News & Analysis as of

Hurricane Sandy › Commodities Futures Trading Commission

Hurrican Sandy was a highly destructive storm system that ravaged parts of the Caribbean and Mid-Atlantic and Northeastern United States in October of 2012. The storm was responsible for over 100 deaths and... more +
Hurrican Sandy was a highly destructive storm system that ravaged parts of the Caribbean and Mid-Atlantic and Northeastern United States in October of 2012. The storm was responsible for over 100 deaths and billions of dollars worth of  damage.  less -
Katten Muchin Rosenman LLP

SEC, CFTC and FINRA Issue Joint Advisory on Business Continuity and Disaster Recovery Planning

Katten Muchin Rosenman LLP on

On August 16, 2013, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, the Financial Industry Regulatory Authority and the Commodity Futures Trading Commission’s Division of Swap...more

BakerHostetler

Regulators Issue Joint Guidance on Business Continuity Planning

BakerHostetler on

Last Friday, the SEC, FINRA and CFTC issued joint guidance (Joint Guidance) on the "best practices and lessons learned" from their review of the business continuity and disaster recovery plans of firms as a result of the...more

Broker-Dealer Compliance + Regulation

Hurricane Sandy Redux: Agencies Recommend Business Continuity Planning

Broker-Dealer Compliance + Regulation on

As hurricane season approaches, the securities and commodities industries’ principal regulators are effectively encouraging firms to do the equivalent of putting up storm shutters, stocking up on batteries and bottled water,...more

Brooks Pierce

How’s Your BCP?

Brooks Pierce on

Last week, staff at the SEC, CFTC, and FINRA drew some lessons from Hurricane Sandy and warned broker-dealers and other firms to take steps to prepare themselves for natural disasters that could disrupt their operations....more

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