New York partner Kay Gordon served as the moderator of a panel at IAA’s Investment Adviser Compliance Conference 2017 titled, “Business Continuity and Transition Plans.”

The session focused on best practices that advisers should be considering in preparation for the SEC’s anticipated adoption of a new rule that would require all advisers to implement business continuity and transition plans for the event of a major disruption in their business. Panelists offered guidance on operational issues as well as legal and other risks from a compliance perspective. The panel also discussed the potential implications of the proposed SEC rule.

Read more about the event.

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