Arthur Don, co-chair of the Investment Regulation Group, will participate in the ACA Spring 2017 Compliance Conference, Thursday, May 4, in Florida.
Arthur will speak on the panel, “Business Continuity: What Should Advisors be doing Now?” which will focus on mergers and acquisitions of advisory firms, incapacitation of a key man, and winding down. The panel will also address the recently proposed SEC Rule 206(4)-4, which will require advisers to develop business continuity plans designed to mitigate the impact of business disruptions or transitions. He will discuss the details of the rule and what advisers should be taking into consideration as they build out their plans.