Videos

SEC Sweep Exam Priorities – Business Continuity

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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.

Discussion Topics:  

  • 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 cyber security 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?

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