How to make your business continuity plan SEC-ready

How to make your business continuity plan SEC-ready
Are you ready for the next disaster? The SEC wants to be sure that you are. In a recent National Exam Program Risk Alert, the SEC’s Office of Compliance Inspections and Examinations encourages investment advisers to take a fresh look at their business continuity plans in light of the lessons learned from Hurricane Sandy.

Ready, set. . . exercise. Preparing for the next crisis.

Ready, set. . . exercise. Preparing for the next crisis.
Crisis management and business continuity planning became priorities for NICSA member firms in Kansas City this week as tornadoes moved through their area. We’re relieved that everyone is safe.

Adventures in plumbing

Adventures in plumbing
When we think about planning for business continuity, we tend to think first about natural disasters such as hurricanes or earthquakes — but the problems that cause an office to close are equally likely to be man-made.

Spring has sprung at NICSA

Spring has sprung at NICSA
Mark your calendars for these upcoming spring-summer NICSA events, and watch our conferences page for program and registration details. April 21 West Coast Regional Meeting Offices of The Capital Group, Los Angeles April 27 FATCA:  Why You Should Care Webinar May 10 Luncheon Presentation and Book Signing Featuring MFS’ Robert C.

NICSA: 8400 Westpark Drive, 2nd Floor McLean, VA 22102 • Tel: 508.485.1500 • Fax: 508.485.1560