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Business Continuity Planning

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, ...
Wall Street Brookfield Asset Management listing
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

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