B TI CHNH Y BAN CHNG KHON NH NC

CNG HA X HI CH NGHA VIT NAM

c lp - T do - Hnh phc H Ni, ngy 08 thng 02 nm 2010

S: 106/Q-UBCK

QUYT NH V vic ban hnh Quy nh hng dn v yu cu h thng cng ngh thng tin ca cng ty chng khon CH TCH Y BAN CHNG KHON NH NC Cn c Lut chng khon ngy 29 thng 6 nm 2006; Cn c Lut cng ngh thng tin ngy 29 thng 6 nm 2006; Cn c Ngh nh s 14/2007/N-CP ngy 19 thng 01 nm 2007 ca Chnh ph quy nh chi tit thi hnh mt s iu ca Lut Chng khon; Cn c Ngh nh s 27/2007/N-CP ngy 23 thng 02 nm 2007 ca Chnh ph v giao dch in t trong hot ng ti chnh; Cn c Ngh nh s 97/2008/N-CP ngy 28 thng 08 nm 2008 ca Chnh ph v qun l, cung cp, s dng dch v Internet v thng tin in t trn Internet i vi dch v Internet; Cn c Quyt nh s 112/2009/Q-TTg ngy 11 thng 9 nm 2009 ca Th tng Chnh ph Quy nh chc nng, nhim v, quyn hn v c cu t chc ca U ban Chng khon Nh nc trc thuc B Ti chnh; Cn c Thng t s 50/2009/TT-BTC ngy 16 thng 03 nm 2009 ca B Ti chnh Hng dn giao dch in t trn th trng chng khon; Cn c Quyt nh 27/2007/Q-BTC ngy 24/04/2007 v quy ch t chc v hot ng cng ty chng khon v Quyt nh s126/2008/Q-BTC ngy 26/12/2008 ca B trng B Ti chnh v vic sa i, b sung mt s iu ca Quy ch t chc v hot ng cng ty chng khon ban hnh km theo Quyt nh s 27/2007/Q-BTC ngy 24/4/2007; Theo ngh ca Cc trng Cc Cng ngh Thng tin, QUYT NH: iu 1. Ban hnh km theo Quyt nh ny Quy nh hng dn v yu cu h thng cng ngh thng tin ca cng ty chng khon.

iu 2. Quyt nh ny c hiu lc k t ngy k. iu 3. Cc trng Cc Cng ngh Thng tin, Chnh vn phng UBCKNN, Th trng cc n v lin quan thuc y ban Chng khon Nh nc, cng ty chng khon v cc t chc, c nhn c lin quan chu trch nhim thi hnh Quyt nh ny.
Ni nhn:
- Nh iu 3; - Lu: VP, CNTT.

CH TCH ( k)

V Bng

QUY NH HNG DN V YU CU H THNG CNG NGH THNG TIN CA CNG TY CHNG KHON (Ban hnh theo Quyt nh s 106/Q-UBCK ngy 8/02/2010 ca Ch tch y ban Chng khon Nh nc)
I. QUY NH CHUNG

1. Phm vi iu chnh Quy nh ny ca y ban Chng khon Nh nc (UBCKNN) hng dn v nguyn tc cc yu cu ca h thng cng ngh thng tin cho cc cng ty chng khon thnh lp v hot ng ti Vit Nam. 2. Gii thch t ng Trong Quy nh ny, cc t ng di y c hiu nh sau: H thng cng ngh thng tin ca cng ty chng khon bao gm: trang thit b cho c s h tng cng ngh thng tin, phn mm ng dng, trang thng tin in t. C s h tng cng ngh thng tin bao gm my ch, my tnh c nhn, my in, thit b mng, thit b lu tr, h thng ng truyn, h thng chng st v cc trang thit b khc. Trang (cng) thng tin in t (Website) ca cng ty chng khon l trang thng tin hoc mt tp hp trang thng tin trn mi trng mng phc v cho vic cung cp, trao i thng tin lin quan n cc hot ng ca cng ty chng khon. Phn mm ng dng ca cng ty chng khon: l chng trnh my tnh thc hin cc nghip v lin quan n cng tc qun l v hot ng nghip v ti cc cng ty chng khon. Phng my ch ca cng ty chng khon l khu vc thuc cng ty chng khon t v s dng cc trang thit b cng ngh thng tin nh my ch, thit b mng, ng truyn d liu v cc thit b ph tr khc. H thng mng cc b (Local Area Network-LAN) l cac may tinh c kt ni vi nhau trong pham vi mt khu vc han ch, sao cho cc my tnh trong mng co th trao i thng tin, dung chung cac thit bi ngoai vi va s dung cac chng trinh cung nh cac d liu a c lu tr. My ch l nhng my tnh chuyn dng, c nng lc x l cao, c kh nng chy n nh lin tc, chuyn dng ci phn mm phc v cho cc my tnh khc truy cp yu cu cung cp dch v v ti nguyn.

Switch l thit b mng c nhiu cng lm chc nng kt ni cc trm lm vic (workstation) trong mt mng LAN li vi nhau theo cu hnh hnh sao (Star configuration) bng cch chuyn mch (Switching). Web Hosting l khng gian trn my ch c ci t cc dch v Internet nh world wide web (www), truyn file(FTP), th in t (Mail), ni dung trang web hay d liu khc. Web Hosting ng thi cng l ni din ra tt c cc hot ng giao dch, trao i thng tin gia Website vi ngi s dng Internet v h tr cc phn mm Internet hot ng.
II. YU CU H THNG CNG NGH THNG TIN CA CNG TY CHNG KHON

1. Yu cu chung h thng cng ngh thng tin. 1.1. Cng ty chng khon phi trang b h thng cng ngh thng tin phc v cc hot ng nghip v c y ban Chng khon Nh nc cp php; 1.2. H thng cng ngh thng tin phi c thit k c d phng, m bo cho h thng lun trong trng thi sn sng phc v giao dch chng khon v cung cp thng tin cho cc nh u t; 1.3. H thng cng ngh thng tin phi c thit k m bo kh nng m rng, nng cp trong tng lai v m bo ti u ho nng lc x l thng tin ca mng my tnh; 1.4. H thng cng ngh thng tin phi c thit k m bo tp trung cc dch v thng tin, cc c s d liu s dng chung trong ton cng ty chng khon; 1.5. H thng cng ngh thng tin phi c thit k m bo an ton bo mt; 1.6. H thng cng ngh thng tin phi c thit k m bo kh nng phn tch, pht hin x l s c, nhanh chng khc phc li h thng; 1.7. H thng cng ngh thng tin ca cng ty chng khon khi kt ni vi h thng giao dch chng khon ca cc S Giao dch Chng khon, Trung tm Lu k Chng khon, phi m bo tnh tng thch v ng truyn, chun cng ngh v an ton bo mt h thng. Cc S Giao dch Chng khon, Trung tm Lu k Chng khon hng dn, quy nh phn h thng cng ngh thng tin kt ni vi cc cng ty chng khon l thnh vin theo thm quyn. 2. Yu cu k thut c s h tng cng ngh thng tin. 2.1. Yu cu chung v c s h tng cng ngh thng tin

a) Cng ty chng khon phi trang b my ch cho h thng cng ngh thng tin. My ch phi c cu hnh ph hp vi yu cu ca phn mm ci t trn my ch v cc dch v m my ch cung cp. Cc phn mm ng dng v cc dch v lin quan n hot ng giao dch ca cc nh u t phi c duy tr hot ng trn cc my ch. Khng s dng my tnh c nhn ng vai tr my ch; b) H thng ng truyn kt ni thuc h thng giao dch ca cng ty chng khon, h thng ng truyn kt ni gia cng ty chng khon vi S Giao dch Chng khon v Trung tm Lu k Chng khon phi t tc kt ni m bo cc giao dch c thng sut; c) Cc thit b sao lu d phng phi chuyn dng. Phi c gii php sao lu d phng tp trung cho d liu ca cc ng dng nghip v; d) Cng ty chng khon phi trang b h thng chng st cho h thng mng v my ch, m bo chng st nh trc tip v chng st lan truyn; ) Ti liu k thut v vn hnh h thng cng ngh thng tin ti cng ty chng khon phi gm cc loi: - H s kho st thit k v thuyt minh k thut ca h thng; - Ti liu t kim tra, nh gi ca n v hoc do c quan chuyn mn c chc nng kim nh xc nhn thit k ca h thng tiu chun an ton cho vn hnh; - Quy nh quy trnh qun l s dng h thng mng, an ton bo mt, sao lu d phng v vn hnh h thng. 2.2. Yu cu v an ton bo mt Cng ty chng khon phi c gii php bo mt bo m an ton cho h thng cng ngh thng tin: a) S dng thit b tng la (firewall) ngn chn cc tn cng trc tip vo cc thng tin quan trng ca h thng, kim sot cc thng tin ra vo h thng ti tr s chnh v cc chi nhnh; b) Khuyn ngh cc cng ty chng khon s dng thit b pht hin v ngn chn xm nhp (IPS) ngn chn cc kt ni tri php vo cc ti nguyn quan trng khi chng i qua c tng la; c) S dng phn mm chng virus (Anti-Virus) v phn mm chng phn mm gin ip (Anti-Spyware) trn tt c cc my ch, my trm v ti cng kt ni vi mng cng cng (Internet); d) Thng xuyn cp nht cc bn sa li ca h iu hnh my ch, my trm v cc phn mm h thng khc. Cu hnh h thng cp nht t ng, tp trung phin bn phn mm chng virus mi v cc mu virus mi;

) Khuyn ngh cc cng ty chng khon s dng cc gii php khc nh: mng ring o; m ha cc d liu trn ng truyn; kim sot truy cp web nhm gim thiu cc nguy c mt an ton cho cc my trm khi truy cp web; ngn chn th rc; tng la cho ng dng web; e) Thc hin chia tch h thng mng thnh cc vng mng khc nhau theo mc ch s dng, i tng s dng v c chnh sch bo mt cho tng vng; g) Vic truy cp h thng phi c phn quyn n tng b phn, c nhn s dng bo v cc lp thng tin khc nhau. Cc my ch phi c ci t, cu hnh h thng c th lu vt mi xm nhp; h) Cc my trm, c bit l cc my tnh trang b cho cn b nghip v lin quan n thc hin giao dch chng khon ti cng ty chng khon phi thc hin cc bin php an ton bo mt: nim phong my, ci t mt khu cho my tnh. Cc my tnh nghip v thc hin giao dch chng khon khng c kt ni vi mng cng cng (internet) nu khng thng qua h thng bo mt; i) H thng t lnh qua in thoi v internet phi c bin php bo mt qun l truy cp ca ngi s dng. H thng phi c kh nng t chc, tra cu tm kim d liu nhanh; k) Cng ty chng khon phi xy dng cc qui nh p dng cho mi i tng c tham gia qun l v s dng cc ti nguyn v dch v mng gip ngi s dng bit c trch nhim ca mnh trong vic bo v cc ti nguyn thng tin trn mng, ng thi gip cc qun tr mng thit lp cc bin php bo m hu hiu trong qu trnh trang b, cu hnh, kim sot hot ng ca h thng, hng dn ngi s dng nhn thc v tun th cc quy tc bo mt; l) Cng ty chng khon phi c bin php sao lu d phng h thng thng tin nh k, m bo khi phc thng tin d liu trong vng 24 gi k t khi pht sinh s c. Vic sao lu d phng phi c thc hin hng ngy; m) Thng tin sao lu d liu trn bng t, a quang, cng v cc thit b lu tr khc phi c bo v vt l trong mi trng bo mt v c lu gi an ton. Cn c vo c tnh k thut ca tng loi thit b lu tr c ch ti lu thch hp. 2.3. Yu cu phng my ch a) Phng my ch ca Cng ty chng khon phi c b tr m bo iu kin cho cc thit b hot ng v m bo an ton bo mt; b) Phng my ch phi c ni quy v p dng cc bin php bo v, kim sot ra vo. Nhng cng vic tin hnh trong phng my ch phi c ghi s nht k lm vic hng ngy;

c) Phng my ch phi m bo cc yu cu v m, nhit , v sinh t tiu chun hot ng cho my ch v cc thit b; phi c trang b cc thit b phng chng chy n, h thng an ninh chng xm nhp bt hp php; d) Phng my ch phi c trang b ngun in vi cc tiu chun k thut ph hp vi cc trang thit b lp t trong phng my m bo hot ng lin tc. 2.4. Yu cu ngun in a) H thng cung cp ngun in bao gm li in quc gia, my pht in, b lu in v c thit k t ng m bo cung cp ngun in n nh, lin tc, p ng yu cu hot ng cho h thng cng ngh thng tin; b) Ngun in d phng phi tiu chun, cng sut cho hot ng bnh thng ca h thng cng ngh thng tin trong thi gian ngun in chnh c s c. 3. Yu cu v phn mm ng dng 3.1. Yu cu chung v phn mm ng dng a) Phn mm ng dng p dng ti cng ty chng khon phi m bo tun th cc quy nh php lut v th trng chng khon v ph hp vi iu kin hot ng, yu cu qun l ca cng ty; b) Cng ty chng khon phi la chn gii php cng ngh xy dng phn mm ng dng p ng kh nng nng cp m rng; c) Cng ty chng khon s dng phn mm ng dng phi thc hin cc yu cu v bn quyn phn mm theo quy nh ca php lut; d) Phn mm ng dng trc khi a vo s dng phi c t tn, thuyt minh r xut x, tnh nng k thut v c ti liu hng dn c th km theo nh: phn tch thit k h thng (khuyn ngh), ti liu yu cu ngi s dng, hng dn s dng... gip ngi s dng vn hnh an ton, c kh nng x l cc s c n gin. 3.2. Yu cu v tnh nng k thut a) Phi c kh nng cnh bo sai st khi nhp d liu; b) Phi c kh nng lu vt cc giao dch v cc tng tc ca ngi dng; c) Cc phn mm giao dch chng khon phi c kh nng kim sot cc truy cp v thao tc nghip v trong giao dch, m bo thc hin ng quy trnh, chng sai st; d) D liu lu trong c s d liu ca phn mm ng dng phi c cc yu t gim st ngi s dng nh: ti khon v thi gian truy cp thng tin

vo h thng; ti khon v thi gian to ra d liu, thi gian sa d liu cui cng v thi gian kim sot d liu; ) C s d liu ca phn mm ng dng phi c t chc h thng phn mm d dng cp nht thng tin, tng hp, la chn, x l, truyn dn nhanh chng v chnh xc; e) Vic xy dng v a ra cc gii php phn mm ng dng phi ng thi vi vic x l d liu, tch hp ng b vi cc thit b phn cng, gii php v mng truyn thng, an ninh mng ca cng ty chng khon; g) Phn mm ng dng ca cng ty chng khon khi kt ni vi h thng giao dch chng khon ca cc S Giao dch Chng khon, Trung tm Lu k Chng khon phi m bo tnh tng thch v an ton bo mt. 3.3. Yu cu v bo mt v an ton d liu a) Phn mm ng dng phi m bo c kh nng phn quyn theo chc nng n tng ngi s dng. Mi ngi s dng c c phn nh r rng v nhim v v quyn hn. Ngi khng c phn quyn khng th truy cp vo cng vic ca ngi khc; b) i vi cc phn mm ng dng c chc nng giao dch qua internet phi c c ch xc thc ngi s dng v m ha d liu trn ng truyn. S dng h thng bo mt, ch k s, ch k in t cho cc giao dch theo quy nh ti Ngh nh 27/2007/N-CP ngy 23 thng 02 nm 2007 ca Chnh ph quy nh v giao dch in t trong hot ng ti chnh, Thng t 78/2008/TTBTC ngy 15 thng 9 nm 2008 ca B Ti chnh hng dn thi hnh mt s ni dung ca Ngh nh s 27/2007/N-CP ngy 23 thng 2 nm 2007 v giao dch in t trong hot ng ti chnh, Thng t 50/2009/TT-BTC ngy 16 thng 3 nm 2009 ca B Ti chnh hng dn giao dch in t trn th trng chng khon; theo ng tiu chun v ng dng cng ngh thng tin c ban hnh theo Quyt nh s 20/2008/Q-BTTTT ngy 09 thng 04 nm 2008 ca B trng B Thng tin v Truyn thng; c) Mt khu ngi s dng khi lu tr phi c m ha. Nghim cm trao i mt khu ngi s dng di dng vn bn khng m ha (clear text) trong mi trng hp, ngoi tr mt khu s dng mt ln. Vic in, gi mt khu cho khch hng phi c bo mt; d) Phn mm ng dng phi c chc nng sao lu d phng, phc hi cc d liu, thng tin giao dch chng khon v cc thng tin khc t nht l trong vng 24 gi k t khi pht sinh s c k thut; ) Cng ty chng khon phi trang b, t chc v s dng cc thit b lu tr an ton cho c s d liu v phn mm ng dng, m bo an ton v vn hnh theo ng yu cu k thut;

e) Trc khi a phn mm ng dng vo vn hnh phi m bo phn mm c kim tra pht hin v khc phc cc l hng bo mt. 4. Yu cu v trang (cng) thng tin in t. Cng ty chng khon phi xy dng mt trang thng tin in t vi a ch xc nh trn mng Internet cng b thng tin theo quy nh hin hnh. Trang thng tin in t ca cng ty chng khon phi m bo cc yu cu sau: 4.1. Yu cu chung v trang (cng) thng tin in t. a) Trang thng tin in t ca cng ty chng khon phi c c quan c thm quyn cp php theo quy nh ca php lut vi tn min quc gia Vit Nam .vn; b) Trang thng tin in t c xy dng trn nn tng cng ngh ca cc sn phm thng mi phi c bn quyn phn mm ca sn phm ; c) Trn trang thng tin in t phi ng ti cc thng tin lin h vi cng ty chng khon; d) Trang thng tin in t phi c lu tr trn my ch ti cng ty hoc ti t chc cung cp dch v Web Hosting ca Vit Nam. 4.2. Trang thng tin in t phi m bo cc yu cu v an ton v bo mt nh sau: a) H thng my ch trang thng tin in t phi c kh nng gim st v theo di thay i quyn iu khin, thay i ni dung ca Trang thng tin in t; b) Thng xuyn cp nht cc bn v li cho cc phn mm nn xy dng trang thng tin in t nh h iu hnh, h c s d liu, firewall...; c) C c ch tm kim l hng bo mt trang thng tin in t theo nh k bng cc phn mm chuyn dng; d) i vi nhng trang thng tin in t thc hin giao dch chng khon qua mng th phn ni dung giao dch trc tuyn phi c tch ring v t trn my ch ring bit ti cng ty. Cc thng tin giao dch, ti khon v mt khu phi m ho, m bo b mt cho nh u t. H thng phi s dng cng ngh bo mt theo Danh mc tiu chun v ng dng cng ngh thng tin trong c quan nh nc ca B Thng tin v Truyn thng. 4.3. Trang thng tin in t phi m bo cc yu cu v sao lu v phc hi nh sau: a) Trang thng tin in t phi c sao lu ton b, bao gm c phn mm v c s d liu lu ni dung thng tin; b) Trong trng hp gp s c, trang thng tin in t phi c phc hi trong thi gian khng qu 24 gi k t khi xy ra s c. 7

5. Yu cu v i ng nhn s Cc cng ty chng khon phi c i ng cn b k thut trnh qun l, vn hnh v gim st h thng cng ngh thng tin. i ng cn b k thut phi c trnh chuyn mn v cng ngh thng tin v c cc chng ch chuyn mn ph hp vi tng v tr cng tc sau: - Qun tr h thng mng; - Qun tr cc h iu hnh; - Bo mt h thng cng ngh thng tin; - Qun tr c s d liu. 6. Ni dung yu cu k thut ca h thng cng ngh thng tin trong h s ngh cp Giy php thnh lp v hot ng cng ty chng khon, bao gm: 6.1 Phng n thit k h thng cng ngh thng tin. Ni dung gm: gii php xy dng c s h tng h thng mng (LAN, WAN), s kt cu v chc nng ca mng; gii php an ton bo mt ca h thng nh nhn dng, m ha khi truyn ti d liu, ch k s, chia tch mng v phng chng ri ro, phng thc giao tip qua mng, phng thc truy nhp vo mng; gii php xy dng phn mm... (theo mu Ph lc I km theo). 6.2 Gii php lu tr v phc hi d liu trong trng hp hng hc h thng, cc phng php giao dch thay th v cc bin php lin quan n vic khi phc d liu v h thng. 6.3 D kin tn min v ni t Web Hosting trang thng tin in t ca cng ty.
III. T CHC THC HIN

1. Cc Cng ngh Thng tin - y ban Chng khon Nh nc c trch nhim hng dn, gim st cc cng ty chng khon trong vic chp hnh Quy nh ny. Cc cng ty chng khon vi phm quy nh ny s b y ban Chng khon Nh nc x l theo thm quyn. 2. Vic thay th, sa i, b sung Quy nh ny do Ch tch UBCKNN quyt nh./.

CH TCH
( k)

V Bng

Ph lc I
NI DUNG PHNG N THIT K H THNG CNG NGH THNG TIN

(Ban hnh km theo Quyt nh s 106/Q-UBCK ngy 8 thng 02 nm 2010 ca Ch tch UBCKNN quy nh v yu cu h thng cng ngh thng tin ca cng ty chng khon) CNG HA X HI CH NGHA VIT NAM c lp T do Hnh phc ............, ngy .... thng .... nm 20....

PHNG N THIT K H THNG CNG NGH THNG TIN

Knh gi: U ban Chng khon Nh nc Chng ti thay mt cc c ng sng lp (hoc cc thnh vin sng lp, ch s hu cng ty) bo co phng n thit k h thng cng ngh thng tin cho cng ty chng khon .................... (tn cng ty chng khon d kin thnh lp) nh sau: 1. Tng quan chung v h thng cng ngh thng tin - Cc cu phn chnh ca h thng CNTT (Phn cng, phn mm, CSDL, h thng mng, website) - Kh nng p ng ca h thng (Chi nhnh, i l, s lng ngi truy cp) 2. Gii php xy dng c s h tng h thng mng 2.1 Gii php xy dng h thng mng LAN - Mc tiu thit k - Kin trc h thng mng - H thng my ch - Thit b h thng mng 2.2 Gii php xy dng h thng mng WAN - Mc tiu thit k - Kin trc h thng mng - H thng my ch - ng truyn mng - Thit b h thng mng 2.3 Gii php an ninh bo mt ca h thng - Gii php an ninh bo mt cho h thng giao dch. - Gii php an ninh bo mt website. 1

- Quy nh chnh sch v an ninh bo mt. 3. Gii php xy dng phn mm - Chc nng - M hnh thng tin ca c s d liu - Gii php k thut 4. Gii php sao lu d phng d liu v an ton h thng - Gii php backup d liu - Gii php v h thng d phng - Gii php h thng in d phng - Gii php h thng chng st 5. D kin nhn lc cng ngh thng tin: (s lng, trnh chuyn mn, cc kha hc cng ngh thng tin c o to)
H s gi km (Lit k y ) TM. C ng sng lp/Thnh vin sng lp/Ch s hu (K, ng du, ghi r h tn)

Ghi ch: * Cc ni dung v yu cu hng dn xy dng phng n thit k h thng cng ngh thng tin trn y ch nu theo hng nguyn tc, cng ty chng khon phi cn c theo tng h thng xy dng bo co chi tit cho ph hp