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Business Continuity Planning
By the time you finish reading this story, three more of your fellow humans will have developed Alzheimer’s disease. More than 50 million people around ...
Here's another P&P for returning to work during the pandemic
Employees who use mass transit will not want to use it to commute and may have difficulty with transportation for a number of reasons
It has become possible that some type of pandemic like SARS or Ebola would require employees to abandon one or more of our offices and ...
While we remain in a remote work posture, you may find it necessary to visit the office for a specific purpose
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, have “a trusted contact ...
Of the minority that did report the virus impacted them, many indicated they had to enhance their BCP, ran into some internal operational issues or ...
New Jersey regulators will examine investment advisers on how well they’re protecting elder clients from fraud, state Attorney General Gurbir Grewal says. The Garden State’s ...
The COVID-19 crisis forced financial professionals to flee their offices in a hurry. Even if your cabin fever has you reaching The Shining-levels of madness, ...
Staff are thinking creatively to connect with clients
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
Four compliance officers share their views on coping with the crisis
This list comes courtesy of Joseph Lazzarotti, a principal with Jackson Lewis in Berkeley Heights, N.J.
"We’re built for connections and the only way we can do that now is virtually, and we must”
Consider getting a noise-cancelling headset
Mail “processing is not something that I specifically spelled out in the BCP and it has to be spelled out”
FINRA wants communication on BCPs to be a two-way street
A peer shares the firm's P&Ps for a variety of events covered in its business continuity plan
Unless you happened to be alive in 1918, during the last great global pandemic, all of this is new
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