New NASAA Model Rule for State-Registered Investment Advisors to Have a Succession/Continuity Plan

K (1.5)
Main
10/22/2015
11:40 AM - 12:55 PM
Earlier this year, NASAA adopted a new model rule that will make it a requirement for state-registered investment advisors 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 the way that 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 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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