At Risk: SEC Approves Rules Requiring Business Continuity Plans

Topics:
Regulatory issues,
Risk Analysis and Management
Tags:
Business Continuity,
Business Continuity Planning,
Business Operations,
Business Security,
It Services,
Management,
Marsh,
SEC,
Strategy
Source:
Marsh

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Overview: The Securities and Exchange Commission (SEC) recently approved a rule requiring each brokerage member to create and maintain a business continuity plan. Rule 35101 requires that each member's plan identify "Reasonably designed" procedures that will enable it to meet its existing obligations to customers in the event of an emergency or significant business disruption. The rule also requires that a member furnish its business continuity plan promptly if requested by the staff of the National Association of Securities Dealers, Inc. (NASD).

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Format: PDF | Size: 72KB | Date: Jul 2004 | Pages: 3

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