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Daily Archives: July 15, 2016

SEC Proposed Rule on Business Continuity and Transition Plans Explained

From the Corner OfficeBy AdvisorAssistJuly 15, 2016Leave a comment

We are pleased to have AdvisorAssist – an industry leading compliance consulting firm for RIAs contribute to From the Corner Office to help us better understand the SEC proposed rule that would require RIAs to adopt written business continuity plans.  Michael D. Conlon, JD is Vice President Advisor Compliance / General Counsel and Brendan Furey…

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