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

Fill in & submit the form below to download this ComplianceCast™

Thank you!

Your download will appear below momentarily.

Download Now.


Subscribe to CSS Blog

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.

Latest Content

Service Provider Due Diligence – Building Effective Partnerships

In 2009, the SEC stated at its CCOutreach Program that “when a service provider is utilized, the adviser still retains its fiduciary responsibilities for the delegated services.” This philosophy is as true today as it was 10-plus years ago. Therefore, the question becomes how do you establish a due diligence oversight program for your firm’s … Continued

SEC Adopts Changes to Reporting Forms

Regulation of Derivatives Use by RICs and BDCs Recognizing the proliferation of new derivate products in our markets, the SEC voted to adopt a new regulatory framework for the use of derivatives by mutual funds, ETFs, closed-end funds, and business development companies. The SEC’s press release stated that, “The new rule and rule amendments will … Continued

Time to Use the Bat Phone: Who to Call When a Compliance Officer Needs Help?

It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also ensuring that their compliance program is effective, compliance officers must also be aware of cybersecurity threats, business continuity plans, new regulations, changes in business strategy, and more – all while doing this under a work … Continued