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
(Adobe Acrobat file. Get Adobe Reader)

In The News

  • 1st Global Celebrates the End of Tax Season at Top Golf

    May 4, 2016
    1st Global recently held a company engagement event at Top Golf in order to participate in an enjoyable activity with co-workers, recognize company and individual achievements, and provide answers to questions employees had regarding the company.  (more)

  • 1st Global Responds to DOL Conflict of Interest Rule Announcement

    Apr 8, 2016
    The U.S. Department of Labor released its highly anticipated Conflict of Interest Rule (or Fiduciary Rule) on Wednesday, April 6. 1st Global, a research and consulting partner to select CPA and wealth management firms, commends the DOL for responding to industry feedback and delivering what may be a more workable rule.  (more)

  • 1st Global Raises More Than $3,000 for Local Charity

    Mar 29, 2016
    The 1st Global bowling league, an annual league comprising employees throughout the company, recently participated in a fundraiser for The Birthday Party Project, a local North Texas charity that hosts birthday parties for homeless children.  (more)