Is Your Business Continuity Plan COVID-19 Proof? SEC Sweep Examinations Are Upon Us
In response to the COVID-19 crisis, the Division of Investment Management has also encouraged firms to "evaluate their business continuity plans."1 The SEC is conducting sweep exams focused on Business Continuity Plans ("BCP") with precise attention to the continuation of operations during the COVID-19 pandemic. Furthermore, regular examinations may include more focus on the firm's BCP at this time. ...
21 April, 2020