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SEC IM Guidance Update – Investment Company Business Continuity Plans

By Richard M. Cutshall on July 5, 2016

Posted in Financial Regulation, Investment Regulation, Risk Management, SEC

In connection with the Press Release announcing a Rule Proposal regarding adoption of written business continuity and transition plans by SEC-registered investment advisers (see our blog post on the topic),…
Continue Reading SEC IM Guidance Update – Investment Company Business Continuity Plans

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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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