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Business Continuity Planning (66)
Your search for Business Continuity Planning returned 66 results.
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7/25/2019 | Content area: Investment Adviser
The recent earthquakes in southern California jolted even long-time residents used to a sometimes unsteady ground.   “It was like a rolling motion. It...
5/09/2019 | Content area: Investment Adviser
When you and your staff calm down after an event that triggered the launching of your business continuity plan, know that the cyber bad guys could be ...
5/03/2019 | Content area: Investment Adviser
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help guide an adviser's annual review of its business continuity plan.
2/28/2019 | Content area: Broker-Dealer
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultim...
12/06/2018 | Content area: Investment Adviser
Deborah Lamb sat parked in her car, waiting her turn in line at a drive-through coffee kiosk when it struck. “I thought my car was going to explode,” ...
9/27/2018 | Content area: Investment Adviser
When the worst of Hurricane Florence was lashing Wilmington, N.C., Vinton Fountain huddled with his family in the safest part of their house, terroriz...
8/09/2018 | Content area: Investment Adviser
Fire scorches California so frequently that nature’s rage could even spark a certain amount of complacency.   “We always laughed at the business conti...
6/21/2018 | Content area: Investment Adviser
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a r...
5/03/2018 | Content area: Investment Adviser
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing t...
3/08/2018 | Content area: Investment Adviser
Regulation SCI first became effective back in November 2015. The SEC has now brought its first-ever charged violation of Reg SCI. On March 6, the Comm...
1/11/2018 | Content area: Investment Adviser
SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016...
1/11/2018 | Content area: Broker-Dealer
FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud...
11/16/2017 | Content area: Investment Adviser
A rulemaking barometer that compliance professionals have paid a great deal of attention to in the past will get streamlined going forward. The SEC’s ...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
9/07/2017 | Content area: Investment Adviser
KMH Wealth Management CCO Phyllis Keller was thinking this past spring of clever ways to conduct a mock disaster recovery drill (IA Watch, March 30, 2...
3/30/2017 | Content area: Investment Adviser
You arrive at work to find a most disturbing sign posted on the office door: poison gas present. What would you do?   Phyllis Keller, CCO at KMH Wealt...
11/17/2016 | Content area: Investment Adviser
Odds are you have only months before the SEC will mandate that you must have a written transition plan. Many advisers lack them. Listen to peers who h...
10/20/2016 | Content area: Investment Adviser
Murphy’s law was on full display again. An adviser in Jacksonville, Fla., revved up its generator hours before the full brunt of Hurricane Matthew was...
9/29/2016 | Content area: Investment Adviser
Reputational damage, congressional inquiries, lawsuits and clawbacks of bonuses are among the repercussions dripping from Wells Fargo’s embarrassing a...
9/08/2016 | Content area: Investment Adviser
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 implem...


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