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Hurricane Sandy › Risk Management

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

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

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