Six Control Principles for
Financial Services Blockchains
October 2017This publication, prepared during the summer months of 2017 by
the Deloitte EMEA Blockchain Lab in Dublin in association with
Deloitte Hong Kong and US, explores six control principles essential
for blockchain adoption on a global scale:
01. Best Practice – Standard for Blockchain Development
02. Interoperability and System Integration Controls
03. Audit Rules
04. Cybersecurity Controls
05. Enhancement of Traditional ICT Controls
06. Business Continuity Planning
Authors
Special Acknowledgements
Lory Kehoe
Director, Deloitte Ireland
T: +353 1 417 2582
E: lkehoe@deloitte.ie
Paul Sin
Partner, Deloitte Hong Kong
T: +852 28526448
E: psin@deloitte.hk
Niamh O’Connell
Consultant, Deloitte Ireland
E: nioconnell@deloitte.ie
Guilherme Campos
Senior Consultant, Deloitte Ireland
E: gucampos@deloitte.pt
Eric Piscini
Principal, Deloitte US
T: +1 404 631 2484
E: episcini@deloitte
Eoin Connolly
Technical Architect, Deloitte Ireland
T: +353 1 483 0338
E: econnolly@deloitte.ieTable of Contents
1Best Practice – Standard for Blockchain Development07
1.1Governance07
1.1.1Consortium08
1.1.2Joint Ventures09
1.1.3Statutory Organization09
1.2Legal and Regulation09
1.3Standards10
1.3.1Building Relations with Standard-Setting Bodies11
1.3.2Adopting Existing Standards and Establishing New Technical
Standards1.3.3Smart Contract Upgradeability11
1.3.4Smart Contract Cyber Security11
1.3.5Smart Contract Interfaces11
2Interoperability and System Integration Controls15
2.1Security Considerations15
2.2Integration with Legacy Systems15
2.3Data Integration16
2.4Security Mechanisms16
3Audit Rules19
3.1The Immutable Record19
3.2Auditing Smart Contracts19
3.3Technical Controls20
3.4Audit Transformation204Cybersecurity Controls23
4.1DLT Cybersecurity Challenges23
4.2Smart Contracts24
4.3Control Standards25
4.4DLT Cybersecurity Strengths25
5Enhancement of Traditional ICT Protocols27
5.1Security Management27
5.1.1Information Classifcation and Protection27
5.1.2Authentication and Access Control27
5.1.3Security Administration and Monitoring27
5.2System Development and Change Management27
5.3Information Processing28
6Business Continuity Planning and Blockchain30
6.1BCP Plan30
6.2BCP with PKI30
6.3BCP of Network Nodes31
6.3.1Public Blockchain Networks31
6.3.2Private Blockchain Networks31
6.4Security Specialists31Since its mention by Satoshi
Nakamoto in the 2008
whitepaper “Bitcoin: A Peer-to-
Peer Electronic Cash System”,
blockchain technology, also
called Distributed Ledger
Technology (DLT), has attracted
signifcant attention in the global
fnancial services community.
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