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DA-1.2.1

Licensees providing digital financial advice must ensure that they maintain an up to date security policy document containing the following information:

a) a description of the business IT systems supporting the digital financial advice tool;
b) the logical security measures and mechanisms in place, specifying the control the licensee will have over such access as well as the nature and frequency of such control;
c) policies and processes for system monitoring, authentication, confidentiality of communication, intrusion detection, antivirus systems and logs;
d) the physical security measures and mechanisms of the premises and the data centre of the licensee, such as access controls and environmental security; and
e) the type of authorised connections from outside, such as with technology partners, service providers and employees working remotely, including the rationale for such connections where applicable.
Added: April 2019