 In the wake of Hurricane Sandy and other disasters, the SEC has put more emphasis on transition plans in its examinations of advisers."Duane Thompson, senior policy analyst, Fi360
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SEC works on rule requiring practice transition plans
Mark Schoeff Jr. | InvestmentNews, December 2014
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Summary: The Securities and Exchange Commission is working on a rule that would require investment advisers to develop a continuity plan for their practices that would go into effect when they leave or become incapacitated, agency Chairman Mary Jo White said Thursday
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