Regulatory Alerts2010-03-18
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Circular issued by the Securities and Futures Commission Regarding Information Technology Management
The Securities and Futures Commission issued this circular to licensed corporations to address IT deficiencies that expose firms and clients to information security risks. The regulator requires firms to implement robust internal controls, including strict access management, password policies, and audit logging, to prevent unauthorized transactions and fraud. Additionally, the document provides an appendix detailing suggested control techniques for information security, access control, encryption, change management, user monitoring, and data backup to ensure operational integrity.
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