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FINRA Keeps Its Business Continuity Rule Intact

FINRA Rule 4370 requires firms of all sizes to be prepared for business disruptions by maintaining a business continuity plan. After conducting a "Pandemic Review" of the rule, which included extensive feedback from internal and external stakeholders, FINRA decided to keep the rule as is. A majority of the feedback received indicated that Rule 4370

2022-01-07T18:25:58-05:00December 30th, 2021|BCP, Cyber, FINRA|

First Hedge Fund affected by the coronavirus

The coronavirus has hit a well-known Hedge Fund’s NY based office. An employee at Point72 tested positive last week. Employees were told to work from home while the office undergoes a deep cleaning. Headlines like this may leave you wondering what you should be doing for your business. As a follow-up to our article sent

2020-12-31T18:43:29-05:00March 10th, 2020|BCP, coronavirus, Hedge Fund, Investment Adviser|

Is your investment adviser business ready to deal with coronavirus?

When you hear coronavirus, what emotions does it invoke? Does it invoke any emotions whatsoever? Or is it just another thought that you pushed to the back of your mind? As an investment manager you are probably concerned about how it affects your portfolio, but have you thought about how it can affect your people

2020-12-31T18:43:33-05:00February 28th, 2020|Cyber, Hackers, Hedge Fund, Investment Adviser, Private Equity|
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