德勤：金融服务行业的区块链六项控制原则(英文 32 页)

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本报告是2017年夏季由位于都柏林的德勤欧洲、中东、非洲区域区块链实验室与德勤中国和德勤美国合作撰写，探讨了六项可应用于全球区块链技术的必要控制原则：

最佳实践–区块链发展标准

跨运营平台和系统集成的控制

审计规则

网络安全控制

改进传统的信息及通讯科技控制

业务连续计划

Table of Contents

1 Best Practice – Standard for Blockchain Development 07

1.1 Governance 07

1.1.1 Consortium 08

1.1.2 Joint Ventures 09

1.1.3 Statutory Organization 09

1.2 Legal and Regulation 09

1.3 Standards 10

1.3.1 Building Relations with Standard-Setting Bodies 11

1.3.2 Adopting Existing Standards and Establishing New Technical Standards11 

1.3.3  Smart Contract Upgradeability  11

1.3.4  Smart Contract Cyber Security  11

1.3.5  Smart Contract Interfaces  11 

2  Interoperability and System Integration Controls  15

2.1  Security Considerations  15

2.2  Integration with Legacy Systems  15

2.3  Data Integration  16

2.4  Security Mechanisms  16 

3  Audit Rules  19

3.1  The Immutable Record  19

3.2  Auditing Smart Contracts  19

3.3  Technical Controls  20

3.4  Audit Transformation  20  4 

4  Cybersecurity Controls  23

4.1  DLT Cybersecurity Challenges  23

4.2  Smart Contracts  24

4.3  Control Standards  25

4.4  DLT Cybersecurity Strengths  25 

5  Enhancement of Traditional ICT Protocols  27

5.1  Security Management  27

5.1.1  Information Classification and Protection  27

5.1.2  Authentication and Access Control  27

5.1.3  Security Administration and Monitoring  27

5.2  System Development and Change Management  27

5.3  Information Processing  28 

6  Business Continuity Planning and Blockchain  30

6.1  BCP Plan  30

6.2  BCP with PKI  30

6.3  BCP of Network Nodes  31

6.3.1  Public Blockchain Networks  31

6.3.2  Private Blockchain Networks  31

6.4  Security Specialists  31