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Hurricane Sandy › Disaster Preparedness

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 -
Foley Hoag LLP

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

Foley Hoag LLP on

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

Goodwin

SEC Exam Review Prompts Risk Alert on Adviser Business Continuity Plans

Goodwin on

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

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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