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Business Continuity Planning

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
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

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