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Audits Business Continuity Plans

Miller Canfield

Risks For RIA Firms in a COVID World

Miller Canfield on

In light of COVID-19, the U.S. Securities and Exchange Commission ("SEC"), recognizing that RIA Firms are facing operational, technological, commercial and other issues, has also outlined "regulatory and compliance questions...more

Nelson Mullins Riley & Scarborough LLP

Steps to Avoid Coronavirus “Going Concern” Statements in Audit Opinions and Financings

As entities cope with the economics of coronavirus, we recommend they take actions along the way to try to avoid “substantial doubt” about an entity’s viability as a “going concern” and the resulting going concern statements...more

BCLP

Part 5 of Reviewing Third Party Vendor Service Contracts, a Seven Part Guide

BCLP on

This is part 5 of a Seven Part Guide to reviewing vendor contracts. Vendor Notice Requirements - Business - Strategic Changes. There are several categories of events the bank will want to be notified about. The...more

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