Portfolio Structural Resilience Checklist

1. Are your securities held in segregated custody accounts (not omnibus)?

2. Do you hold investment accounts at two or more broker-dealers?

3. Do you maintain bank deposits at two or more FDIC/CDIC member institutions?

4. Have you reviewed your margin agreement and rehypothecation terms?

5. Do you have immediate-access reserves (0 to 7 days) at a separate bank?

6. Do you have short-term reserves (7 to 30 days) in low-risk instruments?

7. Have you verified your SIPC/CIPF/FSCS coverage limits and membership?

8. Are registered accounts (IRA/RRSP) at a different firm than non-registered?

9. Have you documented all account numbers, institutions, and coverage categories?

10. Have you reviewed your custody arrangements in the past 12 months?