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Business Continuity Planning

Be aware that once things settle down, staff will seek to reach loved ones above anything else
The recent earthquakes in southern California jolted even long-time residents used to a sometimes unsteady ground.   “It was like a rolling motion. It made ...
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.
Jill Grenda, managing director at Hardin Compliance Consulting outside Pittsburgh, kindly shares her BCP Checklist
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultimately proved ...
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 ...
When the worst of Hurricane Florence was lashing Wilmington, N.C., Vinton Fountain huddled with his family in the safest part of their house, terrorized by ...
Fire scorches California so frequently that nature’s rage could even spark a certain amount of complacency.   “We always laughed at the business continuity plan. ...
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a rare onslaught, ...
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 ...
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 ...
FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud, high-risk firms ...
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 ...
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 next published ...
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With the costs of asset management expected ...
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, ...
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 ...
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 ...
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 ...
Reputational damage, congressional inquiries, lawsuits and clawbacks of bonuses are among the repercussions dripping from Wells Fargo’s embarrassing admission that staff opened thousands of accounts ...
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