Business Continuity Plan and Disaster Recovery obligations require exchanges to establish DR sites and report audit compliance to regulator. Exchanges must conduct an Annual System Audit following the prescribed audit framework and communicate the Systems Audit Report and compliance status to the regulator. Exchanges must implement and document a Business Continuity Plan and Disaster Recovery arrangements-including Disaster Recovery and Near Site configuration, DR drills and testing-and submit the BCP/DR policy with a detailed implementation plan to the regulator. Exchanges should amend relevant bye-laws and report implementation status to ensure regulatory compliance.
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Provisions expressly mentioned in the judgment/order text.
Business Continuity Plan and Disaster Recovery obligations require exchanges to establish DR sites and report audit compliance to regulator.
Exchanges must conduct an Annual System Audit following the prescribed audit framework and communicate the Systems Audit Report and compliance status to the regulator. Exchanges must implement and document a Business Continuity Plan and Disaster Recovery arrangements-including Disaster Recovery and Near Site configuration, DR drills and testing-and submit the BCP/DR policy with a detailed implementation plan to the regulator. Exchanges should amend relevant bye-laws and report implementation status to ensure regulatory compliance.
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