Aurora Borealis
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

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