It's Not A Matter Of If It's A Matter Of When Business Continuity Plans - Are You Prepared? by Warren Forest
In light of the recent events concerning the Corona virus, that have affected all of us, it is very important that Broker/Dealers ("B/D"), and Registered Investment Advisers ("RIA") look at their systems and procedures regarding Significant Business Disruptions ("SBD"). Is your business prepared to handle a disruption? Do you have a written plan in place? Has your plan been tested? These questions, and others need to be addressed now, to insure that your operations can continue during times of duress.
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FINRA - The Year In Review
FINRA regularly examines Member Firms. Most of the time, these examinations are routine in nature and are done to ensure that Broker/Dealers are compliant with industry rules and regulations. However, when FINRA suspects that a firm has violatedsecurity industry rules, regulations, or laws, the examinations are considered to be "for cause".
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Are You Ready For SEC Regulation BI? It's in your "Best Interest" to Comply
The securities industry is all about full disclosure. How, what, why and when does a financial professional service their clients? This answers to these questions can become difficult to answer, especially when the financial professional has multiple ways and means, to service an account. For example
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