CEO Bloggers - John Li

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COO of nwStor

Response to SFC guidance on use of instant messaging

Publish Date: 15/05/2018

The Securities and Futures Commission (SFC) issued a circular to provide guidance on the key controls and procedures which intermediaries are expected to implement when using instant messaging (IM) applications to receive client orders. The circular also makes it clear that the SPC may take regulatory action against firms which receive orders through IM applications without taking sufficient measures to ensure compliance with the regulatory requirements.

The requirements include keeping proper records of messages relating to client orders for no less than two years under the Securities and Futures (Keeping of Records) Rules, and ensuring they are accessible for monitoring and audit purposes, as well as validating client identities and maintaining adequate safeguards to prevent unauthorized account access and cybersecurity attacks.


To fulfil the above requirements, a highly-secured IM application is recommended.


Condor, a data security application of nwStor, can provide a platform to the intermediaries to receive client orders in a more secure way. It has an AES 256 bit encryption algorithm which is commonly used by the USA government and one unique encryption key per file or message which protects your records of messages with your clients for a long period of time. The function of audit trail allows you to monitor who, when and what file has been accessed. Also, it validates client identities which prevents unauthorized account access and cybersecurity attacks.


All of the features of Condor fulfil the requirements proposed by SFC and it gives an assurance that the records of messages are secured.

Apart from Secure Chat, we also have a Secure Communication Platform to secure almost all kinds of communications such as Chat, Email, File Transfer, Voice Call & Video Conference.

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