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. … Continue reading FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing →
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 … Continue reading 2014 NSCP Southern Regional Meeting – Dallas →
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, … Continue reading New Regulatory Guidance Challenges: Business Continuity Planning for the Financial Industry →
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 … Continue reading The LeGaye Law Firm Cited in Blog on Business Continuity →
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 … Continue reading FINRA AML & BCP Rule Changes →
