SEC Sweep Exam Priorities – Business Continuity
Watch the Full Webinar Presentation!
Marc Capobianco, EVP of FinTech at Thrive, John Stiles, Founder & CEO of C/Bridge Strategic Advisors and Michael Dale, CFO at Eastward Capital Partners discuss how financial firms need to review and update their business continuity plans to comply with regulators expectations.
- Does the firm have policies, procedures, guidance or other information tailored to address the continuity of business operations during a pandemic?
- Has your firm activated its BCP in response to COVID-19?
- Does your firm’s BCP address the resiliency practices of third-party vendors, service providers and partners?
- How has your firm addressed cybersecurity policies and procedures regarding employee remote access?
- Does your firm have any specific limitations in its ability to operate critical systems and operations during the pandemic?