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 manual provides detailed information about 1st Global’s business continuity plan:

Business Continuity Plan - 1st Global Capital Corp
(Adobe Acrobat file. Get Adobe Reader)

In The News

  • 1st Global President David Knoch Quoted in WSJ

    May 22, 2013
    1st Global President and Chief Operating Officer David Knoch recently appeared in a Wall Street Journal article discussing new research from Fidelity.  (more)

  • Russ Pixler Joins 1st Global

    May 13, 2013
    As a senior financial advisor with Foundations Wealth Management in Sioux Falls, S.D., Russ Pixler, CFP®, has more than 15 years of industry experience in wealth management. His alignment with 1st Global allows him to better assess the financial situations of his clients and develop strategies to create, protect and transfer wealth through the implementation of insurance and investment vehicles.  (more)

  • Nelson & Nelson CPAs Joins 1st Global

    May 13, 2013
    The tax, accounting and financial advisory firm of Nelson & Nelson CPAs, has affiliated with 1st Global. Established in 1927, South Dakota’s oldest existing accounting firm serves individuals and small- and medium-size businesses from its Sioux Falls, S.D., office. Nelson & Nelson CPAs offers comprehensive wealth management services in addition to traditional tax services. Its alignment with 1st Global allows the firm to continue to offer high-quality services that can handle every aspect of clients’ complete financial situations.  (more)