Regulatory DisclosureS
SEC RULE 605 (FORMERLY SEC 11Ac1-5) – BEST EXECUTION
To view monthly reports that include uniform statistical measures and execution quality for Global Investor Services, LC (“GIS”) click on the following link:
For Pershing LLC Platform Clients*
For JP Morgan Clearing Corp Platform Clients* Select JPMS-J.P. Morgan Securities Inc. from the drop-down menu
SEC RULE 606 (FORMERLY SEC 11Ac1-6)- DISCLOSURE OF ORDER ROUTING PRACTICES
To view order routing data please click on link below and select
Global Investor Services LC from the drop-down menu:
BUSINESS CONTINUITY PLAN
Pursuant FINRA Rule 3510, Global Investor Services, LLC (“GIS”) has developed a Business Continuity Plan (“BCP”) on how we will respond to significant business disruption (“SDP”) events. As the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur.
Contacting Us
During a significant business disruption, GIS can be reached by dialing (305) 808-9850 or (305) 373-9000. These lines and other critical GIS telephone numbers will be redirected to our BCP auto-attendant where a pre-recorded message will specify the nature of the SBD, the timing of the event and route your call to the appropriate GIS personnel. If you cannot access us through any of these means:
For Pershing LLC Platform: Contact Pershing LLC, a wholly owned subsidiary of The Bank of New York Mellon Corp., within the US at (800) 443-4342 Outside of the US at (201) 413-2000. They will be able to transfer funds, purchase or sell fixed income securities and provide other services to you during our business disruption.
For JP Morgan Clearing Corp Platform: Contact JP Morgan Clearing Corp. at (212) 552-1919. They will be able to transfer funds, purchase or sell fixed income securities and provide other services to you during our business disruption.
Our Business Continuity Plan
We plan to recover and resume business operations quickly after an SBD by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing you to transact business. 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 back-up 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; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, Pershing, backs up our important records in a separate geographical area. While every emergency situation poses unique problems based on external factors, such as time of day and severity of the disruptions, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within a 4 (four) hour period. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions
Significant business disruptions can vary in their scope, such as 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 an unexpected disruption to our firm or the building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within a 24 (twenty-four) hour period.
- In an unexpected disruption affecting our business district, city or whole region, we will transfer our operations to outside the affected area, recover and resume business within a 24 (twenty-four) hour period.
- In an expected disruption such as a major storm or hurricane, our firm will be proactive in relocating personnel to an unaffected area so that you don’t experience any disruption during the storm. After the storm passes and we have assessed the damage, our relocating tam will return to the office.
In either situation, we plan to continue the normal course of business, transfer operations to our clearing firm if necessary, and notify you through our BCP auto-attendant. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure prompt access to your funds and securities.
For more information or if you have questions about our business continuity plan, please contact your sales or service representative, or email us at Service@gismail.com , Trade@gismail.com or hlumpuy@gismail.com
CUSTOMER COMPLAINTS
In the event you have a complaint please contact your Firm representative or the Compliance Department. If you wish to call the Compliance Department, please call (305) 982-4585. As an alternative you can send correspondence to:
Global Investor Services, LC
Attn: Compliance Department
777 Brickell Avenue
Suite: 1010
Miami, FL 33131
* This is a link to a third-party site. Note that the third party's privacy policy and security practices may differ from Global Investor Services, LC standards. Global Investor Services LC assumes no responsibility nor does it control, endorse or guarantee any aspect of your use of the linked site.