Report on the Description of the National Settlement Depository Controls, Suitability of Controls Design and Operating Effectiveness,
12 October, 2015
14
development, the backup office can now be considered to be a fully functional component of the
operating model and one of the NSD's critical infrastructure elements.
To ensure interrupted provision and high level of NSD services, the following test events were
carried out in 2014:
a drill to test Emergency Committee's and NSD's employee emergency alert notification
procedures;
tests designed to prove operability of NSD's critical (to disruption) business processes
from the backup office (recovery of software and hardware locally installed in the backup
office; testing the business continuity and disaster recovery plans, and RTO/RPO testing);
tests designed to run business processes from the backup office (checking the backup
office availability during normal working hours with connection to NSD's current business
processes);
an unexpected drill to test procedures for alerting the Emergency Committee and NSD
employees of emergency;
a drill to test interactions between the Moscow Exchange Group companies and the Bank
of Russia in case of emergencies; and
tests of the NSD's uninterrupted power supply system.
Based on IT recovery instructions already in place at NSD, a common Disaster Recovery Plan for
NSD's information resources was established. At the end of 2014, tests aimed at recovering core
depositary and settlements information systems operated by NSD were successfully performed.
During tests, such systems were switched over from the main data processing center to the
backup one in a drill mode.
Activities designed to measure the impact of critical processes on the NSD's business are carried
out on an ongoing basis (Business Impact Analysis). Based on the research completed, the
business continuity plan and disaster recovery plans were updated; and a plan for combating
epidemiological threat was developed and implemented.
In mid2014, the Company developed and implemented the payment system monitoring
solution, making it possible to immediately detect failures in the NSD's payment system
software and hardware components and other incidents.
There are ongoing efforts aimed at integrating the business continuity system into the NSD's
culture; staff training in business continuity is arranged, and relevant information materials are
distributed.
A feedback process with the central depository clients and the NSD's payment system
participants is in place, which, among other things, provides for consulting support on business
continuity issues.
Insurance
On 4 February 2015, NSD and Ingosstrakh signed an agreement for package insurance of the
professional securities market participant (Policy 433-151151/15).
The insurance period is from 31 January 2015 through to 30 January 2016.
The policy liability limit was fixed at USD 65 million for any and all claims.
