Transcription of Business Continuity Plan Template for Small Introducing ...
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Business Continuity Plan Template for Small Introducing ...
Business Continuity plan Template for Small Introducing Firms [Firm Name]. Business Continuity plan (BCP). Updated May 12, 2010. This optional Template is provided to assist Small Introducing firms in fulfilling their need to create and maintain Business Continuity plans (BCPs) and emergency contact person lists under FINRA Rule 4370 ( Business Continuity Plans and Emergency Contact Information). The Template recognizes that many Small Introducing firms rely on parts of a clearing firm's or other entity's BCP for many of the mission-critical functions of the Introducing firm. Nothing in this Template creates any new requirements on clearing firms or other entities, or new requirements for BCPs. Note: Following this Template does not guarantee compliance with or create any safe harbor with respect to FINRA rules, the federal securities laws or state laws.
Business Continuity Plan Template for Small Introducing Firms [Firm Name] Business Continuity Plan (BCP) Updated May 12, 2010 This optional template is provided to assist small introducing firms in fulfilling their need
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