Business continuity plans: An overview

Abstract

This article discusses the need for business continuity plans and includes a broad overview of the requirements imposed on broker‐dealers. A section discusses “top 10” questions for firms to ask themselves when developing a plan. References include NYSE and NASD rules and other resources available for developing a plan. Key requirements and critical dates also are included.

Citation

Lavell, J.L. (2004), "Business continuity plans: An overview", Journal of Investment Compliance, Vol. 5 No. 2, pp. 62-64. https://doi.org/10.1108/15285810410636172