Business Continuity Planning: a Real-World Test
Mar 23, 2020 5:20:55 PM
Ever since the SEC and other regulatory bodies (i.e., FINRA) identified the possibility of “significant business disruptions” many years ago and mandated that registrants create, maintain, and test a Business Continuity Plan (“BCP”), these plans have rarely been taken very seriously until they are needed. A story has circulated over the years that an independent broker-dealer in Garland, Texas nam...
