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SEC Escalates Need for Succession and Business Continuity Plans
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"SEC Escalates Need for Succession and Business Continuity Plans"
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Having a succession plan and ensuring the continuity of business--not only for the advisor, but for the clients they are charged with protecting--is an integral aspect in business of any kind.

The Securities and Exchange Commission (SEC) has proposed a rule requiring that all investment advisors have in place a business continuity and succession plan for their practice. 

Having a succession plan and ensuring the continuity of business is an integral aspect in business of any kind.

  • Why is such a ruling important to know?
  • What can advisors do to address this potentially looming legislation?
  • How can your broker/dealer help its advisors?

All of these questions will be answered in this white paper on business continuity and succession planning.


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