Business Continuity Planning (BCP) - FINRA.org
2021年12月23日 · FINRA requires firms to create and maintain written business continuity plans (BCPs) relating to an emergency or significant business disruption. Rule 4370—FINRA's …
Business Continuity Planning FAQ - FINRA.org
A firm that sells variable insurance products cannot defer its regulatory and customer protection responsibilities to a third party. A firm may, however, tailor its BCP to the needs and business …
Small Firm Business Continuity Plan Template - FINRA.org
The template is provided as a starting point for developing your firm’s plan. The obligation to develop a business continuity plan (BCP) is not a “one-size-fits-all” requirement, and you must …
Business Continuity Plans (BCPs) - FINRA.org
The Business Continuity Plans (BCPs) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from …
Regulatory Notice 21-44 - FINRA.org
2021年12月23日 · Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency …
Business Continuity Plan (BCP) Updated May 12, 2010 This optional template is provided to assist small introducing firms in fulfilling their need to create and maintain business continuity …
Regulatory Notice 20-08 | FINRA.org
2020年3月9日 · Summary Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including …
3510. Business Continuity Plans - FINRA.org
(b) Each member must update its plan in the event of any material change to the member's operations, structure, business or location. Each member must also conduct an annual review …
Regulatory Notice 19-06 | FINRA.org
2019年2月25日 · While each member firm needs to conduct its own risk analysis to determine where critical impact points and exposures exist within the firm and with its counterparties and …
BCP tests to evaluate whether all day-to-day functions, including trade processing, can be performed regardless of staff location. In addition, firms are encouraged to keep their BCPs up …
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