Description
In the fast-paced world of financial services, regulatory compliance and operational resilience are non-negotiable. Bryghtpath’s FINRA Business Continuity Maturity Model is designed specifically for broker-dealers and financial firms to assess, strengthen, and align their business continuity and emergency contact programs with FINRA Rules 4370 (Business Continuity Plans) and 4380 (Emergency Preparedness).
Overview
Bryghtpath’s FINRA Business Continuity Maturity Model empowers your organization to:
- Assess current continuity and preparedness practices against the expectations outlined in FINRA Rules 4370 and 4380.
- Identify maturity across governance, plan structure, backup arrangements, testing, emergency communications, and key personnel designations.
- Build a clear roadmap for closing compliance gaps and enhancing your firm’s ability to respond to and recover from disruptions.
This Excel-based model is ideal for compliance teams, business continuity leaders, and operational risk professionals seeking a proven, structured approach to FINRA-aligned continuity planning.
What’s Included
When you purchase the FINRA Business Continuity Maturity Model, you receive:
1. Comprehensive Assessment Tool
- Detailed evaluation across multiple categories drawn directly from the requirements and expectations in FINRA 4370 and 4380.
- Structured using Bryghtpath’s proven COBIT-based 0–5 maturity scale with 0.25 increments.
2. Leader’s Guide & Overview
- Step-by-step guidance on how to conduct your assessment.
- Definitions and examples to help interpret maturity levels and document evidence.
3. Automated Scoring & Dashboards
- Built-in scoring logic with dynamic visualizations to help you see where your firm excels and where improvement is needed.
4. Actionable Recommendations
- Clear direction on how to improve maturity in each assessed area.
- Alignment with best practices in financial sector continuity and emergency preparedness.
