Business Continuity Plan

Our broker dealer Growth Capital Services has developed a Business Continuity Plan (BCP) as part of our ongoing  contingency planning efforts to mitigate the impacts of business interruptions. Since disasters and disruptions  are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we  are providing you with this information on our business continuity plan. 

We plan to quickly recover and resume business operations after a Significant Business Disruption and respond  by safeguarding employees’ lives and firm property, protecting the firm’s books and records, and allowing our  customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. 

Our business continuity plan addresses: 

  • data backup and recovery; 
  • mission critical systems; 
  • financial and operational assessments; 
  • alternative communications with customers, employees, and regulators; 
  • alternate physical location of employees; 
  • critical supplier, contractor, bank and counter-party impact; and 
  • regulatory reporting 

Significant business disruptions can vary in their scope. For example, an SBD could affect only our firm, a single  building housing our firm, the business district where our firm is located, the city where we are located, or the  whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. 

In any situation, we plan to continue in business, and notify you through our web site or our main customer  number regarding how to contact us. This plan is reviewed periodically and subject to modification without  notice. A written copy of the summary of this plan is provided to customers at account opening, posted on the  firm’s website, and provided to customers upon request. If you have questions about our business continuity  planning, please contact us at your convenience.