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FINRA, CFTC and SEC Issue Report on Disaster Planning, Sandy

Friday, Sep 06 2013
Regulatory & Compliance
Written by  PFA News

Regulators have studied the impact of Superstorm Sandy on a handful of major financial firms and have issued a report on the matter. So reports lexology.com.

The report makes a variety of recommendations, including considerations for alternative locations, understanding the impact of widespread disruptions, managing vendor relations, and communicating with clients.

Read the full article from lexology.com.

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