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Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More

March 21, 2023
1:00 PM - 3:00 PM EDT
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Course Description:

With the effects of the global pandemic related to COVID-19, investment advisers have had to enact their disaster recovery plans. The SEC continues to show interest in adviser plans in pandemic response and is still conducting examinations during this time. As a result, examinations have included requests for information related to the continuation of services and transition plans for circumstances when a principal is unable to perform them.

Required written policies and procedures help ensure the continued operation of the firm when faced with any adverse conditions including weather events, terrorism, information breaches, loss of key personnel or offices, and health crises such as pandemics.

A disaster that rapidly occurs and impacts the firm has special implications for the compliance department. As a compliance professional, will you know how to prepare for, and effectively respond to an event with unintended consequences? Key takeaways for this session include:

SEC Risk Alerts regarding business continuity planning and cybersecurity;
Regulations, concerns and responsibilities that impact compliance professionals;
New lessons learned from the pandemic and strategies to achieve a smooth, seamless recovery response; and
Implications of work-from-home including use of cloud-based technology, remote employee access, geographical separation of employees, back-up services, data protection, record retention and access.
Eligible for IACCP® and IA Core

After attending this course, attendees should be able to:

  • Examine business continuity planning/ disaster recovery concepts to help manage compliance and regulatory expectations, and develop the most appropriate process that minimizes liability and improves safety for your firm and its clients
  • Pinpoint the SEC areas of concern that should drive required written compliance policies and procedures
  • Identify systemic problems or gaps and implement prompt corrective action and follow-up testing
  • Discuss reopening the workplace and what best practices might work effectively for your firm’s location and employees returning to the office

Coming soon.

For Whom: Designed to increase the professional competence of financial services compliance professionals with legal, compliance, operations, technology, administrative and management responsibilities

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP® Credit: Pending