Business Continuity Planning

A significant percentage of the nation’s advisory firms call New England home. One snowstorm after another has battered the region lately.   A total of ...

(a) Each registered swap data repository shall, with respect to all swap data in its custody: (1) Establish and maintain a program of risk analysis ...

(a) Business continuity and disaster recovery plan required. Each swap dealer and major swap participant shall establish and maintain a written business continuity and disaster ...

(a) A swap execution facility’s program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following ...

(a) A designated contract market’s program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following ...

Evolving technological innovation, ever-increasing cyber incidents and the constant need to secure consumer data all have financial services firms’ laser focused on their cybersecurity efforts. ...

The percentage of investment advisers examined by the SEC in the 2014 fiscal year that ended in September hit 10% of the RIA population for ...

Consultants performing mock exams are dialed in to the SEC’s most recent document request letters and the regulator’s specific records sought (IA Watch, Aug. 11, ...

One lesson shines brightly from advisers who encountered incidents prompting implementation of their business continuity plan: dump the phone tree.It's common for advisers to have ...