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.
Business Continuity Planning: a Real-World Test
Mar 23, 2020 5:20:55 PM / by Bo J. Howell posted in Investment Advisers, Investment Managers, Brokers, Compliance Testing, Coronavirus, BCP