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SEC Proposal For Written Business Continuity and Transition Plans PDF

96 Pages·2020·English
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by ['Lee Kim']| 2020| 96 pages| English

About SEC Proposal For Written Business Continuity and Transition Plans

The SEC is proposing a new rule and rule amendments that would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans to address risks related to significant disruptions in their operations. The proposal also aims to require advisers to make and keep any business continuity and transition plans from the past five years. The rule changes are intended to help protect investors and the operations of investment advisers.

Detailed Information

Author:['Lee Kim']
Publication Year:2020
Pages:96
Language:English
Format:PDF
Price:FREE
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