Abstract: In December 2018, the China Securities Regulatory Commission officially issued the“Measures for the Management of InformationTechnology of Securities Fund OperatingAgencies”(referred to as the“Measures”). This paper serves as an important document for promoting the management of information technology in the securities industry, and information for the securities industry and the entire financial sector.Technology applications have a big impact. The document is divided into seven chapters: general rules, information technology governance, information technology compliance and risk management, information technology security, information technology service organizations, supervision and management. This paper will deeply analyze the principles, objectives andmaincontents of the document.

Key words: Fintech compliance, riskmanagement, impact analysis