Compliance Guidebook

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So far Compliance Guidebook has created 2 blog entries.

29 Jun, 2016

SEC Considering Requirement for Business Continuity and Transition Plans for Advisers

Compliance Guidebook2016-07-27T13:42:22+00:00June 29th, 2016|Categories: Updates|Tags: business continuity, SEC|

Yesterday, the SEC proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans. At the same time, the SEC issued guidance on business continuity planning [...]

29 Jun, 2016

Welcome to Compliance Guidebook!

Compliance Guidebook2016-08-08T14:29:06+00:00June 29th, 2016|Categories: CG Insights|

Compliance Guidebook is a reference resource for investment advisers that makes it easy to find relevant legislation, regulation and guidance. Questions about the site? Fill out the form on the Contact page. Corrections or comments [...]