LISBON INFO FLASH NO. LO13/07 Equivalent Info Flashes are being issued to all NYSE Liffe Markets Issue Date: 7 May 2013 NYSE EURONEXT EUROPEAN CASH AND DERIVATIVE MARKETS BUSINESS CONTINUITY: DISASTER RECOVERY TEST Executive Summary NYSE Euronext will hold a common Disaster Recovery Test for its European Cash and Derivatives Markets on Saturday 6 July 2013. Customers are strongly advised to take part in the test and are asked to register before Friday 21 June 2013. Customers must also have successfully completed a Telnet connectivity test to the DR site in order to participate in the DR Test. Any customers that choose not to participate must nevertheless ensure that any automated trading systems do not log on and interact with any of the markets in scope for the test, as this could affect the state of member order books for market opening on Monday 8 July 2013. 1. Introduction 1.1 For the first time, NYSE Euronext will hold a common European Cash and Derivatives Markets Disaster Recovery Test with its customers. The test will take place on Saturday 6 July 2013. 1.2 This will be an opportunity for NYSE Euronext and NYSE Liffe customers to test disaster recovery on the Equities Regulated Market and SmartPool trading engines and the European Derivatives Market matching engines. 2. Aim of the test 2.1 The aim of this test is to check with customers, in a real life situation, that the trading architecture and Disaster Recovery Plan are fully operational within the targeted time frame. 3. Scope of the test 3.1 Within the scope of this test are the production trading systems of NYSE Euronext s European Data Centre (DC) located at Basildon in the UK, and the Disaster Recovery System (DR) located in central London. The Euronext Derivatives Markets comprise the markets for derivatives operated by Euronext Amsterdam, Euronext Brussels, Euronext Lisbon, Euronext Paris and LIFFE Administration and Management, referred to respectively as the Amsterdam, Brussels, Lisbon, Paris and London markets. Euronext is part of the NYSE Euronext group. Whilst all reasonable care has been taken to ensure that this Info Flash is accurate and not misleading, neither NYSE Euronext, Euronext N.V. nor any of the group companies shall be liable (except to the extent required by law) for the use of the information howsoever arising. NYSE Euronext EXPRESSLY DISCLAIMS ALL WARRANTIES, EXPRESSED OR IMPLIED, AS TO THE ACCURACY OF ANY OF THE CONTENT PROVIDED, OR AS TO THE FITNESS OF THE INFORMATION FOR ANY PURPOSE. The contents of this Info Flash are for information only and shall not constitute investment advice. Neither NYSE Euronext nor any of its group companies, servants, or agents are responsible for any errors or omissions contained herein. None of the content of this Info Flash will form any part of any contract between us. Euronext N.V., PO Box 19163, 1000 GD Amsterdam, The Netherlands globalderivatives.nyx.com
LISBON INFO FLASH 3.2 Specific trading engines in the test scope are: Cash Markets: Equities, Structured Products (Warrants, Certificates and Structured Notes), Trade Confirmation System (TCS), SmartPool and Index platform trading engines 1 ; Derivatives Markets: the NYSE LIFFE Financials and Equities matching engines. 3.2 Related access means (CCG and SFTI networks) and all XDP market data services will also be part of the test. Please note, however, that co location access is excluded from the scope of the Disaster Recovery Test. 3.3 Post trade: trades will not be integrated in the clearing system and therefore, clearing functionality is also excluded from the scope of the Disaster Recovery Test. 4. Main principles of the test 4.1 NYSE Euronext will simulate a failover of DC to DR, and will manage the transfer through the appropriate decision making process, as defined by its Business Continuity Plan for disaster event situations. 4.2 For the Cash Markets and SmartPool, the failover will be performed during the continuous trading session with NYSE Euronext customers present on the trading platform. 4.3 For the Derivatives Markets, the failover will be performed without NYSE Liffe customers. 4.4 As soon as NYSE Euronext considers the DR to be fully operational, both cash and derivatives customers will be given the go ahead to reconnect to the trading platform. Customers will then be able to test the DR on the Universal Trading Platform during: a standard pre opening for NYSE Liffe customers a standard pre opening and subsequent trading session for NYSE Euronext customers. Customers should note that they are responsible for making sure that their internal systems and access means are correctly synchronised with NYSE Euronext central systems. 5. Platform on which the test will take place 5.1 The test will be performed on the NYSE Euronext Production Environment. At the end of the test, while NYSE Euronext will ensure the full readiness of its own production environment, members and ISVs should ensure that their own systems are returned to the order book situation of Friday evening, 5 July 2013 (after corporate events and order cancellations). 5.2 It is critical to note that any customers not participating in the test MUST also ensure that their systems are unaffected by the test prior to Markets opening on 8 July 2013. Customers with systems that automatically detect available markets must ensure that these systems are either de 1 Please note that NYSE Arca Europe and NYSE BondMatch are not included in the scope of the test 2
LISBON INFO FLASH activated prior to the test commencing, or that any auto injections that do occur on Saturday 6 July 2013 are corrected prior to Monday 8 July 2013. 6. Customer Participation 6.1 NYSE Euronext strongly encourages customers to participate actively in this test in order to ensure that they are familiar with the NYSE Euronext failover process. 6.2 To register for the test, please complete the DR Registration Form attached with this Info Flash and return it to the DR Testing Team at dr_testing@nyx.com. The deadline for registration is Friday, 21 June 2013. 6.3 Please note that in order to participate in the Disaster Recovery Test, customers must have successfully completed a mandatory Telnet connectivity test to the DR site (access available between Monday 20 May 2013 and Friday 28 June 2013). DR target IP addresses will be communicated separately to each customer after receipt of the registration email described above. 6.4 Please do not hesitate to contact the DR Testing Team should you require assistance in defining which access means to use for the test. Should you require any further information, please contact the DR Testing Team on email dr_testing@nyx.com or call: DR Testing Derivatives +44 (0) 20 7379 2254 DR Testing Cash +33 (0) 1 49 27 16 30 3
Member Company Name: Member Code: Test Scope Order Entry: Market Data: DR Test Contacts Order Entry Contact Person: Market Data Contact Person: Application Information Application Name or Identifier: ISV/ASP Name (if applicable): Order Entry Connectivity SLE Login ID Port Production CCG Target IP DR CCG Target IP DR Telnet Test Status Market Data Connectivity Telnet Tests Retransmission Service (RTS) Refresh Service (RFS) DR IP Address Line A 156.48.125.20:21150 Line B 156.48.125.29:21150 Line A 156.48.125.20:21600 Line B 156.48.125.29:21600 Test results Additional Information Comments:
Yes No OK NOK
Member Company Name: Test Scope Order Entry: Market Data: DR Test Contacts Order Entry Contact Person: Market Data Contact Person: Application Information Application Name or Identifier: ISV/ASP Name (if applicable): Order Entry Connectivity ITM MNE DR CCG Target IP DR Telnet Test Status Market Data Connectivity Telnet Tests Retransmission Service (RTS) Refresh Service (RFS) DR IP address Line A Line B Line A Line B Test results Additional Information Comments: Yes No OK NOK