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Jun. 10, 2020

Are You Prepared for OCIE’s Sweep of Business Continuity Plans and Coronavirus Actions?

  • Dietrich Knauth
    Cybersecurity Law Report
Regulators are keeping a close eye on advisers’ ability to weather the business disruptions caused by the coronavirus pandemic. As part of that effort, the SEC’s Office of Compliance Inspections and Examinations (OCIE) has sent targeted document requests to multiple firms centered on their business continuity plans (BCPs). To help firms prepare for the SEC sweep of BCPs, the Cybersecurity Law Report interviewed several attorneys and compliance consultants and, in this article, we share their insights on the scope and nature of the SEC’s efforts to date and how to prepare for potential scrutiny of their BCPs. We also include a redacted OCIE document request list received by a fund manager at the outset of the coronavirus pandemic. See “How Asset Managers and Others Can Mitigate Pandemic-Related Operational Risks and Maintain Business Continuity” (May 6, 2020).

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