JR/T 0133-2015 in English
VALIDBasic requirements for securities and futures industry information system custody
- Issued on:2016-01-13
- Implemented on:2016-01-13
- File Format:PDF
- Delivery:Via email within 5 business days
$611.00
| Standard No: | JR/T 0133-2015 |
| Document status: | VALID |
| Title in English: | Basic requirements for securities and futures industry information system custody |
| Title in Chinese: | 证券期货业信息系统托管基本要求 |
| Language: | English |
| File Format: | Electronic (PDF) |
| Delivery: | Via email within 5 business days |
| Issued on: | 2016-01-13 |
| Implemented on: | 2016-01-13 |
| ICS Classification: | 03.060-Finances. Banking. Monetary systems. Insurance |
| Chinese Classification: | A11-Finance and Insurance |
| Professional Classification: | JR-Finance |
| Related Keywords: | system system level
third-level system third-level system information system custody security level power availability secondary system secondary system futures industry information system custody introduction standard overview |
Introduction
Standard Overview and Technical Background
JR/T 0133-2015 is the first special standard for information system custody in my country's securities and futures industry, which was issued on January 13, 2016. The standard is based on the GB/T 1.1-2009 writing rules, led by the Information Center of the China Securities Regulatory Commission, and jointly formulated by the Futures Association, the Securities Association and a number of market institutions.
Core content analysis
1. Custody system grading system
| System level | Applicable institutions | Corresponding security level | Power availability |
|---|---|---|---|
| Secondary system | Secondary system for operating institutions/Third-level system for core institutions | Second security level | ≥99.9% |
| Third-level system | Third-level system for operating institutions/Third-level system for core institutions | Third-level security level | ≥99.99% |
| Level 3+ System | Key Systems of Core Organizations | Level 3 Security Enhancement | ≥99.99% |
2. Hosting Service Type
Cabinet Rental (AxB1): The client rents the cabinet space, and the trustee is responsible for the infrastructure operation and maintenance.
Computer Room Rental (AxB2): The client rents the entire computer room space, and the trustee is responsible for the computer room infrastructure.
Basic Resource Rental (AxB3): Includes hardware equipment, system software and cloud platform rental.
Overall outsourcing (AxB4): Full system outsourcing model, including application system operation and maintenance.
Key Technical Requirements
1. Comparison of Infrastructure Requirements
| Project | Secondary System | Third-Level System | Third-Level+ System |
|---|---|---|---|
| Computer Room Grade | Grade B | Grade A | Enhanced Grade A |
| Air Conditioning Redundancy | N+1 Recommended | N+1 Required | N+1 Required |
| Daily Inspection | ≥3 times | ≥6 times | ≥6 times |
2. Security operation and maintenance requirements
- Video surveillance: Full coverage of key areas, record retention ≥90 days
- Entry and exit records: Complete record of personnel information, retention ≥360 days
- Response time: Level 3+ system requires response within 5 minutes
- Change management: Major changes require 10-30 working days advance notice
Implementation suggestions
1. Institutional selection strategy
- Operating institutions can choose the A2B1/A2B2 basic hosting model for the secondary system
- It is recommended that the core business system adopt the A2B1/A2B2 basic hosting model >A3B3/A3+B3Resource leasing model
- Newly built systems may consider A3B4/A3+B4overall outsourcing solutions
2. Key points of compliance management
- Carry out annual service evaluation of the trustee
- The contract specifies the extended information security inspection clause
- Systems above level 3 require GB/T 24405 and GB/T 22080 certification
- Establish a key operation mechanism for double review
Direction of standard evolution
With the development of cloud computing technology, future standards may:
- Increase cloud-native architecture hosting requirements
- Refine multi-cloud management specifications
- Strengthen cross-border data storage control
- Introduce AI operation and maintenance monitoring standards
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