Additionally, FINRA Rules 3510 and 3520 require firms
to create and maintain a Business Continuity Plan (BCP) for use in the
event of a significant business disruption.
Grandview Capital has put in place an extensive
Business Continuity Plan for immediate use in the event of a natural
disaster or any other significant business disruption.
We recognize that our clients require a consistent
service during any disruptions that may occur out of the control of GCI
and therefore the Business Continuity plan fully explains the procedure
to be followed by GCI in such circumstances.
The plan includes, but is not limited to, information
on the following:
Emergency Contact Persons
Clarification of Significant Business Disruptions
Customers’ Access to Funds and Securities during
Financial and Operational Assessments
Alternate Communications Between the Firm and
Employees, and Regulators