home home  
                   Contact Us     ePublications     Français     Site Map     Careers  
 
 
 
 
smallLetter medLetter largeLetter   Adjust Font Size
 
Print This Page    Print This Page
 
Share This Page    Share This Page

Business Continuity



IIROC’s rules require that Member firms have the appropriate financial and operational safeguards in place to protect customer assets. On July 31, 2006, Rule 17.16 (formerly Rule 17.19) came into effect requiring all Member firms to have a business continuity plan. The objective of requiring a Member firm to have such a plan (including the regular review and testing of such plan) includes ensuring the Member firm has made adequate preparations to deal with emergency or significant business interruption scenarios and is able to resume service within an acceptable period of time in order to facilitate prompt client access to their assets.

For additional information on this issue, contact Levi Sankar.

COVID-19 
Industry-Wide Business Continuity Test 2021
​
​
       tool bar

Who We Regulate

Rule Book

Notices

News Releases

Halts & Resumptions

Regulatory Reporting

Inquiries & Complaints

IIROC AdvisorReport

Search Disciplinary Cases



To confirm or update your firm's Crisis Communication contact information, please contact [email protected]



    Website Terms of Use    Privacy    Accessibility     Social Media Terms Of Use