The Importance of Having a Business Continuity Plan


In this course, you will learn about business continuity plans – what they are, why they are vital to all broker-dealers, how to make a plan, as well as implementing and maintaining them, and the potential ramifications of failing to have a business continuity plan in place. The course will also discuss business continuity plans in the face of the Pandemic and other disaster-related threats. 

Learning Objectives

Upon conclusion of this course, you should:

  • have a solid understanding of business continuity plans and what they are;
  • know what the requirements are for a business continuity plan, and who needs to have one;
  • understand the basic elements that comprise a business continuity plan;
  • understand the ramifications for not having a business continuity plan, or not maintaining a plan adequately;
  • have an understanding of some of the disaster-related situations that could arise and how they could be dealt with in establishing business continuity plans

Designed For

This course is designed for Registered Representatives.
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