2025年1月28日 · FINRA requires firms to create and maintain written business continuity plans (BCPs) relating to an emergency or significant business disruption. Rule 4370—FINRA's emergency preparedness rule — spells out the required BCP procedures. A firm's BCP must be appropriate to the scale and scope of its business.BCP procedures must be reasonably …

The template is provided as a starting point for developing your firm’s plan. The obligation to develop a business continuity plan (BCP) is not a “one-size-fits-all” requirement, and you must tailor your plan to reflect the size and needs of your firm. FINRA Compliance Tool Disclaimer. This optional tool is provided to assist member firms.

How often should our firm review its Business Continuity Plan (BCP) under FINRA Rule 4370? FINRA Rule 4370 requires each firm to conduct an annual review of its BCP. In addition to an annual review, your firm must update its BCP in the event of any material change to your firm's operations, structure, business, or location. 6.

2021年12月23日 · Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts …

2010年5月12日 · BCP. C. Plan Location and Access Our firm will maintain copies of its BCP plan and the annual reviews, and the changes that have been made to it for inspection. An electronic copy of our plan is located on [server name ] in the [ file/folder name ]. Rule: FINRA Rule 4370(b), (d) and (e). III. Business Descriptio n

2020年3月9日 · Summary Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also …

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in the United States. Each member firm is also encouraged to review its BCP to consider pandemic preparedness and to review its emergency contacts to ensure that FINRA has a reliable means of contacting the firm. This Notice also provides pandemic-related guidance and regulatory relief to member firms from some requirements.

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2021年8月13日 · Vendor BCP practices and participation in your firm’s BCP testing, including frequency and availability of test results; disclosure of relevant pending or ongoing litigation; relationships between Vendors, sub-contractors and other third-parties; firm and regulator access to books and records; and