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Financial Advisor
June 2007
David Lawrence |
Ready, Willing-Able? Is your financial practice prepared to help your clients, or even to function, if disaster strikes?   |
Financial Planning
November 1, 2005
Pamela Black |
Shelter from the Storm National disasters have underlined the importance of business continuity planning for financial advisers -- it's not just about compliance. |
Financial Advisor
October 2004
Chaplin & Giachetti |
Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply? |
Investment Advisor
May 2007
Joni Youngwirth |
Risk Management--for Yourself Think you've got a handle on risks to your financial advisory practice? Think again. |
CIO
October 15, 2000
Sarah D. Scalet |
Weathering The Storm - Contingency Planning Kodak has been developing a business continuity program for more than a decade. Now it's time to move on that knowledge... |
CIO
June 1, 2002
Michael Symmers |
'What If' Technology Planning Experience has shown that asking 'What if?' is the best way to guard against 'Why me?' |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
Entrepreneur
April 2003
Daniel Tynan |
In Case of Emergency A smoke alarm or a life preserver may save your life, but they won't save your business. You need a real disaster plan now. Your business's survival depends on it. |
Registered Rep.
November 1, 2013
Megan Leonhardt |
The Risks of a Solo Practice Solo advisors face many unique challenges, but perhaps the biggest is that they are, in bad times as well as good, solo. |
Investment Advisor
July 1, 2011
Thomas D. Giachetti |
Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam. |
Commercial Investment Real Estate
Mar/Apr 2006
Barry B. LePatner |
Are You Prepared? While disaster management planning is likely to be low on commercial property owners' to-do lists, unexpected events such as Hurricane Katrina and the Sept. 11 terrorist attacks have demonstrated the importance of having a disaster management strategy. |
T.H.E. Journal
September 2007
Charlene O'Hanlon |
Disaster Recovery :: Courting Disaster Districts that are not prepared in the event of fire, storm, earthquake, or whatever else nature may bear are asking for trouble. |
Insurance & Technology
December 6, 2007
Nathan Conz |
Insurers View Disaster Recovery and Business Continuity As More Than IT Issues To maintain operations and service levels in the face of a catastrophe, insurers are increasingly viewing disaster recovery and business continuity plans full-fledged business initiatives. |
The Motley Fool
July 5, 2006
S.J. Caplan |
Terrorism and Market Preparation The market proved itself robust in the aftermath of Sept. 11 and is more prepared and resilient now than ever to face a future threat. The industry is correctly focused more on resolving the effects of a disaster rather than pinpointing the cause. |
IndustryWeek
January 1, 2004
Traci Purdum |
The Show Must Go On Having a contingency plan and being able to execute it will ensure the bottom won't fall out of your bottom line. |
PHONE+
November 16, 2009
Cara Sievers |
Helping Customers Plan For Disaster MegaPath offers up business continuity planning checklist. |
CRM
November 1, 2005
Marshall lager |
When Disaster Strikes Emergency services operate like any other business; those with weak communication and slow response to customer needs fail while good CRM practices can greatly improve an organization's ability to take care of its customers and improve the bottom line. In this case, the bottom line is lives saved. |
Registered Rep.
September 14, 2011
Diana Britton |
Wealth Managers Respond to Irene Aftermath For some wealth managers, Hurricane Irene meant fielding calls from clients or prospects needing their financial expertise. |
Wall Street & Technology
September 21, 2004
Maria Santos |
Fine-tuning the BCP Sept. 10 marked the last of several SEC-approved deadlines for NASD and New York Stock Exchange members to implement business continuity standards. |
Bank Systems & Technology
February 27, 2006
Deena M. Amato-McCoy |
Planning for Continuity The severity of the 2004 and 2005 hurricane seasons taught financial institutions that disaster recovery programs alone cannot protect their businesses, forcing banks to reevaluate the strength of their backup plans. |
Entrepreneur
July 2008
Chris Penttila |
Ready for Anything Make sure your business is fully prepared for when disaster strikes. In fact, having a disaster plan can actually help your business grow during good times. |
Investment Advisor
August 2006
Thomas D. Giachett |
Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process. |
On Wall Street
October 1, 2011
Alan J. Foxman |
Preparing for Backup Advisor Q&As: Solo practitioners backup each other?... Upcoming requirements mean mid-size advisors must register with states?... Disclosing old misdemeanors?... more... |
Financial Planning
October 1, 2013
Suzanne Sataline |
One Year After Sandy, Lessons for Advisors A year after Sandy, advisors say they learned to help clients by becoming experts on small business, insurance - even home repair. |
Financial Planning
April 1, 2010
Brian Hamburger |
Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well. |
InternetNews
December 14, 2009 |
EMC Improves Backup, Replication Reporting EMC claims that its Data Protection Advisor eliminates the need for disaster recovery testing. |
Bank Technology News
April 2002
Amy Newell |
Backup, Recovery and Beyond Sept. 11's terrorist attacks heightened awareness about data protection, and industry insiders recommend that financial institutions view the issues in both present and future terms... |
Wall Street & Technology
September 23, 2005
Paul Allen |
BCP: Expect the Unexpected Whatever strategy organizations employ, it is clear that business continuity planning will require a long-term commitment. The London bombings may not lead to a material change in regulatory policies or institutions' internal plans, but they already have turned up the pressure for financial services firms to get their plans in order. |
IDB America
March 2002
Charo Quesada |
Not-so-natural disasters Instead of simply waiting for the next catastrophe, several Latin American governments are focusing on prevention and education... |
Financial Planning
September 1, 2006
Kurt Johnson |
Practice Tips Many disaster recovery plans look good on paper but lack the detail necessary to function in a real disaster. Consider these factors when establishing your recovery procedures. |
Wall Street & Technology
February 14, 2006
Jim Grogan |
Holistic Information Availability While superior disaster recovery capabilities have been a necessity for financial firms, it has become clear that the industry requires a more holistic, proactive approach. |
PC Magazine
December 20, 2006
Matthew D. Sarrel |
Your Disaster Recovery Plan Building a business continuity plan in case of disaster is vital to the survival of your company. Even small businesses should pay attention. |
Investment Advisor
June 2009
Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures. |
Investment Advisor
May 2008
Mark Johannessen |
Embracing Change on Our Own Terms Given the recent announcement by the Treasury Department of an ambitious reform package for the financial services industry, financial planners have no choice but to prepare for change. |
The Motley Fool
June 18, 2007
Rich Duprey |
The Finishing Coat of Homeowners Insurance Just as auto, life, and disability insurance provide protection in the event of a catastrophe, homeowner's insurance should be considered an integral part of your overall financial plan. |
Financial Planning
December 1, 2007
Jane Worthington |
Compliance The Financial Industry Regulatory Authority recently collaborated with the North American Securities Administrators Assocation to introduce the Small Firm Emergency Partner Program. |
Geotimes
November 2005
Megan Sever |
The Increasing Costs of U.S. Natural Disasters Population trends, mitigation efforts and federal disaster relief policies all contribute to encouraging high-risk land use and ultimately to making our society more vulnerable to the costs of natural disasters. |
Bank Technology News
May 2004
David Ng |
Disaster Recovery Takes High Priority Do banking industry preventative measures go overboard? |
Geotimes
December 2004
Lehr Wallace & Millar |
Beating Natural Hazards to the Punch The federal government, along with state and local governments, must better prepare for and help mitigate the costs of natural disasters. |
Insurance & Technology
October 5, 2006 |
Preparing for the Unknown Mike Byam, Vice President, Business Resilience Office, The Hartford, spearheads the firm's aggregated risk management movement. |
CIO
February 24, 2014 |
How CIOs Prepare for the Worst Three CIOs discuss how a successful business continuity plan requires prioritization, awareness and testing |
IDB America
December 2002
Peter Bate |
Outsmarting Mother Nature How Dominican citizens are learning to reduce vulnerability to natural hazards |
Wall Street & Technology
August 22, 2005
Larry Tabb |
Redefining Risk Compliance, continuity, and data and physical security will be the business and enterprise technology issues of the next decade or more. |
PHONE+
September 25, 2009
William Bumbernick |
Selling VoIP as a Disaster Recovery Solution Hosted VoIP improves telecommunications continuity and brings profit opportunity to channel partners. |
Registered Rep.
April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over. |
PHONE+
May 19, 2010 |
iland Treats Home Health Care Company's BC/DR Needs The health care company found a solution in iland Continuity Cloud, which is designed to provide secure, cost-effective business continuity options to enterprises of all sizes. |
Wall Street & Technology
May 15, 2006 |
Time Is Of the Essence In a disaster recovery situation, a business can be irreparably damaged if operations cease for just a few hours, according to a survey. |
CIO
June 29, 2011
Kim S. Nash |
How to Be a Better Leader in a Disaster Catastrophe can strike anywhere. And when it does, your leadership will matter more than the specifics of your business-continuity plan. CIOs who have been through earthquakes and more share advice for calming, caring for and motivating employees who are coping with devastation. |
Entrepreneur
March 2006
Melissa Campanelli |
In Harm's Way? A plan can help you keep your website running in a time of crisis. |
Wall Street & Technology
April 20, 2007
Ivy Schmerken |
Hedge Funds Are Focusing On Disaster Recovery Following the Recent Market Volatility Fund advisory firms have become more conscious of disaster recovery and business continuity to back up applications and data since the February market decline. |
