Robert Sawyer

Robert Sawyer

Foley Hoag LLP

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SEC Issues National Exam Program Risk Alert Regarding Investment Advisers’ Business Continuity Plans

On August 27, 2013, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (the “SEC”) issued a National Exam Program Risk Alert (the “Risk Alert”) resulting from its review of the...more

9/20/2013  /  Business Continuity Plans , Disaster Preparedness , Hurricane Sandy , Investment Adviser , Investment Advisers Act of 1940 , Natural Disasters , Risk Management , Securities and Exchange Commission (SEC)
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