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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Rule would require investment advisers to adopt continuity plans
Registered investment advisers would be required to implement written business continuity and transition plans under a newly proposed rule from the Securities and Exchange Commission. It would require plans to include policies and procedures addressing data protection, pre-arranged alternative physical locations, communication plans, and reviews of third-party service providers.
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