 Advisors typically already have business continuity plans, but we anticipate that this proposal will go beyond those plans and specify other areas that must be addressed.."Karen Barr, president and CEO of the Investment Adviser Association. |
5 New Compliance Headaches for Advisors, BDs
Melanie Waddell | Thin Advisor, September 2015
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Summary:Pressures on compliance professionals at advisory firms and broker-dealers continue to mount as the Securities and Exchange Commission, the Obama administration, the Financial Industry Regulatory Authority and the Department of Labor are gearing up to usher in new requirements.
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