 Whether SEC or state, this is likely going to be a deficiency."This will come back in the report as a comment even if a rule hasn't been put in place."Christopher Winn, managing principal, AdvisorAssist |
Don't Wait for New Rules to Get a Succession Plan
Kenneth Corbin | Financial Planning, May 2015
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Summary: State and federal examiners increasingly expect advisors to have a business continuity and succession plan in place, even if they aren't bound by a specific rule mandating a formal policy.
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