BCP, ADV and other SEC targets were discussed by SEC Assistant Regional Director of the Boston Office Mayeti Gametchu and other panelists at a recent NEBDIAA meeting.
The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans in order to legally operate under SEC jurisdiction. The rule … Read more
Exploring the CCOs Evolving Role Utilizing Technology to Enhance Supervision, Surveillance and Improve Compliance Functions Leveraging Technology for your Business Continuity Plan
SEC’s Big Picture Points and Sandy Causes BCP Test Thanksgiving is right around the corner, and Ascendant is thankful for the incredible insights shared by an SEC panelist at our Scottsdale, AZ conference regarding the “big picture” items currently in … Read more