15 min listen
Business in the Time of COVID-19: BCPs, Regulatory Relief & More
FromFINRA Unscripted
ratings:
Length:
19 minutes
Released:
Mar 31, 2020
Format:
Podcast episode
Description
The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. The shift has a number of implications when it comes to business continuity plans, the security of firm’s networks and the ability to comply with various rules and requirements. On this episode, our first to be remotely recorded, we talk to FINRA’s Chief Legal Officer Bob Colby and Head of Member Supervision Bari Havlik to learn what FINRA expects at this time and how firms—and FINRA—are adapting to the current situation.Resources mentioned in this episode:Regulatory Notice 20-08: Pandemic-Related Business Continuity Planning, Guidance and Regulatory ReliefRule 4370: BCPs and Emergency Contact InformationCOVID-19 Resource PageCOVID-19 FAQsCybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic
Released:
Mar 31, 2020
Format:
Podcast episode
Titles in the series (100)
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation: When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views. by FINRA Unscripted