Financial Transactions and Regulatory Compliance Review

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Mega-Disasters Tests Firms’ Emergency Business Continuity Plans

This hurricane season might be the worst on record, and the structural damage and economic impact wrought by these storms are enough to imperil the business continuity plans of even the most seasoned firms. This is a true test for them. And for business owners fortunate enough to lie a safe distance away, it is important to sympathize—but also to watch and learn.

A little over a year ago, the Securities and Exchange Commission announced a proposed new rule requiring investment advisers registered with the SEC to adopt and implement written business continuity and transition plans.  The purpose was a simple one: to reduce risks of a significant disruption—say, from a natural disaster or a cyber attack against a company’s operations—in order to minimize client and investor harm.  The hurricanes of August and September easily qualify as a perfect test case.


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