Business Continuity

Business Continuity

Business Continuity

FINRA Rule 4370 requires member firms to create and maintain a Business Continuity Plan (BCP) identifying procedures relating to any significant business disruption to the member’s business that are reasonably designed to enable the member to meet its existing obligations to its customers. In addition, BCP procedures must address existing relationships with clearing firms, regulators and other vendors that are critical to the operation of its business. The following summary provides information about 1st Global’s business continuity plan:

Business Continuity Plan - 1st Global Capital Corp
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In The News

  • 1st Global’s Jeff Magson’s Article Featured on CNBC

    May 17, 2017
    1st Global Executive Vice President and Client Experience Officer Jeff Magson’s article “Advisors Should Practice What They Preach and Offer Fee Diversification” was recently featured on CNBC’s “Advice and the Advisor” special report, which is a how-to guide for financial advice geared toward both consumers and professionals.  (more)

  • 1st Global’s Bernard Ingram Contributes to INSIDE Public Accounting Article

    May 16, 2017
    1st Global Assistant Vice President of Business Development Barnard Ingram recently provided insight regarding the accounting industry’s efforts to increase diversity within the profession in an article “Conversations about Diversity: From Hitting the Numbers to Shifting the Culture” for INSIDE Public Accounting.  (more)

  • 1st Global One of 9 Firms Adopting More Transparent Fee Disclosure Model

    May 16, 2017
    1st Global recently received media coverage in multiple publications after the North American Securities Administrators Association announced earlier this month that a number of firms have agreed to use a fee disclosure model developed by NASAA.  (more)