Notice on the Information Security Emergency Exercise of the Securities and Futures Industry for 2014

Updated on Dec 17,2014

Notice on the Information Security Emergency Exercise of the Securities and Futures Industry for 2014

FROM: The Shanghai Futures Exchange

TO: All Members and Market Data Distributors

SUBJECT: Notice on the Information Security Emergency Exercise of the Securities and Futures Industry for 2014

FILING SERIAL: SQBF [2014] No. 145

December 17, 2014

As per the requirements of the Notice on Carrying Out the Information Security Emergency Exercise of the Securities and Futures Industry for 2014 issued by China Securities Regulatory Commission [ZJBF(2014)No.82], the Exchange will organize an participate in the information security emergency exercise of the securities and futures industry for 2014 this December 20^th. All members shall attach great importance to and make overall arrangements and fully prepare themselves for the exercise which is a emergency exercise involving continuous multi-scenario across the whole market and a large number of participating institutions and exercise parts. Relevant issues are notified as follows:

I. The exercise scenario of the Exchange is “Switch from the SHFE Main Center’s Trading System Host Failure to the Same-city Disaster Recovery Center”. All the participating members shall act in accordance with A Guide to the Information Security Emergency Exercise of the Securities and Futures Industry for 2014 (the Shanghai Futures Exchange) (Appendix 1) during the exercise and shall pay close attention to the short notice from the member service system on the exercise day.

II. The exercise day is December 20, 2014 and the trading exercise period 8:55-9:00 (call auction) and 9:00-12:00 and 13:00-15:00 (normal trading). The exercise will adopt the trading data at the close of continuous trading at 2:30 on December 20, including contract prices, open interest, hedging quotas and client data to simulate the trading in the daytime of December 22.

III. All participating members shall, upon the receipt of this notice, fill in the Participation Confirmation Report of the Information Security Emergency Exercise of the Securities and Futures Industry for 2014 (Appendix 2), and send its electronic version and scanned copy with stamp to the mailbox of the Exchange’s IT center by 12:00 on December 19.

IV. Upon the completion of the exercise on the day, all participating members shall do well in system and data recovery, fill in the System Recovery Completion Report of the Information Security Emergency Exercise of the Securities and Futures Industry for 2014 (Appendix 3), and send its electronic version and scanned copy with stamp to the mailbox of the Exchange’s IT center by 17:00 on December 20.

V. All participating members shall, based on the actual situation of the exercise, fill in the Testing Feedback Form of the Information Security Emergency Exercise of the Securities and Futures Industry for 2014 (Appendix 4), and send its electronic version to the mailbox of the Exchange’s IT center by 17:00 on December 22 using the member number as the file name of the feedback form.

VI. Contact information of the Exchange’s IT center

After-hour telephone: 86-21-68400802

E-mail: tech@shfe.com.cn

Appendix:

1. A Guide to the Information Security Emergency Exercise of the Securities and Futures Industry for 2014 (the Shanghai Futures Exchange)

2. Participation Confirmation Report of the Information Security Emergency Exercise of the Securities and Futures Industry for 2014

3. System Recovery Completion Report of the Information Security Emergency Exercise of the Securities and Futures Industry for 2014

4. Testing Feedback Form of the Information Security Emergency Exercise of the Securities and Futures Industry for 2014