Summary

Member firms are required under FINRA Rule 3510 to create a business continuity plan in the event of a significant business disruption. Gordon Haskett Capital Corporation has business continuity procedures in place should a significant disruption occur, including one preventing our employees from accessing our offices. Our business continuity plan is designed to enable our firm to resume critical operations as quickly as possible. It addresses a variety of scenarios of varying scale and severity. Gordon Haskett’s goal in these circumstances is to resume normal business operations as soon as possible. Gordon Haskett will seek to safeguard and protect our employees, our firm’s property, and our electronic records, including all of our client information and firm books and records. The plan includes back-up capabilities, and detailed procedures for accessing backed up business-critical data and applications. Our clearing firm (National Financial, a Fidelity Investments company) also maintains back-up capabilities, and retains copies of data related to our client transactions. 

Please note that both this summary and our actual Business Continuity Plan are subject to modification. If and as any material changes warrant an update to the summary, we will update this section of our website accordingly. You may also obtain an updated summary upon request by contacting us.

Emergency Contact Information

Please see our website for all our principal contact information, and for updates posted in case of a significant business disruption.

Main office number: + 1 212 883 0600

Main trading number: +1 800 221 3236

Questions regarding Gordon Haskett’s Business Continuity plan may be addressed to your representative, or to our compliance department at +1 212 883 0350.