Commentaries: Art. 32a

The operator shall apply a company-wide approach and maintain an appropriate organisational structure with regard to planning, implementing, monitoring and improving the management of tasks and activities relating to information security (information security management).
The operator shall set appropriate targets with regard to the availability, integrity, confidentiality, auditability, authenticity, accountability and non-repudiation of information, particularly data in connection with transactions that are cleared or settled via the financial market infrastructure (information security objectives).
The operator shall take organisational and technical measures to ensure that the information security objectives are met during normal operations, during development and maintenance activities, and in times of increased transaction volumes. In particular, it shall take precautions enabling it to:
1. identify, analyse and evaluate internal and external threats to information security and, if necessary, implement appropriate protective measures;
2. ensure the physical security of the data processing facilities;
3. ensure the secure and continuous operation of the data processing facilities;
4. control, record and evaluate access to information and to the data processing facilities;
5. protect data from loss, leakage, unauthorised access, and other processing risks such as negligence, fraud, poor administration and inadequate recordkeeping;
6. ensure the secure storage and transmission of sensitive data;
7. ensure the correct and complete processing of transactions;
8. record and check transactions at all key stages of processing, in particular regarding input to and output from the data processing system;
9. record and monitor interventions in the data processing system, such as software and parameter changes;
10. ¹ record, evaluate and rectify processing errors and system disruptions promptly and in standardised form and prevent them from recurring.
The operator shall regularly monitor the appropriateness of, and compliance with, the information security objectives specified in paragraph 2.

Amended by No I of the SNB O of 26 Nov. 2015, in force since 1 Jan. 2016 (AS 2015 5307). ↩

Art. 32a

Footnotes