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

  • Recapping the 2016 FSI Forum

    Oct 18, 2016
    From Sept. 25–27, eight financial advisors and six members of the 1st Global home office attended the inaugural FSI Forum, with this year’s event focused on “Navigating a Post-DOL Fiduciary World.”  (more)

  • 1st Global Raises More Than $5,000 on North Texas Giving Day

    Oct 11, 2016
    In 1st Global’s inaugural year as a corporate member of the Entrepreneurs for North Texas (EFNT), the company collectively donated $5,424 to various non-profit organizations in participation of North Texas Giving Day 2016.  (more)

  • 1st Global Serves Community on Freedom Day

    Sep 27, 2016
    While Sept. 11 is a date that is characterized by the memories of a tragic day in America, Entrepreneurs for North Texas (EFNT) uses it as a time to honor veterans and make a difference in the community.  (more)