CASE STUDies

SFC Assessment Case
A financial services institute with 100+ staff based in HK headquarters

Size 100+ Employees, Hong Kong Headquarter
Services IT Audit and assessment based on SFC Ordinance
Challenge Being a securities and futures firm, our client has to Fulfill SFC standard by having an independent auditor to conduct the IT assessment.
Results As an independent auditor, our audit team has conducted a vulnerability assessment and onsite security audit service.
Follow - up Mitigate existing security holes. Security methods and tools were suggested for further improvement. Yearly continuous audit assessment for future improvement.

Challenge
In 2013, SFC ordinance has been updated and requires all securities and futures firm which has a trading platform to have adequate security controls for the trading system with regular audit assessment. Our client as a securities and futures firm having over 100 employees in Hong Kong headquarter requests an independent auditor to conduct the assessment for them in order to fulfill the SFC ordinance.

Results
Our audit team has conducted onsite security audit service and vulnerability assessment for our client. With our recommendations over documented procedures and system management, our client has implemented different safeguards to achieve significant improvements.

Follow-Up
After our assessment and in-depth analysis of the operation procedures, RSEL has given suggestions in security methods and tools. RSEL also helped client to mitigate existing security holes. A customized yearly continuous I.T. audit assessment is provided as to ensure the security of the online trading platform of our client.

Impacts
Confidence built for our client, for the regulatory and end users.

 
I.T. Audit and Assessment
I.T. Consultation
ISO 27001 Consultation
Vulnerability Assessment and Penetration Test Vulnerability Assessment and Penetration Test Vulnerability Assessment and Penetration Test