As per NEPSE, trading members increasingly rely on digital platforms for trading, settlement and client data management, safeguarding the integrity, confidentiality and availability of information systems has become critical.
The primary objective of these guidelines is to establish a standardized framework for conducting Information Systems (IS) audits across trading members firms. By following this framework, brokers can ensure regulatory compliance, protect sensitive client and business data and maintain operational resilience. In addition, the guidelines promote continuous improvement in IT governance, risk management, and security practices thereby fostering trust and confidence among stakeholders in Nepal’s capital market ecosystem.
