BCP Archives - Elteni

FINRA Keeps Its Business Continuity Rule Intact

Diya Sharma — Thu, 30 Dec 2021 22:50:23 +0000

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

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First Hedge Fund affected by the coronavirus

Elteni LLC — Tue, 10 Mar 2020 13:08:37 +0000

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

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Is your investment adviser business ready to deal with coronavirus?

Elteni LLC — Fri, 28 Feb 2020 18:37:09 +0000

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

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