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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 (SBD)

  • Customers’ Access to Funds and Securities during an SBD

  • Financial and Operational Assessments

  • Alternate Communications Between the Firm and Customers,

  • Employees, and Regulators

  • Regulatory Reporting




 
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