News & Analysis as of September 22, 2024

Hurricane Sandy › Securities and Exchange Commission (SEC)

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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 +

Financial Services Legislative and Regulatory Update -- September 23, 2013

Mintz - Public Finance Viewpoints on 9/23/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Welcome to fall, which used to be marked by events like apple...more

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

Foley Hoag LLP on 9/20/2013

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

Orrick - Finance 20/20 on 9/3/2013

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

SEC Exam Review Prompts Risk Alert on Adviser Business Continuity Plans

Goodwin on 9/3/2013

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

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

Katten Muchin Rosenman LLP on 8/27/2013

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

Regulators Issue Joint Guidance on Business Continuity Planning

BakerHostetler on 8/23/2013

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

Hurricane Sandy Redux: Agencies Recommend Business Continuity Planning

Broker-Dealer Compliance + Regulation on 8/22/2013

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

How’s Your BCP?

Brooks Pierce on 8/21/2013

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

Policy Observer - July 2013

Orrick, Herrington & Sutcliffe LLP on 8/1/2013

Getting Over the Bar: Second Circuit Requires Actual Payment of Underlying Limits In Order to Trigger Excess D&O Policies - In June, the Second Circuit held that two Federal Insurance Company ("FIC") excess D&O...more

SEC to Extend Filing Deadlines for Filers Affected by Hurricane Sandy

Katten Muchin Rosenman LLP on 11/13/2012

On November 5, the Securities and Exchange Commission announced that it would extend filing deadlines for issuers affected by Hurricane Sandy and its aftermath...more

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Hurricane Sandy › Securities and Exchange Commission (SEC)

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