Business Continuity Planning

Employees reacted well, attesting to the training and the firm’s compliance P&Ps

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 ...

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 ...

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 ...

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 ...

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 ...