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Bulletin #0407-P

Membership Information
H1N1 Flu

Contact: Ken Woodard
BULLETIN #0407 – P
Director, Communications and Membership Services
November 5, 2009
Phone: 416-943-4602

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm

H1N1 Flu

In light of concerns with respect to the H1N1 flu virus, a new strain of pandemic influenza which
emerged in April 2009, we would like to remind Members of their obligations with respect to
business continuity planning. The World Health Organization (“WHO”) maintained the alert
level for the H1N1 flu at phase 6 (pandemic), at the same time emphasizing that, based on
scientific evidence, the WHO considers the overall severity of the influenza pandemic to be

Members are reminded of their obligations under MFDA Rule 2.9 and Member Regulation
Notice MR-0056 Business Continuity Planning
which require Members to establish and maintain
appropriate business continuity arrangements to ensure that they are adequately prepared to
minimize business disruptions in a variety of potential crisis situations, including an outbreak of
a widespread disease, and are able to continue service to clients or resume operations within an
acceptable period of time.

In the event a Member experiences significant business disruption that results in its inability to
properly service clients or meet regulatory requirements, please contact Membership Services at
416-361-6332 Option #1 or 1-888-466-6332 Option #1.