Business Continuity Planning

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 ...

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.

Jill Grenda, managing director at Hardin Compliance Consulting outside Pittsburgh, kindly shares her BCP Checklist

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 ...

Fire scorches California so frequently that nature’s rage could even spark a certain amount of complacency.   “We always laughed at the business continuity plan. ...

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 ...