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Team Compliance Biographies

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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  "The information provided on this website or in any communication containing a link to this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Grandview Capital Inc. or its affiliates to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site, constitutes a solicitation or offer by Grandview Capital Inc. or its affiliates to buy or sell any securities, options or other financial instruments or provide any investment advice or service. Nothing herein should be regarded as a representation of future performance. Past performance is not indicative of future performance."
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