Business Continuity Planning

A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implement ...

Repeated swap reporting violations by Deutsche Bank AG have led the firm and the CFTC to seek the intervention of a Court-appointed monitor to ensure ...

Open up any SEC proposed or final rule and you’ll find the actual rule in the back. But the lead up to the formal regulatory ...

while it is essential that we engage in recovery and resolution planning, our goal is never to get to a situation where either of those ...

The foresight inherent in decreeing that investment advisers have written business continuity and transition plans could be seen as quickly as a look to the ...

The Securities and Exchange Commission (“Commission” or “SEC”) is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 (“Advisers Act”). ...

In this guidance update, the staff of the Division of Investment Management (the “Division”) underscores the importance of mitigating operational risks related to significant business disruptions, ...

The long-promised proposal to require transition plans for investment advisers has finally emerged from the Commission (IA Watch, Dec. 11, 2014). A new 96-page proposal ...

Cyber-attacks against financial institutions to extort payment in return for the release of sensitive information are on the rise (IA Watch, Nov. 19, 2015), states ...

FINRA has adopted a new rule under which the SRO will designate certain broker-dealers for mandatory participation in business continuity and disaster recovery testing. The ...