4712. Business continuity plan procedures

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    1. A Dealer Member’s business continuity plan must identify the procedures it will take to deal with a significant business disruption.

    2. The procedures in subsection 4712(1) must be based on the Dealer Member’s assessment of its key business functions and required levels of operation during and following a disruption.

    3. The procedures in subsection 4712(1) must provide reasonable assurance the Dealer Member stays in business long enough to meet its obligations to its clients and capital markets counterparties after a significant business disruption.

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