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Investment Funds › Business Continuity Plans

Broker-Dealer Compliance + Regulation

SEC Proposes Business Continuity and Transition Rules for Advisers While Staff Publishes Similar Guidance for Funds

Broker-Dealer Compliance + Regulation on

The SEC’s Division of Investment Management published regulatory guidance on June 28, 2016, highlighting the need for registered investment company complexes to review their business continuity plans to ensure they are...more

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