Skip to content

menu

HomeAboutServicesContact

Search

Close

Enter Search Terms

Financial Services Observer

News & Commentary on Financial Regulatory and Compliance Matters

business continuity plans

Subscribe to business continuity plans via RSS

FINRA Releases 2018 Annual Regulatory and Examinations Priorities

By William Mack on January 15, 2018

Posted in FINRA, Technology

As it does every January, FINRA released its annual Regulatory and Examinations Priorities Letter identifying areas of examination focus for the coming year, recurring challenges faced by firms, and possible…
Continue Reading FINRA Releases 2018 Annual Regulatory and Examinations Priorities

SEC IM Guidance Update – Investment Company Business Continuity Plans

By Richard M. Cutshall on July 5, 2016

Posted in Financial Regulation, Investment Regulation, Risk Management, SEC

In connection with the Press Release announcing a Rule Proposal regarding adoption of written business continuity and transition plans by SEC-registered investment advisers (see our blog post on the topic),…
Continue Reading SEC IM Guidance Update – Investment Company Business Continuity Plans

Stay Connected

RSS Twitter Facebook LinkedIn

Topics

Select Category

About

Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

Blog Authors Show/Hide

Archives

Select Month

Past Events

Nov. 2 EVENT | Selecting an EB-5 Investment Project

Join GT Shareholders Kate Kalmykov and William Mack, along with America EB-5 Visa, LLC’s CEO Marko Issever, for an informative discussion…

Webinar – Aug. 20: LIBOR Phaseout – Preparing for the Beginning of the End

On Thursday, Aug. 20 at 11 a.m. EST, join GT Shareholders Carl Fornaris and Oscar Stephens for a complimentary webinar…

Recent Posts

Texas Court Blocks CTA Nationwide 4 Weeks Before Key Reporting Deadline
FinCEN Adopts New Anti-Money Laundering Program, Recordkeeping and Reporting Requirements for Certain Investment Advisers
FTC Takes a Jab at AI-Enabled Sitejabber for Deceptive Consumer Reviews
FDIC Extends Comment Period for New Requirements for Custodial Accounts
2024 Update: Best-Practice Compliance Policies for Real Estate Fund Managers (Part Two of Two)

Financial Services Observer

RSS Twitter Facebook LinkedIn

Privacy PolicyDisclaimer

About Greenberg Traurig

Greenberg Traurig, LLP has more than 2750 attorneys in 48 locations in the United States, Europe and the Middle East, Latin America, and Asia. The firm is a 2024 BTI “Leading Edge Law Firm” for delivering on client expectations for the future and is consistently among the top firms on the Am Law Global 100 and NLJ 500. Greenberg Traurig is Mansfield Rule Certified Plus by The Diversity Lab. The firm is recognized for powering its U.S. offices with 100% renewable energy as certified by the Center for Resource Solutions Green-e® Energy program and is a member of the U.S. EPA’s Green Power Partnership Program. The firm is known for its philanthropic giving, innovation, diversity, and pro bono. Web: www.gtlaw.com.

Copyright © 2024, Greenberg Traurig, LLP. All Rights Reserved.

Law blog design & platform by LexBlog