Business Continuity Planning

Superstorm Sandy lashed the east coast in October 2012, rendering many advisory firms unusable for days or forcing alternative arrangements. Nicholas Caruselle experienced the storm ...

Just days after the SEC, CFTC and FINRA issued joint best practices for firm business continuity plans (IA Watch, Aug. 26, 2013), OCIE followed suit. ...

This is an OCIE risk alert published in August 2013 that includes best practices for RIA business continuity plans (BCP) taken from lessons learned following ...

In an act of unprecedented harmony, the SEC, CFTC and FINRA have jointly released best practices and lessons learned for firm business continuity plans based ...

This is a list of best practices for firms to consider as part of their business continuity planning (BCP). The SEC, CFTC and FINRA jointly ...

The CEO gathered his team in a conference room. Special guests sat among the invitees: consultants with surprising news. Pretend an emergency has hit that ...

With a niece and friends running in the annual, world-famous Boston marathon, Theresa Apruzzese decided to leave the offices of Guggenheim Real Estate ($619M in ...

While the turmoil wrought by super storm Sandy last fall remains fresh in the minds of those firms that suffered in her wake, the SEC, ...

This is an SEC sweep exam letter sent to some advisers inquiring about their business continuity plans (BCPs) following Hurricane Sandy in October 2012.

This is a sweep exam letter that FINRA sent after Hurricane Sandy in 2012 seeking answers to questions related to firms' business continuity plans (BCPs).