CIRO Rule 4700 Part A

Part A of Rule 4700 sets out the requirements for business continuity planning by dealer members.

Rule Overview

Jurisdiction: Canada

Regulator: CIRO

Topic: Business Continuity

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A business continuity plan is required in order for firm’s to manage risks and also maintain investor confidence.

A BCP is intended to ensure that a firm can:

  • carry on business after a significant disruption; and
  • provide clients with prompt access to their assets.
Rule 4711
Establish and maintain a BCP
Rule 4712
BCP procedures
Rule 4713
BCP updates
Rule 4714
BCP annual review and testing
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