Regulatory Alerts2010-03-18
Added · Updated
Circular issued by the Securities and Futures Commission (SFC) Regarding Information Technology Management
The Securities and Futures Commission issued a circular highlighting IT deficiencies identified during supervision and reminding intermediaries to implement adequate controls against unauthorized system alterations or intrusions. Registered institutions are required to assess the adequacy of their existing controls against SFC requirements and relevant Hong Kong Monetary Authority guidelines. Where necessary, institutions must make appropriate enhancements to their IT risk management measures to ensure compliance.
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