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Advanced Personal Financial Planning Conference 2016

204 - New Continuity Planning Rules for State-Registered Investment Advisers

Jan 19, 2016 7:00am ‐ Jan 19, 2016 7:50am


Last year, NASAA adopted a new model rule that will make it a requirement for state-registered investment advisers to adopt a “Business Continuity and Succession Plan.” In this session, we’ll hear from a state securities regulator to discuss the specific requirements of the new rule, a compliance attorney who can help RIAs understand how the new rules may apply to them, and a continuity planning solutions provider who can discuss how other RIAs are addressing the issue. From having a backup of books and records, to alternative methods of communication with clients, to a continuity plan for servicing clients or the orderly wind down of an RIA, this session will cover the key elements that advisory firm owners must consider as the new NASAA model rule is implemented across the states in the coming months and years.


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