Business Continuity Planning

(a) Business continuity and disaster recovery plan required. Each swap dealer and major swap participant shall establish and maintain a written business continuity and disaster ...

(a) Each registered swap data repository shall, with respect to all swap data in its custody: (1) Establish and maintain a program of risk analysis ...

Evolving technological innovation, ever-increasing cyber incidents and the constant need to secure consumer data all have financial services firms’ laser focused on their cybersecurity efforts. ...

The percentage of investment advisers examined by the SEC in the 2014 fiscal year that ended in September hit 10% of the RIA population for ...

Consultants performing mock exams are dialed in to the SEC’s most recent document request letters and the regulator’s specific records sought (IA Watch, Aug. 11, ...

One lesson shines brightly from advisers who encountered incidents prompting implementation of their business continuity plan: dump the phone tree.It's common for advisers to have ...

Superstorm Sandy lashed the east coast in October 2012, rendering many advisory firms unusable for days or forcing alternative arrangements. Nicholas Caruselle experienced the storm ...

Just days after the SEC, CFTC and FINRA issued joint best practices for firm business continuity plans (IA Watch, Aug. 26, 2013), OCIE followed suit. ...

This is an OCIE risk alert published in August 2013 that includes best practices for RIA business continuity plans (BCP) taken from lessons learned following ...

In an act of unprecedented harmony, the SEC, CFTC and FINRA have jointly released best practices and lessons learned for firm business continuity plans based ...