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Description
This course prepares Investment Adviser Representatives (IARs) to meet regulatory expectations for business continuity planning (BCP). Learners will explore key BCP components - data protection, communication protocols, office relocation, succession, and third-party risk management - with a focus on practical application and fiduciary responsibility. The course emphasizes real-world scenarios, compliance best practices, and the adviser’s role in supporting plan execution. By course end, learners will be equipped to contribute to firm-wide continuity strategies that protect clients and ensure regulatory readiness.
Learning Objectives
By the end of this course, investment adviser representatives will be able to support their firm s business continuity planning by applying SEC-aligned practices for data protection, communications, succession, and third-party oversight to a degree that ensures operational resilience and minimizes client harm during disruptions.