Business Continuity Plan Tag

Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July…

The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the…

BCP, ADV and other SEC targets were discussed by SEC Assistant Regional Director of the Boston Office Mayeti Gametchu and other panelists at a recent NEBDIAA meeting.

The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers…