证券行业信息系统

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中证协发文,新标准来了!
Zhong Guo Ji Jin Bao· 2025-08-08 05:07
Core Viewpoint - The China Securities Association (CSA) is developing a new standard aimed at enhancing the stability of information systems within the securities industry, seeking feedback from major brokerages [1] Group 1: Industry Pain Points - The securities market requires high transaction continuity, and any anomalies in trading systems can directly impact investor rights and market order [2] - The industry faces four key pain points: 1. Lack of resilience design in system development, leading to high operational risk prevention costs [2] 2. Predominantly reactive risk perception during operations, lacking proactive data-driven risk detection capabilities [2] 3. Emergency response relies on individual expert experience, lacking data-driven human-machine collaborative command capabilities [2] 4. Insufficient application of intelligent technologies, resulting in a gap between abnormal response efficiency and business real-time requirements [2] Group 2: Capacity Optimization - The CSA's new standard emphasizes the need for capacity optimization in response to increased trading volumes, which can lead to system outages [3] - Key points for capacity optimization include: 1. Establishing clear optimization requirements and strategies [3] 2. Optimizing system deployment and performance parameters [3] 3. Employing horizontal and vertical expansion strategies to enhance system performance [3] 4. Regularly evaluating the effectiveness of capacity optimization strategies [3] 5. Adjusting optimization plans based on business needs and technological developments [3] Group 3: Stability Assurance Framework - The new standard proposes a "three-in-one" stability assurance framework, which includes organizational, institutional, and process guarantees [4] - Specifics of the framework include: 1. Organizational assurance defines the structure and capability requirements for stability management [4] 2. Institutional assurance encompasses regulations, technical standards, and operational procedures to ensure traceability [4] 3. Process assurance focuses on ten core processes related to stability management, including monitoring and fault management [4] - The standard aims to promote proactive defense capabilities and establish measurable stability evaluation factors, creating a closed-loop improvement mechanism through regular assessments [4]