摘要
证券行业是现代金融体系的四大支柱之一,联结着经济生活的各个领域。随着业务快速发展,证券行业积累了海量数据,其中包含大量金融市场敏感数据和个人客户敏感信息,在数据时代,数字技术在证券公司经纪业务、财富管理、系统运维、风险管理等板块不断落地。这其中,数据跨境传输和数据分级逐渐成为证券行业数据合规面临的首要问题。通过对证券代销业务涉及的跨境数据传输及数据分类进行研究,探索覆盖数据应用全生命周期的重要合规管理体系框架,并进一步研究证券行业数据应用合规管理面临的制度和实践层面挑战,探讨应对策略,提出相关建议,以期助于证券公司在数据时代提升合规水平和风险应对能力,推动证券行业高质量发展。
The securities industry is one of the four pillars of the modern financial system, linking all areas of economic life. With the rapid development of business, the securities industry has accumulated a huge amount of data, which contains a large amount of sensitive data of the financial market and sensitive information of individual customers. In the data era, digital technology has been continuously implemented in the brokerage business, wealth management, system operation and maintenance, risk management and other segments of securities companies.Among them, data cross-border transmission and data classification gradually become the primary issues facing data compliance in the securities industry. By studying the cross-border data transmission and data classification involved in securities distribution business, the author explores the important compliance management system framework covering the whole life cycle of data application, and further studies the institutional and practical level challenges facing the compliance management of data application in the securities industry, explores the response strategies and puts forward. The study will further examine the institutional and practical challenges of data application compliance management in the securities industry, explore the response strategies and make relevant recommendations. This will help securities firms to improve their compliance level and risk response capability in the data era and promote the high-quality development of the securities industry.
作者
翟梓君
Zhai Zijun(Shanghai University of Political Science and Law,Shanghai 201701)
出处
《对外经贸》
2022年第5期74-79,共6页
FOREIGN ECONOMIC RELATIONS & TRADE
关键词
证券代销
数据跨境流动
数据分级
数据合规
Securities Consignment
Data Cross-border Flow
Data Classification
Data Compliance
