The financial industry will suffer huge losses in case of information security incidents. According to the data, about 25% of the enterprises involved in insider information security incidents are financial institutions, and about 60% of the insider cases are data theft. In recent years, the concept of information security protection has gradually matured, and the public sector's inspection and verification regulations for financial institutions have become increasingly stringent. How should financial institutions respond effectively? Please contact us for more information and exclusive consultation.



Major certification issues for financial institutions


・What is the connecting device? How is the intranet equipment managed?
・Has the internal staff arbitrarily installed any improper software? How to deal with it?
・How many local accounts are logged into the internal computer?
・Is the operating system version updated on time?
・How to control folder sharing?
・Are the virus code and anti-virus software updated to the latest version?

UPAS is a team with independent R&D capability and technical service. We understand the information security requirements of different industries, and can propose accurate and complete solutions to meet the customer requirements. For financial industry related problems, we have the following key solutions.
Network Resource Access Control

The Internet operation related management measures; operation specifications; and network system security policies, such as network resource access control; user account maintenance; network vulnerability scanning; vulnerability repair; management of anti-virus software usage; and restrictions on Internet access, are stipulated to serve as the basis for the implementation of network maintenance operations, as well as are regularly reviewed and revised to meet the actual operation requirements.

・ Access device compliance check
・ Control of non-compliant external equipment
・ Automatic check of IP, MAC, computer name, AD account number, switch, port, GPO, OS patch, virus code update, permit software, prohibited software, vulnerability and malicious program.

SIM Security Integration management
PM Patch management
Network Activity Logs and Data Trail

The activity logs; audit trail; and abnormal entry and exit records are fully recorded and retained for at least 6 months, so as to meet the audit standards of relevant units. In order to have complete records for tracking in case of information security incidents, warning mechanisms and handling procedures shall be established to regularly review the appropriateness of monitoring and warning condition settings.


・ Automatic collection of ARP, SNMP, AD and other real-time online information and historical records.
・ Automatic recording of the complete data of IP, MAC, computer name, AD account number, switch, port.
・ Full encryption backup and retention by AES-256 database
・ More than 5 years of full encryption backup and retention 

Identity Management and Data Access

Whether a management mechanism has been established for the use of mobile storage media, such as mobile discs; optical discs and magnetic tapes, as well as portable devices such as notebook computers and tablet computers, and whether the complete audit trail has been retained.


Financial institutions need to take the following information security measures to provide e-commerce service systems:
1. User identification and protection mechanism.
2. Hidden code mechanism of personal data display.
3. Secure encryption mechanism for Internet transmission.
4. Software verification and validation procedures in the development, launch and maintenance stages of the application system.
5. Access control and protection and monitoring measures for personal data files and databases.
6. Countermeasures to prevent external network intrusion.
7. Monitoring and response mechanism for non-compliant or abnormal user behavior.


・ non-compliant devices will be blocked automatically
・ Acquisition of network access
・ Segregation of internal and external network access rights
・ The device is forced to follow the enterprise standard and to be logged in with an AD account
・ Acquisition of account usage records
・ Limits on the use of BYOD and external access devices

DM Desktop management