Harvey Shows Advisers Need To Prep For Hell Or High Water
Law360, New York (August 31, 2017, 10:20 PM EDT) -- As water continues to flood Houston nearly a week after Hurricane Harvey made landfall, experts say investment advisers across the country should take note and prepare for when disaster strikes in their own backyard — even if the U.S. Securities and Exchange Commission doesn’t move to require firms to adopt emergency plans.
Most investment advisers already have some form of plan they can follow if a natural disaster or other interruption impacts their business. The SEC in June 2016 proposed a rule that would specifically require firms to have written business continuity and transition plans, but has yet to finalize the...
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