Blog » Asset Management


5 Takeaways from the SEC’s Review of Investment Firms’ Business Continuity Programs

5 Takeaways from the SEC’s Review of Investment Firms’ Business Continuity Programs

Superstorm Sandy shutdown the New York Stock Exchange for two business days in October of 2012. The last time the NYSE shutdown was on Sept. 11, 2001, and the only time in history it was closed for two days was in 1888, also due to weather issues. As we approach the one year anniversary of Superstorm Sandy, it’s important to note what the Securities and Exchange Commission has done to ensure business can continue operations and fulfill their fiduciary responsibility to their clients.

Read More