1. Articles in category: Business Continuity & Succession

    1-13 of 13
    1. Barron’s: Calculating the cost of climate change

      Barron’s: Calculating the cost of climate change

      Since taking over the global supply chain for Merck in 2012, Craig Kennedy has handled tornadoes, droughts, and powerful storms.

      Hurricane Maria, which tore through Puerto Rico in 2017, was a more onerous challenge: Merck’s cholesterol drug Atozet and its chemotherapy drug Temodar are manufactured on the island. Kennedy got the factory up and running in a week, but the roads were still a wreck, so he began planning for a new supply chain out of Singapore.

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    2. SEC Cybersecurity Risk Alert Emphasizes Proactive Compliance and Ongoing Vigilance

      SEC Cybersecurity Risk Alert Emphasizes Proactive Compliance and Ongoing Vigilance

      On August 7, 2017, the Securities and Exchange Commission (SEC) released its latest cybersecurity risk alert, detailing findings from the examination of 75 broker-dealers, investment advisers and investment companies carried out by its Office of Compliance Inspections and Examinations (OCIE) pursuant to its 2015 cybersecurity examination initiative.

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    3. How to keep client data safe from hackers

      Clients’ financial information is a valuable commodity that is vulnerable to cyber thieves, and the sheer number of threats makes it possible that an advisory firm could come under attack.

      After all, one company alone — Yahoo —discovered late last year that more than 1 billion user accounts were compromised in 2013. The U.S. Census Bureau currently puts the nation’s population at about 325 million.

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    4. FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers” - Jd Supra (press release)

      FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers” - Jd Supra (press release)

      On December 4, 2015, the Financial Industry Regulatory Authority (“ FINRA ”) filed with the Securities and Exchange Commission (the “SEC”) a proposed rule that would create a separate set of rules for firms that meet the definition of a ''Capital ...

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    1-13 of 13
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