信息系统稳定性保障体系

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证券行业信息系统稳定性保障体系标准征求意见
Zhong Guo Chan Ye Jing Ji Xin Xi Wang· 2025-08-13 22:54
Core Viewpoint - The "Standard for the Stability Assurance System of Securities Industry Information Systems (Draft for Comments)" is being solicited for opinions by the China Securities Association, aiming to provide authoritative guidance for brokerages to establish a comprehensive and effective stability assurance system [1] Group 1: Framework of the Standard - The Standard proposes a "three-in-one" stability assurance system framework, which includes organizational assurance, institutional assurance, and process assurance [1] - It specifies requirements for organizational structure, personnel capability, and management of process assurance capabilities [1] Group 2: Organizational Structure - Brokerages are encouraged to establish dedicated stability assurance organizations, introducing a unique "vertical functional + horizontal optimization" dual team structure [1] - The vertical team focuses on operational depth and practical capabilities, covering key areas such as application systems, databases, resources, networks, and data center operations [1] - The horizontal team is responsible for process optimization and technical support, including technical services, process management, operational data analysis, and operational platform development [1] Group 3: Personnel Capability - The Standard emphasizes three dimensions: "capability assessment - personnel training - human-machine collaboration" [1] - Brokerages are required to establish clear position capability models and competency assessment mechanisms, along with corresponding training and incentive mechanisms [1] - There is a forward-looking exploration to construct a new operational capability model of "human-machine collaboration" to adapt to automation and intelligent development trends [1]