Planning for the Worst: Business Continuity Planning and Transition Planning

The presidential election as well as the current composition of the SEC has potential impacts for many regulations, including one of the biggest new rule proposals from the SEC: Rule 206(4)-4. With implications for both compliance and operations, the rule is intended to ensure that your firm’s services to its clients continue when you’re faced with a business disruption. Find out what you need to know about the rule:

  1. Breaking down the proposed rule requirements
  2. Dealing with natural disasters, cyber-attacks, IT failures, and the loss of key personnel
  3. Transition planning for small firms and large firms
  4. Managing critical vendors and the risks they pose to your firm
  5. Why the SEC can bring enforcement actions even before the rule is adopted

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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