Tag Archives: Business Continuity

FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing

As required by Regulation Systems Compliance and Integrity (Regulation SCI), FINRA has adopted new Rule 4380 related to mandatory member firm participation in business continuity and disaster recovery (BC/DR) testing. The new rule authorizes FINRA to designate firms that must participate in FINRA’s BC/DR testing under Regulation SCI, which will be conducted once per year. … Continue reading FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing

2014 NSCP Southern Regional Meeting – Dallas

National Society of Compliance Professionals Panel Information Date: Thursday, April 10, 2014 Time: 11:30 – 12:30 Where: Haynes and Boone, LLP, 2323 Victory Avenue, Suite 700, Dallas, Texas 75219 Session 2a GI – Cyber Security, Data Protection & Business Continuity (BC) Latest Hacker Ploys & Cyber Security Scams Protecting Client Information Employee Training, including the … Continue reading 2014 NSCP Southern Regional Meeting – Dallas

New Regulatory Guidance Challenges: Business Continuity Planning for the Financial Industry

Based upon the wide spread devastation caused by Hurricane Sandy, and the numerous other natural disasters such as tornadoes, flooding and wildfires that have occurred in the last few years, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), and the Commodity Futures Trading Commission’s Division … Continue reading New Regulatory Guidance Challenges: Business Continuity Planning for the Financial Industry

The LeGaye Law Firm Cited in Blog on Business Continuity

An article by Daniel LeGaye of the LeGaye Law Firm titled “New Regulatory Guidance for Business Continuity Planning” was cited in a Blog titled  “Preparing for disaster: Strategies for extending continuity” which was posted by Ebony Hillsman, on the CBeyond Expert Advice Center.  The LeGaye Law firm article cited supported Ms. Hillsman’s position that small … Continue reading The LeGaye Law Firm Cited in Blog on Business Continuity

FINRA AML & BCP Rule Changes

January 2010 FINRA Rule Changes Related To Anti-Money Laundering and Business Continuity Plans   With the New Year having arrived, it is important to note that FINRA has already commenced the implementation of their 2010 exam cycle examination schedule. With that said, it is also an excellent time for you to commence the review, update and … Continue reading FINRA AML & BCP Rule Changes