MX participation in the SIFMA and FIA 2022 disaster recovery

The Montréal Exchange (MX) will be participating in the aligned Futures Industry Association (FIA) Disaster Recovery tests on Saturday, October 15th 2022. This notice details the sequence of events during the Disaster simulation. It also provides information on registration and contact information.

On Saturday October 15, 2022 Test Day Timelines Overview

*System will be up at the latest by 11

https://www.m-x.ca/_prm/PositionReportManager_14.35.0.0_Install.exe

Pre-Failover

Starting at 7:00 am EDT, the Primary site (MCC) will be up and running and participants will be able to engage connectivity.

• Selected instruments will be in a pre-open phase. No trading will occur before 8:20. Between 8:20 and 8:45 the instruments will be in continuous trading mode (matching prices will produce trades)
• MX will not be using its production database for these tests. The order book will be empty when tests begin. Orders must be entered with October 23 date (day orders only)

Disaster Simulation and Recovery

Between 8:45 am to (latest) 11:00 am

➢ 8:45 am: MX will abruptly interrupt SOLA trading. In the approximate 15 minutes that follows, POP access will also be interrupted. In consequence, the primary site will be isolated by a network failover.

Post-Failover

Between 9:00 am - 11:00 am EDT, MX will have switched over to the back-up location in Toronto (DR site known as TCF).

• Immediately following the conclusion of our recovery process, we will offer a 15-minute pre-open period, followed by an instrument state change to allow for continuous trading. Products will remain in a tradable state until 1:30 pm EDT.
• There is no continuity between the pre-open session and this one. Our back-up system will start as if it were a new day. If you were previously connected to our system, please make sure to reset your system to avoid de-synchronization of messaging.
• All orders entered during the pre-failover period will be in the system except while connected ( as everyone will get disconnected) and BulkQuotes messages.
• Order book reconciliation will be possible through:

• SAIL users: AF message (Order Request)
• FIX users: AF message (Order Mass Status Request) - Please refer to the Disaster Recovery Client Impact Guide available on our webstore(www.tmxwebstore.com)

• During the test, MX Participants and ISVs will be able to connect to the MX Production network (IP & ports) from their Disaster Recovery (DR) environment. MX will redirect participants to the MX DR environment in a seamless fashion.
• MX Participants must be in a position to maintain their connectivity to the MX from TCF. MX will ensure connectivity.
• MX POPs are located in Markham and Toronto.
• Participants will not be required to make network, DNS, or IP changes in order to connect to the MX DR site during the tests.
• MX will provide bids and offers for instruments. Participants will be able to lift or hit MX market. Firm IDs (mnemonic) representing the MX will be 901 and 902. ➢ During the exercise MX will be sending periodic status emails.

Scheduled testing appointments are not needed. If required, the Technical Help Desk (THD) and TMX Group IT support staff will be on-site and available to assist, but please provide your email to TMX Market Operations if you are participating in the DR testing.

Please note: Tests will only be considered conclusive if a participant has executed at least 2 trades during the post-failover.

Once your tests have completed, please send an email to DR-BCSupport@tmx.com with the following:

Participation to: FIA and/or SIFMA

Firm name and ID: ABC / BDM004

Application tested: ATR, TMS, HSVF, etc.

Successful trade on: BAX, SXF, SXO, SU or MFC

Comments: Describe any issues you may have encountered during the test, including how they were resolved or if further investigation is required.

Upon conclusion of our testing window at 1:30 pm EDT, the Production environment will be immediately brought down and scheduled for reactivation at its regular time on Sunday, October 24, at 10:00 am EDT. Please monitor your connections once your processes have reinitialized and report any issues or outages to the Technical Service Desk by phone at 514-871-7872.

Test Symbols

Participants can test connectivity with the following services:

Test Registration

As we have two organizations sponsoring this annual test, we expect a large number of firms participating. To facilitate the coordination and appropriate level of communication on test day, please ensure to officially register working staff via the respective websites of the association or organization towards which your firm plans to participate. Please find links below:

FIA website

https://secure.fia.org/bcp/test-registration.asp

SIFMA website

http://www.sifma.org/services/bcp/industry-testing/

Please provide your contact information at TMX Market Operationsvia email to marketops@tmx.com

Contact Information During the Pre-Test and Test Day

For additional information on this notice, please contact MX Market Operations at

514-871-7871 or by email at Derivatives.operations@tmx.com