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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION Chapter 29 Reserved Chapter 30 Business Continuity Planning Clifford E. Kirsch § 30:1 Introduction.................................................................. 30-1 § 30:2 Text of FINRA Rule 4370 ............................................. 30-2 § 30:3 Business Continuity Plan Requirements ...................... 30-4 § 30:3.1 Coverage and Required Elements.......................... 30-4 [A] Reliance on a Parent Corporation’s Plan .............. 30-5 [B] Reliance on Others ............................................... 30-6 [B][1] Clearing Firm .................................................... 30-6 § 30:3.2 Approval, Updating, and Annual Review.............. 30-6 § 30:3.3 Customer Disclosure Requirements ..................... 30-6 [A] Plan Modifications................................................ 30-7 § 30:4 Emergency Contact Information .................................. 30-7 Chapter 31 Outsourcing by Financial Services Firms Stuart D. Levi § 31:1 Overview....................................................................... 31-3 § 31:1.1 Benefits of Outsourcing Financial Services ........... 31-4 § 31:1.2 Risks of Outsourcing Financial Services ............... 31-4 § 31:2 Drafting Considerations ............................................... 31-5 § 31:2.1 Compliance with the Law..................................... 31-5 § 31:2.2 Compliance with Policies and Procedures ............ 31-6 § 31:2.3 Subcontracting ...................................................... 31-6 § 31:2.4 Key Staff................................................................ 31-6 § 31:2.5 Termination .......................................................... 31-7 § 31:2.6 Security ................................................................. 31-7 § 31:2.7 Indemnification .................................................... 31-7 § 31:2.8 Audits.................................................................... 31-8 § 31:2.9 Data Protection..................................................... 31-8 § 31:3 U.S. Regulatory Framework .......................................... 31-8 § 31:3.1 Federal Reserve Board ........................................... 31-9 [A] Overview............................................................... 31-9 [B] Risk Mitigation in Financial Services Outsourcing ........................................................ 31-10 [B][1] Identifying Challenges and Risks .................... 31-11 [B][2] Best Practices for Mitigating Risk.................... 31-12 [C] FRB Supervisory Letter: Outsourcing of Information and Transaction Processing ............ 31-14 § 31:3.2 Office of Comptroller of Currency...................... 31-16 [A] Overview............................................................. 31-16 [B] Foreign-Based Third-Party Service Providers....... 31-17 civ

[C] Risk Management for Banks............................... 31-18 [D] Standards for Safeguarding Customer Information......................................................... 31-19 [E] Country Risk ...................................................... 31-20 [F] Third-Party Relationships ................................... 31-21 [F][1] Categories of Risk............................................ 31-21 [F][2] Risk Management............................................ 31-22 [F][3] Oversight ......................................................... 31-23 § 31:3.3 Federal Deposit Insurance Corporation .............. 31-24 [A] Overview............................................................. 31-24 [B] Foreign-Based Third-Party Service Providers ............................................................. 31-24 [B][1] Categories of Risk............................................ 31-25 [B][2] Risk Assessment.............................................. 31-25 [C] Offshoring of Data Services ................................ 31-27 [C][1] Identifying Risks.............................................. 31-27 [C][2] Recommendations and Best Practices.............. 31-29 [D] Country Risk Management ................................ 31-32 [E] [E][1] [E][2] [E][3] Outsourcing Technology Products and Services ............................................................... 31-32 Effective Practices for Selecting a Service Provider............................................................ 31-33 Tools to Manage Technology Providers’ Performance Risk: Service Level Agreements ...................................................... 31-34 Techniques for Managing Multiple Service Providers .......................................................... 31-35 [F] Compliance with Bank Service Company Act.... 31-37 § 31:3.4 Office of Thrift Supervision ................................ 31-38 [A] Overview............................................................. 31-38 [B] Information Technology and Risk Controls........ 31-38 [C] Third-Party Arrangements .................................. 31-40 [C][1] Regulation and Examination Requirements .... 31-40 [C][2] Management Responsibilities .......................... 31-41 [C][3] OTS Supervision.............................................. 31-43 [D] Internal Controls and Outsourcing .................... 31-43 § 31:3.5 National Credit Union Administration .............. 31-44 [A] Overview............................................................. 31-44 [B] Due Diligence Over Third-Party Service Providers ............................................................. 31-45 § 31:3.6 Federal Financial Institutions Examination Council ............................................................... 31-45 [A] Overview............................................................. 31-45 [B] Table of Contents Evaluating a Financial Institution’s Risk Management Processes ....................................... 31-46 (Broker-Dealer Reg., Rel. #3, 5/13) cv

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