SEC: critical business continuity tests lacking in run-up to Sandy

Storm warning

A Securities and Exchange Commission (SEC) risk alert accuses US investment advisers of opting out of critical business continuity tests in preparation for Hurricane Sandy.

The alert comes after the SEC's National Examination Program decided to review the business continuity and disaster recovery plans of approximately 40 advisers in areas impacted by Sandy. The aim was to assess the advisers' compliance with applicable laws, rules and regulations relating to business continuity plans.

The alert

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