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Title:

Establishing Information Security Inspection Mechanisms for Securities Firms  CH

Amended Date: 2016.05.16
1     Risk Assessment and Management (CC-11000, applicable to securities firms placing ordersvia the Internet, but not applicable to those doing so via telephone or in thetraditional manner; annual audit)
  1. All of the company's information assets within the scope of applicable information security risk and all owners of such assets shall be identified.
  2. The acceptable level of information security risk for each of the company's operations shall be determined.
  3. The company shall prepare written reports on information security risk evaluations. An evaluation shall be carried out at least once per year and all relevant records retained.
2     Information Security Policy: (CC-12000, annual audit)
  1. The company shall adopt an information security policy and set information operations security standards in accordance with its business needs and applicable laws and regulations.
  2. The following content shall be included in the information security policy:
    1. A definition of information security, information security objectives, and scope of information security.
    2. An explanation and description of the information security policy, information security principles and standards, and rules the employees must comply with.
    3. A description of the organizational unit in charge of the information security work, the unit's authority and duties, and segregation of said duties.
    4. Emergency procedures for reporting and handling an information security incident,along with related regulations.
  3. The information security policy adopted by the company shall be approved by its management, formally issued, observed by all of its employees, and notified to and observed by public and private authorities / institutions andproviders of information services with network connection with the company.
  4. The company's information security policy shall be evaluated at least once per year to reflect the latest developments in laws, regulations, bylaws, technology, and business etc., and to ensure the efficacy of the company's information security operations. Records of the above evaluations shall also beretained.
  5. Information security policy evaluations shall be conducted in an independent and objective mannereither internally or throughan outsourced professional institution.
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3     Security Organization (CC-13000, annual audit)
  1. The company shall designate a vice president or high level supervisor to be responsible for coordinating and implementing information security management and, where necessary, may also establish an interdepartmental " Information Security Task Force" to handle overall coordination and discussion of theinformation security policy, planning, and resource allocation etc.
  2. As necessary for the purposes of information security management, the company shall specifically assign personnel or unit(s) to be responsible for planning and implementing information security work.
  3. If the company lacks sufficientinformation security manpower, skills, or experience, it may retain external scholars, experts, or professional private institutions and groups to provide information security consulting services.
  4. The authority and duties of the company's information processing department shall be clearly differentiated from those of its business units.
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4     Categorization and Control of Assets (CC-14000, semi-annual audit)
  1. Information assets shall be set out in a list; andthe list shall be maintained.
  2. Rules shall be adopted for classification and labeling of information. (This is applicable to securities firmsplacing orders via the Internet, but not applicable to those doing so via telephone or in thetraditionalmanner).
5     Personnel Security (CC-15000, semi-annual audit)
  1. Employees shall be required to maintain confidentiality in accordance with applicable laws and regulations, and shall sign a non-disclosure agreement for purposes of identifying the responsibility.
  2. When an employee leaves the company, the employee's ID code shall be canceled. His security pass, card, and related documents shall also be collected.
  3. The company shall regularly (at least annually) give information security lectures to all employees(for example, on information security policies, information security laws and regulations, information security operating procedures, and the proper use of information technology facilities) and retain records of the lectures.
  4. Employees shall receive information security training that is appropriate for their rank and complete theinternally prescribed number of hours of training each year.
  5. The securities firms shall set up computer auditors. (This is applicable to securities firmsplacing orders via the Internet, but not applicable to those doing so via telephone or in the traditional manner).
6     Physical and Environmental Security (CC-16000, semi-annualaudit )
  1. Access to computer server rooms shall be controlled (e.g. by card swiping technology).
  2. Computer server rooms shall be equipped with fire prevention facilities that shall be inspected regularly.
  3. Natural disasters like earthquakes and floods etc. shall also be factored in.
  4. The power supply system of computer equipmentshall include uninterruptible equipment and a power generator.
  5. Procedures for retirement and disposal of equipment shall be established. Prior to their retirement and disposal, any confidential or sensitive data and licensed software shall be removed, overwritten for security purposes, or physically destroyed. It shall be ensured that data stored in computer hard drives and storage media cannot be restored after retirement and disposal. Records of the retirement and disposal shall be retained.
7     Management of Communications and Operations (CC-17000)
  1. Management of network security (CC-17010, applicable to securities firmsplacing orders via the Internet; items a, b and e are applicable to securities firms that connect to public networks via auction terminals, monthly audit):
    1. Evaluating the security of network systems:
      1. The company shall regularly evaluate the security of its own network systems (e.g., its operating system, network servers, browsers, firewall, and anti-virus software) and retain related records.
      2. Security gaps in the network operating environment (includingservers, portables, personal terminals, and computers available on business premises to investors for shared use) shall be repaired regularly or timely. The related documentation shall be retained.
      3. Matters bearing on computer network security (including the promotion of awareness of the information security policy, prevention of hacking, and anti-virus measures) shall be internally announced at any time and from time to time.
      4. A specially appointed employee shall be designated to be responsible for computer servers and important software and hardware.
    2. Managing firewall security:
      1. A firewall shall be established.
      2. A specially appointed employee shall be responsible for managing the firewall.
      3. Records of firewall entries, exits, and backup copies shall be retained for at least two years.
      4. Important website and server systems (e.g. online order placing systems) shall be isolated from the Internet by the firewall.
      5. The firewall system configuration shall be approved by the proper supervisor.
    3. Managing network transmission security:
    4. Online order placing pages shall be protected by encryption (e.g. SSL).
    5. Managing CA authentication and certificates:
      1. A securities firmplacing orders online shall adopt certificate delivery procedures to prevent certificates from being obtained by persons other than their intended owners.
      2. A securities firmplacing orders online shall use an authentication system for all orders.
    6. Protecting against computer viruses and malicious software:
      1. Anti-virus software shall be installed. Its programs and virus definitions shall be given timely updates.
      2. Computer systems and data storage media (including emails) shall be regularly scanned for viruses.
      3. Anti-virus protection shall cover personal terminals (including portables and computers available on business premises to investors for shared use) and network servers.
      4. Emails from unknown sources shall not be opened. Special care shall be used in opening emails with attachments containing executable files.
      5. To prevent computer viruses from spreading and affecting computer security, the company shall adopt security rules governing email use.
    7. Inspecting the functions of online ordering systems:
    8. The functions provided by online ordering systems shall be inspected regularly and inspection records shall be kept.
    9. Regulations governingthe company's provision of API services:
    10. The application procedure, approval standards and relevant control measures and operations in regard to the company's provision of API services to customers are governed by the Directions for the Provision of Application Programming Interface (API) Service by Securities Firms to Customers
  2. Computer system and operation safety management (CC-17020, semi-annualaudit)
    1. Managing computer equipment:
    2. The company shall enter into a written maintenance agreement with the maintenance service provider to establish the content ofcomputer equipment maintenance work. A maintenance log shall be retained afterthe completion ofmaintenance. The information unit shall appoint personnel to conductinspection together with the maintenance personnel from the maintenance service provider.
    3. Environment configuration and use authorization settings of the operating systems of computers:
      1. The environment configuration and use authorization settings of the operating systems of computers shall be approved by the relevant supervisor and implemented by system administrators.
      2. Appropriate backup measures shall be in place with respect to files in the computer system before and after they are modified.
    4. Security management ofcomputer media:
      1. Backup copies of important software, related documents, and inventory lists shall be made and stored in a separate safe location.
      2. If important backup files and software are stored in the same building that houses the computer center, they shall be kept locked in a fireproof room or in a cabinet that is both fireproof and earthquake-proof.
      3. Storage media used for backup materials shall be labeled with the name of the materials and their retention period.
      4. Handling procedures shall be established for media used to store confidential and sensitive information so as to prevent leaking or improper use of the information.
    5. Management of computer operation:
      1. Computer operators shall strictly adhere to prescribed operating procedures.
      2. Complete and accurate records shall be provided in an operating log, which shall be inspected and approved daily by a supervisor. The operator and the supervisor may not be the same person.
      3. Specially appointed personnel shall be responsible for inspecting information in the logs of the system console and for regularly submitting the information to a supervisor for inspection and approval.
    6. The securities broker shall have a computer system that has adequate capacity and is capable of meeting the needs of its business.
    7. The securities broker shall adopt mechanisms and procedures for regular evaluations (at least once a year) of the capacity of and security measures for its computer system, to be carried out either internally or outsourced to a professional institution. The system capacity shall be stress-tested regularly and records of the testing retained.
8     Access Control (CC-18000, monthly audit)
  1. The company shall adopt rules governing controlledaccess of the information system and request the employees to abide by the rules in writing, electronically, or via other means.
  2. Authorization management:
    1. There shall be a detailed written description of the controls on the access to and use of programs.
    2. In the event of a personnel change, their use authorization shall be promptly updated.
    3. Access to and use of programs and files shall be granted on the basis of authorization.
    4. Authorization for computer access and use by outsourcers shall be subject to appropriate control, and the authorization shall be promptly reclaimedat the end of the outsourcing period.
    5. Outsourcers deployed to the company's premises shall be subject to the company's security management, and security control measures shall be applied if they wish to use internal network resources (e.g., where such personnel use a proxy server or establish a separate network, it is advisable that such sever or network be physically isolated from the internal network).
    6. Regular examination (at least semi-annually) and reconsideration shall be conducted with regard to the authorization of users who have not used the system for a long time (excluding users who are customers).
  3. Password Management:
    1. Users making use of the system for the first time may not operate the system until they have changed their initial password.
    2. Passwords shall be saved in a randomized format.
    3. A user who forgets his password shall go through a rigorous identity check before being allowed to use the system again.
    4. Initial passwords shall be generated randomly and have no connection with the user's identity.
    5. The login session shall be terminated when a password is inputted incorrectly three times.
    6. Except where the input interface only allows for numerical inputs (e.g. voice-mail ordering systems), the company shall use strong passwords (at least six characters in length with alphanumeric characters or other symbols) and further encourage customers to change their user passwords at least once every three months. Except for customers, other users in the company must change their passwords at least once every three months.
    7. The company's current website, servers, Network Neighborhood, routers, switches, operating systems, databases, and other software and hardware equipment shall be password-protected. Default settings (e.g. "administrator," "root," "sa") or simple strings (e.g. "1234") shall be avoided as passwords. The company shall not fail to set administrator access privileges.
    8. Where the company is to deliver an electronic password slip by electronic means to a customer applying for electronic trading, it shall send an OPT (One Time Password) to the mobile phone number left by the customer when the customer opens an account, and shall send an encrypted electronic password slip by electronic meansto the electronic mailbox advised by the customer. With respect to such procedure, records of the relevant systems shall be retained.
  4. Management of computer audit logs:
    1. Audit logs for important systems (like server login systems and online order systems) shall include user ID numbers, login dates and times, computer identification information, and IP addresses etc.
    2. Specially appointed personnel shall be assigned to regularly inspect the computer audit logs of important systems above.
  5. Data Input Management:
    1. The inputting or alteration of high-security or important data may be undertaken only with approval from the supervisor with proper authority.
    2. A log shall be kept of the data that is input or altered along with the names and job titles of the people who perform the inputting or alteration.
    3. Important data (e.g. password files) that are highly confidential shall be saved in a randomized format.
    4. If the company is a public company, it shall incorporate the Guidelines for Online Filing of Public Information by Public Companies into its internal control system and carry out information reporting in accordance with those directions.
    5. Where an electronic certificate, IC card, other form of certificate chip card, or other certificate carrier is used to represent the company in transmitting signatures (e.g. the Market Observation Post System, the Securities Firm Filings Window, or Official-Document Exchange Center), specially appointed personnel shall be responsible for maintaining custody of the certificate carriers and establishing a log book. Procedures governing the use and custody of account numbers and passwords shall be adopted and implemented.
    6. When a certificate carrier is used to represent the company in transmitting signatures, if the server side is a securityfirm application system (e.g. Electronic Reconciliation Statement System), a computer audit log shall be kept for the same period as the data in each operation.
    7. The personal information of customers and the company's internal personnel shall be properly handled in accordance with the Personal Information Protection Act.
    8. The company shall at regular or irregular intervals audit the management of information defined as personal information by the Personal Information Protection Act.
    9. Any updates, edits, or strike-outs of the aforementioned personal information shall be reported for recordation, and a complete and accurate log shall be maintained showing the content of the updates, edits, strike-outs, the names of the persons making them and the times at which they were made.
    10. As the company needs to collect, process, and transmit internationally personal data for business purposes, the company shall adopt"The Partition of Rights and Liabilities with Regard to Maintenance of Secrecy and Damages with Software/Hardware Manufacturers."
  6. Management of Data Output:
    1. Whether statements aregenerated and delivered to the user units in a timely manner.
    2. Whether appropriate control procedures arein place for the printing out or browsing of confidential or sensitive statements.
    3. There shall be an encrypted transmission mechanism (e.g. SSL) for investors searching personal information on the company website.
    4. With regard to the transmission of reports on execution of electronic and non-electronic trades, the company shall handle the names, account numbers, credit account numbers and other confidentialand sensitive information in accordance with the Principles of the Classification and Concealment of Confidential and Sensitive Information.
9     Systems Development and Maintenance (CC-19000, semi-annualaudit)
  1. The information security requirements shall be included in the analysis and specifications when an application system is being planned and analyzed.
  2. Whether inputs are verified to confirm their accuracy.
  3. Legal copyrighted software shall be used.
  4. Contracts shall be entered into for outsourced work. The terms of contracts entered into for outsourced work shall include an information security agreement and the right to audit the outsourcer's information security.
  5. When a completed program requires maintenance, it must be carried out in accordance with formally approved procedures.
  6. All documents and handbooks shall be properly maintained and controlled.
  7. Specially appointed personnel shall be responsible for maintaining application systems.
  8. Management of changes to application systems:
    1. Files that contain programs, data, and job control commands for formal and test operations shall be stored separately.
    2. When a program is modified, its documentation shall be promptly updated.
  9. The company shall regularly (at least semi-annually) scan its information system for vulnerabilities.When potential vulnerabilities are identified, it is advised to evaluate the associated risks or install software patches and retain a record (applicable to securitiesfirmsplacing orders online, but not applicable to those doing so via telephone or in the traditional manner).
10     Business Continuity Management (CC-20000,semi-annual audit)
  1. Failure recovery procedures (e.g. backup and recovery plans for computer equipment, communications equipment, power systems, databases, and computer operating systems etc.) shall be clearly formulated and reduced to writing.
  2. Failure recovery procedures shall be tested periodically; after testing, a review meeting shall be convened to consider ways to improve in response to deficiencies and a record thereof shall be retained.
  3. Securities brokers shall have backup measures in place for their trading servers.
  4. The company is advised to formulate a business continuity plan (covering such matters as activation conditions, participating personnel, emergency response procedures, backup procedures, maintenance schedules, education and training, descriptions of job duties, response plans of outside entities with which the company does business, and contract suitability), maintain measures necessary for the plan, and to prescribe the key operations and related impact analyses.
  5. The company shall adopt an information security reporting mechanism (e.g. formal reporting procedures and appointed contacts for information security incident reports). The company is advised to take appropriate corrective procedures for information security incidents relating to its information system and to retain related records.
  6. Any theft, alteration, damage, loss or divulgence of, or other information security incident involving, personal information shall be immediately reported by the companyto the TWSE (TPEx or Taiwan Securities Association)in writing, to be advised to the competent authority.
11     Compliance (CC-21000,semi-annual audit)
  1. A company shall regularly (at least annually) carry out an information security audit (either internally or outsourced to a professional institution) and keep an audit log.
  2. Whether the company monitors improvement made in response to the aforementioned information security audits (including audit summaries, scope of audits, description of deficiencies, and recommendations for improvement).
12     Others (CC-22000,semi-annual audit)
  1. Provision of information (CC-22010)
    1. All important laws, regulations, by-laws, and notices shall be promptly posted on a public bulletin board.
    2. The listed company's operating data and prospectus shall be displayed at the securities investment data counter for customer access.
    3. The business hall shall install a Market Observation Post System for customers to operate on their own.
    4. A reading room shall not limit its users and shall not charge fees.
    5. No dedicated bidding terminal may be installed in the reading room.
    6. There shall not be any contract signing with customers for account openings, accepting of commission for the buying and selling of securities, or any other similar securities business in the reading room.
    7. Real time stock market trading data posted on the website shall be provided by a data company that has entered into a contract with the Taiwan Stock Exchange Corporation.
    8. Information provided to the public on the website shall be inspected regularly. Information that is confidential or sensitive shall be promptly removed. The Rules Governing Securities Firms Recommending Trades in Securities to Customers shall be followed, and no information that falls under the scope of a securities investment consulting enterprise may be made public in the name of the company on behalf of such enterprise.
    9. Securities firmsmaking recommendations on anonline platform shall set up a password in order to control customers with access to the research reports on each stock. Customers shall sign a contract for recommendations with the securities firms (investors of domestic and foreign institutionsare exempted).
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