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Business Continuity Planning (BCP) - FINRA. org FINRA's Business Continuity Plan FINRA's BCP specifies how we will respond to events that significantly disrupt our business and addresses safeguarding our employees and property; ensuring data backup and recovery; restoring mission-critical systems as well as critical regulatory and operational activities; alternative communications with investors, member firms, associated persons, and other
Small Firm Business Continuity Plan Template - FINRA. org The obligation to develop a business continuity plan (BCP) is not a “one-size-fits-all” requirement, and you must tailor your plan to reflect the size and needs of your firm
Regulatory Notice 21-44 | FINRA. org Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review) The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
Business Continuity Plans (BCPs) - FINRA. org The Business Continuity Plans (BCPs) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices
Business Continuity Plan Template for - FINRA. org This optional template is provided to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370(Business Continuity Plans and Emergency Contact Information) This template is provided as a starting point for developing your firm’s plan The obligation to develop a business continuity plan (BCP)is not a “one-size-fits-all” requirement, and you must tailor your
4370. Business Continuity Plans and Emergency Contact Information (a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption Such procedures must be reasonably designed to enable the member to meet its existing obligations to customers In addition, such procedures must address the member's existing relationships with other broker-dealers and counter-parties
Business Continuity Planning - FINRA. org 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
Guidance on MAP Considerations for Member Firms Engaging in Succession . . . An updated business continuity plan (BCP), if applicable The BCP should contain information on how your firm contacts its customers in the event of a system outage, and how customers can access their funds and securities in the event of a system outage
Regulatory Notice 20-08 | FINRA. org Summary Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States Each member firm is also encouraged to review its BCP to