Eze Castle Integration Eze Castle Integration

Video: Transition Planning & Business Continuity

The SEC is in the midst of a sweeping effort to ensure registered investment firms have processes in place to mitigate business and operational risk, and in the near future, that might mean requiring firms to enact business continuity plans (BCP) and transition or succession plans. 

In this video, speakers from Arthur Bell CPAs and Eze Castle Integration break down the SEC proposed rule recommending BCP and transition plans and provide investment firms with clarity on the key elements of each. Our expert speakers examine:

  • Internal, external and transition-related risks to business continuity and resiliency;
  • Policy details intended to safeguard, transfer and/or distribute client assets during a transition; and
  • Additional points highlighted by the SEC, including disclosure, record keeping and annual reviews. 

Watch the 1-hour video now.