Tag: BCP

SEC Issues New Cyber Risk Alert to Financial Firms

Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July 10, 2020 by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE).  This new risk alert on ransomware cautions investment advisers, broker-dealers, and investment companies that OCIE has recently observed a marked … Continued

Eventually, We Have to Go Back – BCP Post-Mortem

We don’t know when, but at some point we will have to put on shoes, get a haircut and return to the office. As compliance professionals, we are trained to look ahead and should be planning our action steps for when we return. Gather Firm Records and Other Property. You should have a good sense … Continued

Pandemic Puts Business Continuity Planning to the Test; Regulators Take Notice

The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the financial markets, with ripple effects to many if not all financial advisory firms.  Solid Business Continuity Plans (“BCPs”) can help financial advisers stabilize their operations and cope with this dramatic change of circumstances. Here are … Continued


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