Pandemic Ready: What Your Clients Need From You

March 13, 2020 by Lloyd Lofton

All broker-dealers are thinking about which employees might be able to work from home, as suggested by the Financial Industry Regulatory Authority.

Even with increased telework, brokers and dealers need to be informed and proactive to work with clients, market needs and regulators as more information continues to be released and reported.

What exactly should broker-dealers be prepared for?

• Pandemic-related continuity planning needs.
• The flexibility of existing business continuity plans.
• How current pandemic concerns and issues may affect existing or future needs of business continuity plans.

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Originally Posted at ThinkAdvisor on March 12, 2020 by Lloyd Lofton.