Business Continuity & Succession Planning for RIAs

About the Webinar

In 2016, the SEC released a proposal to require RIAs to adopt a formal business continuity and succession plan. Although the final implementation of the rule has not been rolled out yet, many state regulators have followed suit and formally adopted a rule.

What you will learn

  • Proposed Business Continuity and Transitions Plan Rule
  • Key Person Risk
  • Reasonable Policies and Procedures
  • Testing and Verification

We have asked one of our partners, Peter McGratty from Pinnacle Advisor Solutions, to join our presentation and lend his expertise on business continuity and succession planning. Pinnacle offers a unique succession plan solution designed specifically for RIAs.

About our Presenter: Brian Young

AdvisorAssist, LLC - Vice President Advisor Services

About our Presenter: Peter McGratty

Pinnacle Advisor Solutions - Vice President Strategic Partnerships