Standardized format for System and Network audit report of Market Infrastructure Institutions(MIIs)

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....Clause 4.29 of SEBI Master Circular No. SEBI/HO/MRD/MRD-PoD-1/P/CIR/2024/168 dated December 03, 2024 for Depositories. 1.3 Clause No. 16.3 of SEBI Master Circular No. SEBI/HO/MRD/MRD-PoD-1/P/CIR/2023/136 dated August 04, 2023 for Commodity Derivatives Segment. 2. Presently, all MIIs are required to conduct System and Network audit as per the aforesaid framework and each MII has adopted different template for System and Network audit report. In view of the same, the format of report adopted by MIIs for System and Network audit was reviewed by SEBI in consultation with the Technology Advisory Committee (TAC) of SEBI. Based on the recommendations of the Committee and in consultation with MIIs, a standardized format for System and Network....

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....l of Competent Authority. 8. This Circular is available on SEBI website at www.sebi.gov.in under the categories "Legal Framework" and "Circulars". Yours faithfully, Ansuman Dev Pradhan General Manager +91-22-26449622 [email protected]   Annexure A 1. Background: - 2. Details of Auditee:-   Auditee Name                         Auditee Address   Contact Information   Date of agreement between MII and auditor   3. Details of Audit Team Members: -  Auditor Name                               &nb....

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....audit: - d) List of all IT/network infrastructure (including IT systems/applications/database management systems of Primary Data Center (PDC), Disaster Recovery Site (DRS), Near Site, Co-lo facility) covered under audit: - e) Geographical locations covered under audit (PDC/DRS/Near Site etc.): - f) Name of audit tools used during audit, if any: - g) Any other specific item(s): - 7. Methodology /Audit approach (audit subject identification, pre-audit planning, data gathering methodology, sampling methodology etc. followed): - 8. Executive Summary of findings (including identification tests, tools used and results of tests performed): - S.No Number  of observations Risk ratin....

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....f the same is mentioned below: - S.NO Heading Interpretation 1 Name of MII Name  of  MII  shall  be  written  in  short  form  such  as NSE/BSE/NCL/ICCL/MSEI/NSDL/CDSL/MCX/MCXCCL/NCCL/NCDEX 2 S S represents observation found in System and Network audit 3 N N represents i^th observation found during particular audit period i.e. serial number of unique observation i.e. 1,2......n. 4 F F represents frequency of audit i.e. value of F=0 in case of audit is being done for full financial year, F=1 in case of audit is being done for first half of any financial year, F=2 in case of audit is being done for second half of any financial year. 5 YYYY ....

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....sp;           4 Mock session of SaaS-RMS (applicable for NCL  and ICCL)             5 Review  of BCP-DR policy             6 Review  of Capacity Planning and Real Time Performance Monitoring Policy             7 Review  of performance monitoring and  alert systems             8 Review of Capacity planning ....