摘要
2018年12月,中国证监会正式发布《证券基金经营机构信息技术管理办法》(简称《办法》),该《办法》作为推进证券行业信息技术规范管理的重要文件,对证券行业乃至整个金融领域的信息技术应用带来了较大影响。该《办法》分为总则、信息技术治理、信息技术合规与风险管理、信息技术安全、信息技术服务机构、监督管理等七章,本文将从《办法》的原则、目标和主要内容方面对其进行深入分析。
In December 2018, the China Securities Regulatory Commission officially issued the"Measures for the Management of Information Technology of Securities Fund OperatingAgencies"(referred to as the"Measures"). This paper serves as an important document for promoting the management of information technology in the securities industry, and information for the securities industry and the entire financial sector. Technology applications have a big impact. The document is divided into seven chapters: general rules, information technology governance, information technology compliance and risk management, information technology security, information technology service organizations, supervision and management. This paper will deeply analyze the principles, objectives and main contents of the document.
引文
[1]国务院办公厅.证券基金经营机构信息技术管理办法[Z]中华人民共和国国务院公报,2019.
[2]德勤.证券基金经营机构信息技术管理办法[R].德证券基金行业热点聚焦,2019(05).
[3]王淼.证券市场监管科技应用与立法的比较研究--以证券业金融机构信息报告义务为视角[J].证券法律评论2019(00):59-70.