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 COVID-19 Information Industry-Wide Business Continuity Test 2019 IIROC Notice 18-0237 Industry business continuity planning test All Participants Meeting Presentation (April 3, 2019) FAQ Industry BCP Test 2019 (updated to April 18, 2019) All Participants Meeting Presentation (September 11, 2019) All Participants Meeting Presentation No.3 (October 16, 2019) Industry BCP DR Test (October 26, 2019) Other Business Continuity Plan Documents IIROC Notice 09-0022 Review of Members’ Business Continuity Plans CEO Business Continuity Plan Certification Qualifications of Third Party Reviewers of BCP's Proposed By-Law No.17.19 - Business Continuity Plan Requirement