期货公司持续完善网络和信息安全管理

Core Viewpoint - The rapid digital transformation of futures companies has led to increased risks in network and information security, necessitating a balance between business development and compliance safety [1]. Group 1: Compliance and Risk Management - As of August 2023, there have been 8 cases of penalties related to network and information security issues involving external software and information access by futures companies [2]. - Key violations include lack of compliance assessments for external systems, inadequate preservation of compliance materials, and insufficient due diligence for client access [2]. - Futures companies are integrating external access management into their compliance risk control systems, establishing comprehensive management mechanisms for access testing and transaction monitoring [5]. Group 2: External Access Models - Futures companies provide three main external access models: common trading terminal software, self-developed or third-party platforms for low-frequency clients, and high-frequency trading setups requiring low latency [3]. - Different trading desks are offered to meet market demands based on the access model used by clients [3]. Group 3: Security Measures - To ensure system stability and data security with external access, futures companies employ four main strategies: technical security measures, compliance protocols, transaction risk monitoring systems, and stringent fund security management [4]. - Companies conduct thorough evaluations of third-party technology suppliers, requiring documentation such as business licenses and product quality certifications [4]. Group 4: Challenges and Recommendations - The high IT investment costs and competitive pressures for customer acquisition pose challenges for futures companies in enhancing network and information security [6]. - Regulatory measures are becoming more detailed, with new regulations like the "Trial Measures for Programmatic Trading Management in the Futures Market" being introduced [6]. - A cross-departmental decision-making team is recommended to balance business needs and risk isolation, ensuring effective communication and collaboration among departments [7]. Group 5: Enhancing Compliance Capabilities - Futures companies should improve their systems and processes based on relevant laws, including the Cybersecurity Law and Data Security Law, to cover all aspects of network information security [9]. - Regular training and simulations of network attack scenarios are suggested to enhance compliance awareness and skills among employees [9]. - Investment in advanced security technologies and the establishment of a robust emergency response mechanism are crucial for improving security management [9]. Group 6: Industry Collaboration - Futures companies are encouraged to maintain close communication with regulatory bodies to stay updated on the latest regulations and compliance requirements [10]. - Participation in industry associations and training activities is vital for understanding industry trends and enhancing network and information security management [10].