News & Analysis as of

Business Continuity Plans Vendors

Mitratech Holdings, Inc

[Virtual Event] GRC Exchange & Tech Expo - August 28th, 11:00 am - 12:00 pm EST

All buzzwords aside — how is your risk and compliance technology really performing? Join us for a focused virtual event where experts will share tips for simplifying processes while maturing GRC programs, aligning...more

Mitratech Holdings, Inc

Red Flags In Your Vendor’s Business Continuity Plan

Ensure your vendors are crisis-ready by recognizing these key indicators of weak continuity planning. The interconnected nature of modern business means that your vendors’ operational resilience can, and frequently does,...more

Mitratech Holdings, Inc

Managing Supply Chain Risk in a Platform-driven World

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Managing your vendor network and supply chain used to be easier. You knew who all your suppliers were, you could visit their sites, and you knew them as individuals you’d worked with for many years....more

Burr & Forman

FINRA Vendor-Management Guidance: You Can’t Outsource Responsibility

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On August 13, 2021, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 21-29, collecting guidance on outsourcing and vendor management.  The Notice was prompted by increased reliance on outsourcing...more

White & Case LLP

Vendor performance during social isolation

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White & Case Technology Newsflash - Every industry is at a critical juncture in evaluating how to successfully continue business operations in a period of unprecedented disruption. We have received a number of inquiries...more

Herbert Smith Freehills Kramer

Cybersecurity: the SEC Provides Guidance on Well-Known and Emerging Best Practices

At the end of January, the U.S. Securities and Exchange’s Office of Compliance Inspections and Examinations (OCIE) released its “Observations on Cybersecurity and Resiliency Practices” (Observations)....more

NAVEX

Entering the Era of Operational Resilience

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Compliance and risk management professionals take naturally to acronyms and terms of art that help us understand what we do, so let me introduce one that’s likely to become more important in years to come. Operational...more

Morgan Lewis

SEC Proposes Business Continuity and Transition Plan Requirements for Investment Advisers; Staff Issues Guidance for Registered...

Morgan Lewis on

On June 28, 2016, the US Securities and Exchange Commission (SEC) proposed new Rule 206(4)-4 (Proposed Rule) under the Investment Advisers Act of 1940, as amended (Advisers Act) and also proposed amendments to certain...more

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