Business Continuity Plans

News & Analysis as of

Prudential Regulators Announce Coordinated Action Against Technology Service Provider

Recently, the OCC released a formal agreement it entered with the FDIC, the Federal Reserve Bank of St. Louis, and a banking software company to resolve allegations of unsafe and unsound practices relating to the software...more

SEC Issues National Exam Program Risk Alert Regarding Investment Advisers’ Business Continuity Plans

On August 27, 2013, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (the “SEC”) issued a National Exam Program Risk Alert (the “Risk Alert”) resulting from its review of the...more

SEC Exam Review Prompts Risk Alert on Adviser Business Continuity Plans

Prompted by wide-ranging damage and the disruptions to the capital markets caused by Hurricane Sandy, the SEC’s National Examination Program (“NEP”) reviewed the business continuity plans and disaster recovery plans...more

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