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Summary: The SEC proposed a rule Tuesday that would require investment advisors to put in place business continuity and transition plans, detailing how they would "minimize material disruptions" to service in the event of natural disasters, cyber attacks, technology failures, the departure of key personnel or other events. Advisors could tailor their plans to fit their operations and risks specific to their particular business models.
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Summary: As anticipated, the Securities and Exchange Commission proposed a new rule Tuesday requiring registered investment advisors to adopt and implement written business continuity and succession plans.
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Summary: It’s that time of year again when we start thinking about the New Year and what we want to accomplish. Setting performance goals is an important part of this planning process and below are some do’s and don’ts to help you and your employees set goals for the upcoming year.
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Summary: All of us who work with business owners have heard the excuses owners use to put off doing the things that they know they should do but just don’t see as pressing. Whether you are a CPA, attorney, financial advisor, valuation analyst or any other type of professional, you’ve made important and timely recommendations only to have owners agree in theory, but not in action.
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Summary: XY Planning Network, the organization of advisers serving Gen X and Gen Y clients, is searching for new software vendors to address the financial planning issues of young clients.
