What happens to my investments if something happens to you?
If you don’t have the right answer to this question, you are not only risking the growth of your business, but you are also violating your regulatory and fiduciary responsibilities.
SEC Exam Review Prompts Risk Alert on Adviser Business Continuity Plans
Prompted by wide-ranging damage and the disruptions to the capital markets caused by Hurricane Sandy, the SEC’s National Examination Program (“NEP”) reviewed the business continuity plans and disaster recovery plans (together, “BCPs”) of approximately 40 investment advisers in areas affected … Continued
Compliance Alert! Disaster Recovery
Dear Compliance Professional, I hope this finds all of you and your families up and down the East Coast safe and sound. Earthquakes and hurricanes – two phenomena not usually associated with this neck of the woods (or Colorado, for … Continued