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Business Continuity Planning

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
There are many services designed to help you stay in touch with your colleagues should COVID-19 keep you separated for a long time
The OCIE request raises the specter of a long stretch of working from home
IT professionals across the financial services industry are taxed to the max
The SEC has been reaching out to firms to talk about COVID-19
The NFA encourages members to review their BCPs and to include the prospect of a pandemic in their plans
The World Health Organization has described the newly dubbed COVID-19 virus as a “very grave threat”
Employees reacted well, attesting to the training and the firm’s compliance P&Ps
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, ...

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