Business Continuity Plan ("BCP") / Disaster
Will the next event spell DISASTER or RELIEF? How (and how fast) will you recover from fire/smoke damage, flood, storm/severe weather, utility failure, earthquake, building collapse, burglary, human error, employee
malfeasance, computer systems failure/virus/hacker, or the unknown? Do you have your Business Continuity Plan in place?
The BCP template is delivered in WORD for your easy customization. It complies with regulatory requirements for both RIAs and BDs.
The BCP package includes:
- BCP Audit List
- BCP template
- Regulatory checklist
- Preparedness checklist
- Succession plan outline
- Service provider BCP request
- Client disclosure for broker/dealer clients