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 Firms Featured in Accounting Today

    Mar 28, 2014
    The March 2014 issue of Accounting Today featured an in-depth article on CPAs and wealth management. The article centers around New Orleans-based accounting firm Ericksen, Krentel & LaPorte, a 1st Global affiliated firm, and the work being done to expand its services to clients.  (more)

  • 1st Global to Present at JOIM Spring 2014 Conference

    Feb 19, 2014
    Kenneth Blay, 1st Global’s Director of Research, will present “Tax-Cognizant Portfolio Analysis: A Methodology for Maximizing After-Tax Wealth” at the Journal of Investment Management’s (JOIM) Spring 2014 Conference held in San Diego March 16-18.  (more)

  • CPA Practice Advisor: Five Year-end Tips for Accounting Firms on Wealth Management Services

    Jan 23, 2014
    CPA Practice Advisor recently spoke with 1st Global to discuss how accounting and wealth management firms can take steps to prepare themselves for success in the coming year. From improving processes to making sure your clients come into the office to drop off paperwork, these tips can help your firm get off to the right start in 2014.  (more)