Chapters
Rule 513

Disaster Recovery; Business Continuity

  1. Each Participant and Clearing Member shall have written disaster recovery and business continuity policies and procedures in place to ensure it is able to perform certain basic operational functions in the event of a significant internal or external interruption to its operations. At a minimum, the following areas must be addressed in the Participant's or Clear Member's policies and procedures:

    1. each Participant and Clearing Member must have procedures in place to allow it to continue to operate during periods of stress or to transfer accounts to another fully operational Participant or Clearing Member with minimal disruption to the Exchange and the Clearinghouse.

    2. each Participant and Clearing Member must perform periodic testing of disaster recovery and business continuity plans, duplication of critical systems at back up sites and periodic back-up of critical information and provide the Exchange or Clearinghouse with information regarding the foregoing upon request; and

    3. each Participant and Clearing Member must maintain and, at the request of the Exchange or the Clearinghouse, provide accurate and complete information for its key personnel. Each Participant and Clearing Member must inform the Exchange or Clearinghouse in a timely manner whenever a change to its key personnel is made.

  2. The Exchange or the Clearinghouse may prescribe additional and/or alterative requirements for a Participant's or Clearing Member's compliance with this rule.

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