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Regulatory Requirements › Financial Services Industry › Business Continuity Plans

American Conference Institute (ACI)

[Webinar] Top 5 Game-Changing Regulatory Shifts Impacting Financial Compliance and Board Accountability - September 24th, 1:00 pm...

American Conference Institute (ACI) on

Don’t miss this complimentary webinar spotlighting the five most pressing regulatory developments reshaping compliance in Canada’s financial sector. From board-level liability, to shifting enforcement priorities, get up to...more

Burr & Forman

FINRA Shares Firms’ WFH Practices

Burr & Forman on

On May 28, 2020, FINRA issued its Regulatory Notice 20-16 sharing firms’ WFH practices observed to date.  They include common practices adopted across most industries, as one would expect....more

BCLP

COVID-19: The New Frontier for Mortgage Lenders and Servicers in the U.S.

BCLP on

The coronavirus (COVID-19) outbreak is causing widespread public concern and economic impacts for individuals and businesses across the globe. Most mortgage lenders and servicers already have business continuity plans in...more

Bracewell LLP

Regulating Broker-Dealers at a (Social) Distance: FINRA Provides COVID-19 Business Continuity Planning Guidance and Regulatory...

Bracewell LLP on

In just a short period of time, the COVID-19 pandemic has triggered a revolution in how we live our lives and do our jobs. These changes have extended to the regulation of the financial industry. While FINRA emphasizes that...more

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