News & Insights: Disaster Recovery & Incident Response

10 Things to Document When Implementing Your Business Continuity Plan

In the COVID-19 pandemic, widespread shutdowns and stay-at-home orders are in place. Under these circumstances, maintaining thorough documentation of your firm’s Business Continuity Plan implementation is critical.

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

The SEC expanded on a recently released relief package to extend due dates for certain filings and documentation.

COVID-19 UPDATE: How the SEC Continues Its Response Efforts

As efforts to contain the COVID-19 virus expand worldwide, the SEC remains focused on maintaining a fair and orderly market and continuing its operations. The Commission has transitioned most of its staff to work remotely and conducts remote exams and enforcement.

What Does OCIE Look for When Examining Cybersecurity Practices?

The Commission published “OCIE Cybersecurity and Resiliency Observations,” which outlines effective cybersecurity practices utilized by recently examined firms.

Natural Disasters Emphasize Need for Business Continuity and Transition Plans

Advisers should prioritize the implementation of written business continuity and transition plan to minimize operational disruptions arising from natural disasters, data security breaches, and the departure of important personnel. To maximize the efficiency of the written business continuity and transition plan, advisers should focus on a variety of business components

Legal Risks Associated with Cyberattacks

The recent ransomware attack that has affected over 100,000 organizations has emphasized how immense the potential impact can be on the financial services industry. Firms must protect their network from these threats through various technical lines of defense.

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