Standard No.: JR/T 0146.5—2016
Standard Chinese name: 證券期貨業(yè)信息系統(tǒng)審計指南 第5部分：證券公司
Standard English name: Securities and futures industry audit guideline for information system—Part5: Securities companies
Issue Date: 2016-11-08
Implementation Date: 2016-11-08
Drafting Unit: IT Center, China Securities Regulatory Commission, Dept. of Accounting, China Securities Regulatory Commission, Discipline Inspection Commission Supervisory Bureau, China Securities Regulatory Commission, Shanghai Stock Exchange, Shenzhen Stock Exchange, Shanghai Futures Exchange, Zhengzhou Commodity Exchange, Dalian Commodity Exchange, China Financial Futures Exchange, China Securities Depository and Clearing Corporation Limited, China Securities Investor Protection Fund Corporation Limited, China Securities Finance Corporation Limited, China Futures Market Monitoring Center Corporation Limited, Capital Market Statistics and Monitoring Center Corporation Limited, National Equities Exchange and Quotations Corporation Limited, China Securities Information Technology Service Limited Company, Shenzhen Securities Communication Co., Ltd., Shanghai Futures Information Technology Co., Ltd., Dalian Futures Information Technology Co., Ltd., Guotai Junan Securities Company Limited, Haitong Securities Company Limited.
Draftman: Zhang Ye, Liu Tiebin, Wang Dongming, Chen Wei, Chen Jianbin, Jin Pufang, Pu Xiaoming, Gong Dinggui, Chen Guohong, Wang Xin, Lv Dexu, Jiao Dongliang, Cong Riquan, Wu Zhonghua, Ma Weijie, Sun Li, Zhou An, Huang Wei, Xu Nan, Li Yi, Wu Ning, Zhu Jiagen, Zhao Ming, Yan Meng, Li Jie, Du Jiakai, Guo Heran.
Standard Scope: This part specifies the implementation guidelines of information system audit for securities companies.
This part applies to the information system audit work of securities companies and their subordinate companies established within the territory of the People's Republic of China.
