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Hurricane Sandy › Continuity of Enterprises

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 -
Orrick - Finance 20/20

SEC Issues a Risk Alert on Investment Advisers’ Business Continuity and Disaster Recovery Planning

Orrick - Finance 20/20 on

On August 27, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding business continuity and disaster recovery planning for investment advisers....more

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

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