Recently, thanks to the superposition effect of multiple favorable policies, the three major stock indexes have shown a strong upward trend, and the turnover of the A-share market has reached the highest point in nearly five months, which has greatly boosted investors' confidence. The recovery of the market and the increase in trading volume are accompanied by a large amount of capital flow and frequent transmission of sensitive information, which puts forward higher requirements for the compliance operation and information security of securities practitioners. In the context of the rapid development of the digital economy, information security has become an important issue at the national strategic level. In this context, how to effectively ensure the security of investors' funds and information privacy has become the focus of market participants, and it is urgent for all parties to work together to find effective solutions.
Building a "Matrix" of Compliance Management
Build a "line of defense" for information security
With the advent of the digital and intelligent era, the development of compliance management from informatization to digitalization and intelligence has become an inevitable trend in the transformation of all walks of life. Q9 Intelligent Investment Holdings (9636.HK) As one of the first institutions in China to obtain securities investment consulting qualifications, and it is also a member of the Securities Association of China, and has always adhered to the national laws and financial regulatory policies to carry out business activities in accordance with laws and regulations.
In accordance with the technical route of "informatization-digitalization-intelligence", Q9 took the lead in applying artificial intelligence technology to the direction of compliance in 2020, leaving a comprehensive trace of all customer communications, and building an AI compliance capability matrix through semantic recognition and building compliance models. In April 2022, the company combined cutting-edge technologies such as artificial intelligence and big data to build a set of "intelligent compliance risk control platform", which can realize functions such as quality inspection and review, internal collaboration digitalization, management decision-making visualization, and intelligent risk control, and empower enterprises to operate efficiently and safely from the three major capability domains.
At the same time, the two major compliance quality inspection products "AI Monitoring Officer" + "AI Inspection Officer" self-developed by Q9 can monitor and analyze the interactive content between business personnel and customers in the process of business development, accurately identify and judge risks and anomalies, and can even predict potential violations and risk points through big data and AI technology, timely warn and block, and ensure that the company conducts business and provides services in accordance with laws and regulations.
Focus on R&D investment
Q9's scientific research achievements have been repeatedly recognized
With years of scientific and reasonable strategic layout and continuous growth in science and technology investment, Q9 has achieved fruitful results in the process of digital transformation. The company's self-developed intelligent compliance risk control platform and one-stop customer marketing platform passed the evaluation of the China Academy of Information and Communications Technology in 2023 and were selected into the "Panorama of High-quality Digital Transformation Products and Services (2023)" by the China Academy of Information and Communications Technology.
With the explosive growth of data volume and the wide and in-depth application, data security issues are becoming increasingly prominent, especially in the securities industry, customer privacy protection is crucial, and the collection, storage, use and transmission of personal information have become more and more frequent, and the risk of its leakage and abuse has also increased.
Q9 uses advanced technology to process sensitive information, ensures data security from the root, actively responds to national data security compliance requirements, and actively participates in various testing and evaluation activities of authoritative institutions and organizations. The company has built its own data security system with the highest standards in the industry, which has been affirmed by SGS, an internationally recognized testing, inspection and certification organization. With a sound information security and privacy information protection management structure, Q9 has become the first financial institution in Shanghai to obtain ISO/IEC 27001 and ISO/IEC 27701 certifications, and the company's information security and privacy information protection management has reached the international level.
Q9 continues to optimize the information security system and data security system, conducts key audits and attention to the processing process and data protection of sensitive personal information, and obtains the data security management capability certification (DSMC) initiated by the China Academy of Information and Communications Technology, a scientific research unit directly under the Ministry of Industry and Information Technology, and becomes the first enterprise in the securities investment consulting industry to obtain the certification. Subsequently, Q9 was also selected into the "Data Security Management Practice Case Collection" of the China Academy of Information and Communications Technology, reflecting the industry's full recognition of Q9's capabilities in data construction and data security. In 2023, Q9 was invited to participate in the Data Security Summit Forum and the annual summit of the "Zhuoxin Big Data Plan" of the China Academy of Information and Communications Technology. With a series of self-developed AI compliance systems to ensure the compliance and efficient operation of the entire business chain, and further protect user privacy, Q9 has become one of the members of the "Zhuoxin Big Data Plan" of the China Academy of Information and Communications Technology.
Nowadays, the digital transformation of all factors in various industries has become an important driving force for the high-quality development of the digital economy, and enterprises need to actively apply digital technology to change the original business model, process and value creation mode to achieve more efficient and intelligent operation, which undoubtedly brings broad development opportunities to Q9. Q9's technological empowerment of various business scenarios in the industry has demonstratively driven the company's intelligent transformation, which is highly in line with the development trend of all-factor digital transformation.
In October 2023, with its excellent service capabilities in the field of digitalization, it was awarded the "Digital Software Product Service Capability Certification (DSSC)" by the Tyer Terminal Laboratory of the China Academy of Information and Communications Technology, the Internet Promotion Center of the China Academy of Information and Communications Technology, and the Internet Society of China. In April 2024, the large model algorithm developed by Q9 in the field of securities was successfully included in the filing of the Cyberspace Administration of China, which can fully empower the six major business scenarios of investment advisory, investment research, customer service, compliance, risk control, and marketing, and fully reflects that the company has done a good job in security risk prevention and control in advance in data security, content security, model security, algorithm security and other links.
The rapid development of science and technology has greatly promoted the progress and change of society, but at the same time, the issue of information security has become an important issue that needs to be solved urgently. With the rapid development of cloud computing, big data, artificial intelligence and other technologies, the network environment is becoming more and more complex, and traditional security protection methods have been difficult to cope with new threats. Q9 has continuously strengthened technology research and development, and adopted a series of strict security protection measures, including network boundary protection, de-identification processing, and DLP product deployment, to ensure the security of personal information in the process of collection, storage, and transmission. At the same time, the company has also established a sound information security management system, and strictly managed internal personnel to ensure the standardization of personal information processing activities.
In September 2024, Q9 was awarded the "One-Star" mark for its excellent user information protection and data security compliance capabilities. In the same month, Q9 Financial Investment Contracting and Evaluation Cases were included in the Collection of Typical Cases of Personal Information Protection Impact Assessment (PIA) organized by the CCIA Data Security Working Committee.
Enterprise digital transformation has a long way to go
Information security and compliance business escort
Q9 has been making great efforts on the road of compliance and information security, fulfilling its corporate compliance responsibilities, resolutely guarding the security of user data, continuing to provide safe and reliable services, always keeping up with the pace of national data security compliance, regarding the security management of user data as the cornerstone of enterprise development, and continuously optimizing the data security management system and improving the internal management process from the six business scenarios of promotion and operation, marketing services, order management, appropriateness management, investment and research risk control management, and complaint management.
Relying on the cutting-edge technology of "big data + AI", Q9 has always regarded compliance practice and steady and far-reaching development as the foundation of sustainable development of the enterprise, continuously improved the universality and compliance of the whole business chain, and empowered enterprises to operate efficiently and safely, which not only expanded the breadth of financial services, but also improved the depth of financial services.
Information security and compliance are unavoidable topics on the road of enterprise digital development, which require long-term attention and long-term protection. As a pioneer in the industry, Q9 Intelligent Investment Holdings (9636. In the future, we will continue to enhance our financial technology capabilities, optimize our digital products and services, help enterprises improve the level of digital compliance risk control, promote the intelligent transformation of high-quality compliance management in the industry, and provide investors with a better and safer service environment in terms of assuming corporate compliance responsibilities and protecting the security of user data, enhance social trust, and contribute to the stable and healthy development of the digital economy in the financial industry.