Business Continuity Planning

This is a list of best practices for firms to consider as part of their business continuity planning (BCP). The SEC, CFTC and FINRA jointly ...

The CEO gathered his team in a conference room. Special guests sat among the invitees: consultants with surprising news. Pretend an emergency has hit that ...

With a niece and friends running in the annual, world-famous Boston marathon, Theresa Apruzzese decided to leave the offices of Guggenheim Real Estate ($619M in ...

While the turmoil wrought by super storm Sandy last fall remains fresh in the minds of those firms that suffered in her wake, the SEC, ...

This is a sweep exam letter that FINRA sent after Hurricane Sandy in 2012 seeking answers to questions related to firms' business continuity plans (BCPs).

This is an SEC sweep exam letter sent to some advisers inquiring about their business continuity plans (BCPs) following Hurricane Sandy in October 2012.

What SEC examiners focus on can shift like the sands, depending on what's hot and the type of firm being queried. We've come up with ...

The huge storm that ravaged the Northeast last month also tore at the pages of even the most thoroughly tested business continuity plan.Round table Service ...

This compliance policies and procedures manual comes courtesy of Albert Gutierrez, CCO at Atlas Capital Advisors in San Francisco, who refers you to his firm’s ...

Southern California readers may smirk but last month's East Coast earthquake rattled the nerves of people unaccustomed to feeling the ground dance. When the shaking ...