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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