Bridge over ocean
16 September 2016 Comment Letter

Comment Letter on Adviser Business Continuity and Transition Plans

  1. Kurt Schacht, JD, CFA
  2. Linda Rittenhouse, JD

CFA Institute recommends that the SEC impose a requirement on advisers to adopt and implement a business continuity plan, but provide guidance (vs. requirements as to specifics) on the components that should be included in those plans.

CFA Institute recommends that the SEC impose a requirement on advisers to adopt and implement a business continuity plan, but provide guidance (vs. requirements as to specifics) on the components that should be included in those plans.

View Comment Letter

We’re using cookies, but you can turn them off in Privacy Settings.  Otherwise, you are agreeing to our use of cookies.  Accepting cookies does not mean that we are collecting personal data. Learn more in our Privacy Policy.