AALL Spectrum

AALL Spectrum / July/August 2020 / Volume 24, Number 6

AALL Spectrum / Published by American Association of Law Libraries

Issue link: http://epubs.aallnet.org/i/1261862

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Page 59 of 67

58 AALL SPECTRUM | WWW.AALLNET.ORG S hareholders and lenders care about business continuity changes to form investment decisions. Business continuity is so important that the Securities and Exchange Commission (SEC) proposed a new rule that would require registered investment advisers to create and maintain transition plans. At this time, the rule has not been codified. However, you can track it using the following Renewable Identification Number (RIN) code: RIN 3235-AL62. You can also find business continuity policy changes in many doc- uments, including forms 6-K, 8-K, 10-Q , and 10-K. To discover how public companies have addressed business continuity in SEC.gov, use "business continuity" as the search term in the Full-Text window, as shown in the screenshot on page 59. Obviously, the coronavirus pandemic has forced business continuity changes within many companies. Your firm will likely be involved in writing these plans or seeking new business from your CI background reports. Many such continuity policy statements by other companies can be included in your report. Since many of the statements are very detailed and long, here are three abbreviated examples from Piper Sandler Companies, SilverCrest Metals, and AutoNation. Using business continuity policy statements in your CI reports. BY KEVIN MILES BUSINESS EDGE Business Continuity CI Background Report PRACTICAL COMPETITIVE INTELLIGENCE

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