Transcription of Business Continuity Planning - SEC.gov
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Business Continuity Planning - SEC.gov
Business Continuity Planning Hurricane Sandy caused significant and wide-ranging damage across the northeast coast of the United States on October 28 and October 29, 2012, which led to the closure of the equities and options markets on October 29 and October 30, 2012. These events prompted the Securities and Exchange Commission s Office of Compliance Inspections and Examinations ( SEC ), the Financial Industry Regulatory Authority ( FINRA ), and the Commodity Futures Trading Commission s Division of Swap Dealers and Intermediary Oversight ( CFTC ) to jointly review the Business Continuity and disaster recovery Planning of firms. The SEC, FINRA and CFTC contacted firms with a significant market presence to gain an understanding of how the firms were impacted by the events surrounding Hurricane Sandy; specific emphasis was given to firms implementation of their Business Continuity plans ( BCPs ) and disaster recovery procedures.
Business Continuity Planning. Hurricane Sandy caused significant and wide-ranging damage across the northeast coast of the United States on October 28 and October 29, 2012, which led …
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