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SEC guides on business continuity planning

07/01/2016

The Securities and Exchange Commission is advising mutual fund complexes to prepare themselves for an unforeseen disruption in business, citing last summer's BNY Mellon pricing glitch as an instance when some market participants were caught unawares. Calling robust business continuity planning "critical," the agency's Division of Investment Management has issued guidance on how ... Log in to view full article.

 


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