Business Continuity Planning/Cybersecurity

The SEC is on the record: a firm’s compliance P&Ps should cover business continuity plans. How you address the critical issue of your firm’s business continuity planning (BCP), however, is for the most part up to you. Your cybersecurity approach also dovetails with your BCP.

In this collection you can find our continuously updated BCP and cyber news, analysis, “best practices” tips, compliance P&Ps, templates, matrices and more.

LATEST BUSINESS CONTINUITY / CYBERSECURITY COVERAGE

Hurricane Milton on Manasota Key in Englewood, Florida. Piles of rubbish on street side from severely damaged houses. Consequences of natural disaster.

Cybersecurity: Be sure to practice incident response

One of the common errors that often gets discovered during such an exercise is the manager who states that the responsibility for a certain task would fall to an employee who’s not in the room—and that person has no idea of his expected duty

Robinhood rides regulatory rollercoaster

SEC and FINRA settlements offer the industry lessons learned as they cover a wide landscape of current compliance hot-buttons

New cybersecurity alerts released

FINRA worried for ransomware, social engineering

Cyber and emerging technologies unit formed

New unit will combat cyber-related misconduct and protect retail investors from bad actors in the emerging technologies space

California wildfires prompt reg relief

The relief touches on such areas as emergency office relocations, regulatory filings, fees, customer communications, examination windows, and more

Cybersecurity: Know your partners’ partners

You can aspire to do all the right things when it comes to cybersecurity, and your vendors may do so as well. Yet trouble can occur because your vendor’s vendor messed up

THE LATEST

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