition, Kathleen has assisted a number of broker-dealers with their regulatory needs from registration, ongoing compliance support and FINRA examination support.

Prior to joining Counsel Works, Kathleen worked at the U.S. Securities and Exchange Commission in the Office of Compliance Inspections and Examinations.

During Kathleen's more than seven-year tenure at the SEC, she worked in the New York and Boston Regional Offices, where she participated in numerous registered investment company, registered investment adviser and broker-dealer examinations.

Ms. Malone earned her B.S. in finance from Villanova University and her Juris Doctorate from Seton Hall University School of Law.

About Duff & Phelps

Duff & Phelps is a premier independent advisor with expertise in the areas of valuation, corporate finance, disputes and investigations, compliance and regulatory matters, and other governance-related issues. Our clients include publicly traded and privately held companies, law firms, government entities and investment organizations such as private equity firms and hedge funds. We also advise the world's leading standard setting bodies on valuation issues and best practices. Duff & Phelps' nearly 2,500 professionals are located in over 70 offices in 20 countries around the world.

Our team differentiates ourselves in our commitment to question assumptions, be the independent eye, critically analyze facts and tell our clients what they need to know to make sound decisions. Duff & Phelps cuts through complexity and creates clarity for our clients to ensure compliance, reduce risk, overcome emerging challenges and enhance value.

Event Synopsis:

Earlier this year, the SEC Division of Investment Management provided a new Custody Rule guidance under the Investment Advisers Act of 1940. In this LIVE webcast, a seasoned panel of thought leaders, professionals and advisers assembled by The Knowledge Group will provide and present to the audience the recent trends and developments related to the latest SEC Custody Rule guidance. Speakers will also identify how the new guidance impacts investment advisers.

Key topics include:

§  New Custody Rule Guidance – An Introduction

§  The Custody Rule – Framework

§  Provisions Creating Inadvertent Custody

§  Identifying Custody Issues

§  Recent Guidance

§  Recent Trends and Exam/Enforcement Issues

About The Knowledge Group/The Knowledge Congress Live Webcast Series

The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/