What are regulations on responsibilities and procedures for handling transaction connection problems at the Stock Exchange in Vietnam?
What are regulations on responsibilities and procedures for handling transaction connection problems at the Stock Exchange in Vietnam? What are regulations on form for registration/change of transaction connection at the Stock Exchange in Vietnam? What are regulations on form of explanation of the information technology system connecting transactions to the Ho Chi Minh Stock Exchange and the Hanoi Stock Exchange in Vietnam? What are regulations on technical requirements for the data center at the Stock Exchange in Vietnam?
Please advise. Thankyou.
What are regulations on responsibilities and procedures for handling transaction connection problems at the Stock Exchange in Vietnam?
In Article 11 of the Regulation on information technology system connecting transactions to the Ho Chi Minh City Stock Exchange, the Hanoi Stock Exchange issued together with Decision 06/QD-SGDVN in 2022 with regulations on responsibilities and procedures for handling transaction connection problems at the Stock Exchange are as follows:
1. The transaction connection organization must notify the Ho Chi Minh City Stock Exchange and the Hanoi Stock Exchange within 01 hour from the time of detecting a problem related to transaction connection.
2. Transaction connection organization is obliged to report to Ho Chi Minh Stock Exchange and Hanoi Stock Exchange within 24 hours from the date of detecting violations by other transaction connecting organizations that may affect the system. and the system of Ho Chi Minh Stock Exchange and Hanoi Stock Exchange.
3. The transaction connection organization is responsible for coordinating with the Ho Chi Minh Stock Exchange and the Hanoi Stock Exchange to find the cause of the incident, directions and measures to remedy the problem.
4. In case the transaction connection organization has a problem and cannot perform transactions at the place where the transaction connection is registered, it may request the Hanoi Stock Exchange to allow the sending of personnel to the Hanoi Stock Exchange to perform transactions. at the emergency order entry room and must ensure compliance with the following requirements:
a) Personnel appointed by the transaction connection organization to the Hanoi Stock Exchange to perform transactions must comply with the instructions of the Hanoi Stock Exchange on the use of the emergency order entry room;
b) The transaction connection organization must be responsible for all activities of personnel assigned by the transaction connection organization to the Hanoi Stock Exchange.
What are regulations on form for registration/change of transaction connection at the Stock Exchange in Vietnam?
In Appendix 01/ITT enclosed with Regulation on information technology system connecting transactions to the Ho Chi Minh City Stock Exchange, the Hanoi Stock Exchange issued together with Decision 06/QD-SGDVN in 2022 has regulations on form for registration/change of transaction connection at the Stock Exchange as follows:
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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…………., day…. May……
APPLICATION FOR CONNECTION/ CHANGE OF TRANSACTION CONNECTIONS ONLY
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Dear: |
Vietnam Stock Exchange |
Information of the organization registering the transaction connection:
Transaction name (in Vietnamese): ……………………………………………………
Transaction name (in English): ……………………………………………………
Address: ………………………………………………………………………………………………
Phone: ……………………………………………… Fax Number: ……………………………………………………
Representative: ………………………………………………… Position: ……………………………………………………
Established under the License for Establishment and Operation No. ... date .... by (issued place).
Business registration license number ……………… date of issue …………..place of issue …………
Considering that we have fully met the regulations in the Regulation on the information technology system connecting transactions to the Ho Chi Minh City Stock Exchange (Ho Chi Minh Stock Exchange), the Hanoi Stock Exchange (Hanoi Stock Exchange), now, we have a wish to register for connection / registration to change transaction connection to Ho Chi Minh Stock Exchange, Hanoi Stock Exchange.
We would like to provide the following information to register for transaction connection:
1. Content of registration/change
- Register to connect remote trading to Hanoi Stock Exchange:
□ Listed stock market
□ Securities market registered for trading
□Debt Instrument Market
□ Derivatives stock market
- Register to connect Online Trading:
□ Listed stock market: Connect to ………….(specify Ho Chi Minh Stock Exchange, Hanoi Stock Exchange)
□ Securities market registered for trading
□ Derivatives stock market
- Register for backup connection:
□ Listed stock market: Connecting transactions to …………. (specify Ho Chi Minh Stock Exchange, Hanoi Stock Exchange)
□ Securities market registered for trading
□Debt Instrument Market
□ Derivatives stock market
- Change trading software (Core software, online trading software, online trading server operating system):
□ Listed stock market: Connecting transactions to …………. (specify Ho Chi Minh Stock Exchange, Hanoi Stock Exchange)
□ Securities market registered for trading
□ Derivatives stock market
- Change the network structure (specify the change).
- Change of information technology equipment: servers, workstations, network equipment, security equipment (specify the change and service of transaction connection to Ho Chi Minh Stock Exchange, Hanoi Stock Exchange, etc.) ).
2. Location of registration/change of transaction connection
- Connection from Head Office/branch (Specify specific address)
- Connection from data center/data center rented or borrowed (Specify specific address)
3. Information about personnel in charge of transaction connection
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STT |
First and last name |
Position |
Phone |
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4. Commitment when participating in connecting transactions to Ho Chi Minh Stock Exchange, Hanoi Stock Exchange
We would like to take full responsibility before the law for the accuracy of the above information as well as the attached documents in the application for registration / change of transaction connection to the Ho Chi Minh Stock Exchange and the Hanoi Stock Exchange.
When approved to deploy the transaction connection to the Ho Chi Minh Stock Exchange and the Hanoi Stock Exchange, we commit to strictly comply with the regulations in the Regulation on information technology system connecting transactions to the Ho Chi Minh Stock Exchange and the Hanoi Stock Exchange. Hanoi Stock Exchange, ensuring our company's trading system:
- Meet regulatory functional requirements;
- Does not affect the trading and information exploitation activities of the Ho Chi Minh Stock Exchange and the Hanoi Stock Exchange;
- Take full responsibility if the Company's transaction connection system has problems affecting the system of Ho Chi Minh Stock Exchange and Hanoi Stock Exchange.
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Attachments: |
Legal representative of the company |
What are regulations on form of explanation of the information technology system connecting transactions to the Ho Chi Minh Stock Exchange and the Hanoi Stock Exchange in Vietnam?
In Appendix 02/ITT enclosed with the Regulation on information technology system connecting transactions to the Ho Chi Minh City Stock Exchange, the Hanoi Stock Exchange issued together with Decision 06/QD-SGDVN in 2022 has regulations on form of explanation of the information technology system connecting transactions to the Ho Chi Minh Stock Exchange and the Hanoi Stock Exchange as follows:
DISCLAIMER OF INFORMATION TECHNOLOGY SYSTEM CONNECTING TRADING TO THE HO CHI MINH CITY EXCHANGE, HANOI SERVICES
PART I. FOR SECURITIES COMPANY
I. GENERAL INFORMATION
1. Company name: ............................ ................................. ..........................
- Address of the head office: ……………………. ................................. .................
- Phone: .............................................. ................................. ............................
- Fax: ................................................................. ................................. ..............................
- Website: ................................................................................. .......... Email (if any): ................................................................. ..........
2. List of personnel in charge of transaction connection and information technology staff with personal information (under the form in the Regulation on membership of the Vietnam Stock Exchange) and diplomas and certificates of information technology
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STT |
First and last name |
Sex |
Date of birth |
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Position |
Phone |
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first |
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2 |
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3. Method of receiving orders from investors
□ Receiving orders over the internet
□ From the command input software (Application-based)
□ From website (web-based)
□ Other (specify)
□ Receive orders via SMS
□ Other (specify)
4. Register the number of order identification codes with Ho Chi Minh Stock Exchange (TraderlD)
Number of order identifiers (TraderlD):
• Note: The transaction connecting organization must register the number of order identification codes for investors to enter themselves and the orders entered by the connecting organization. In case the connecting organization registers an additional command identifier, please specify the purpose of use for each command identifier.
For example, a transaction connecting organization with member code 008 will register and clearly state:
- 0081 is the order identification code entered by the investor (if any);
- 0082 is the order identification code entered by the transaction connecting organization;
- Other command identifiers.
II. FORM, LOCATION FOR REGISTRATION CONNECTION OF TRANSACTIONS ONLY
1. Register for remote trading connection to Hanoi Stock Exchange
□ Listed stock market
□ Securities market registered for trading
□Debt Instrument Market
□ Derivatives stock market
2. Register for online trading connection
□ Listed stock market: Connect to ………… (specify Ho Chi Minh Stock Exchange, Hanoi Stock Exchange)
□ Securities market registered for trading
□ Derivatives stock market
3. Location of transaction connection registration
Location of primary connection registration and backup connection location (if any)
III. INFORMATION TECHNOLOGY SYSTEM (presenting in detail the information technology system connected to Ho Chi Minh Stock Exchange, Hanoi Stock Exchange, detailed by each market)
1. Information technology system
- Server system (database server, transaction server, information disclosure server, etc.);
- Workstation system (number, configuration, operating system, installation software, anti-virus software...);
- Network system (diagram, equipment, transmission lines...);
- Security system (diagram, equipment, security policy);
- System of software, decentralization of use with explanatory diagrams;
- System of backup equipment;
- Power backup system, backup power system, lightning protection device system;
- Fire prevention and fighting system.
- Access control system: camera, magnetic card or equivalent devices.
2. Remote trading system
a) Area and structure of remote command input area:
- Total area;
- Arrange remote command entry area;
- Number and location of workstations;
- Door system: magnetic card or equivalent devices;
- Safety system, control the command input area: camera, magnetic card...
b) Informatics equipment for remote transaction activities
- Computer to enter commands: specify the machine type, workstation configuration, operating system software, application software, anti-virus software...;
- Network diagram: remote transaction partition must be separated from the member's internal network by Firewall.
3. Online trading system
a) Software system
Description of the software systems being used to serve the transaction system of the transaction connecting organization:
List all the software in use to serve the trading system of the organization connecting the transaction (For example: trading system, communication software with Ho Chi Minh Stock Exchange, Hanoi Stock Exchange, Gateway). Information of each software includes:
(first). General information
- Software name (insert full name and abbreviation);
- Information about the software supplier (name, head office, name of the representative, representative office in Vietnam (if any), phone number, email ....);
- Software version connected with Ho Chi Minh Stock Exchange, Hanoi Stock Exchange;
- Operating system:
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STT |
Operating system |
Version |
Function List |
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- Database (if any);
- Structure (module) software:
+ List of ports (ports) exchanged with the internal system
+ Protocol and information exchange
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STT |
Module Name |
Version |
Functions |
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(2). Description of the tracking function : the time of placing orders of the investor, the data sent and received from the Ho Chi Minh Stock Exchange, the Hanoi Stock Exchange.
(3). Description of security functions : software application level, data encryption method, decentralized function of the system.
(4). Description of how to backup and restore data in case of failure
Describe the method of receiving and processing orders in the transaction system of the transaction connecting organization:
Description of the operation of the internal system (the system that receives orders from sources) with the trading system of the Ho Chi Minh Stock Exchange, the Hanoi Stock Exchange ( describes the processing process in detail, can use a flow block diagram). chart).
Description of the ability to integrate data in the event of an incident requiring the use of another order entry system (remote trading, at the emergency order entry room).
b) Hardware system
The transaction connection organization must provide annotated design drawings, equipment lists, security and backup solutions, etc. of the entire system.
• Intranet connection model (Network components participating in online transactions);
• Components, providing direct order entry solutions for investors; At a minimum, the following information must be included:
- Solutions for investors to enter orders directly (via the Internet, telephone switchboards, messages...);
- Equipment, transmission lines and connection methods for investors to enter orders directly;
- Security and privacy solutions;
- Instant information disclosure solution.
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……., date ... month ... year ... |
PART II. FOR COMMERCIAL BANK, FOREIGN BANK BRANCH
NOTES TO INFORMATION TECHNOLOGY SYSTEM, PERSONNEL FOR CONNECTIONS FOR TRADING IN DEMAND INSTRUMENTS MARKET, DERIVATIVE STOCK MARKET
I. General Information
1. Bank name
Head office address:
- Telephone: Fax:
- Website: Email (if any):
2. List of personnel in charge of transaction connection and information technology staff
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STT |
First and last name |
Sex |
Date of birth |
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Position |
Phone |
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first |
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II. FORM OF REGISTRATION TO CONNECT TRANSACTIONS ONLY
1. Register for remote trading connection to Hanoi Stock Exchange
□Debt Instrument Market
□ Derivatives stock market
2. Register to connect online trading to Hanoi Stock Exchange
□ Derivatives stock market
III. Facilities for trading derivatives and debt instruments
1. Server room facilities
- Manage access by magnetic card or equivalent or locked devices managed by information technology staff;
- Camera surveillance system;
- Backup power system;
- Fire prevention and fighting system.
2. Facilities in the order entry area: (similar description for securities companies in Part I Section III Clause 2 of this Appendix, the remote order entry room is replaced by a directly related professional office). Next, trade with the Hanoi Stock Exchange where the order entry workstation is located in the system of the Hanoi Stock Exchange)
IV. Information technology system for trading derivatives and debt instruments
1. Network system: main transmission line, backup transmission line, network system diagram, technical explanation.
2. Remote trading software system: Including the number of workstations, machine configuration (main + backup), installed software for remote order entry.
3. Online transaction software system: Including the number of machines, machine configuration (main + backup), installation software for online transaction connection.
4. Security system: Includes security policies set up for the system, security devices, security laws set up on security devices.
5. Other contents: Including a list of information technology equipment and facilities serving derivatives and debt instrument trading activities; Information disclosure solutions.
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……., date ... month ... year ... |
What are regulations on technical requirements for the data center at the Stock Exchange in Vietnam?
In Appendix 03/IT together with Regulation on information technology system connecting transactions to the Ho Chi Minh City Stock Exchange, the Hanoi Stock Exchange issued together with Decision 06/QD-SGDVN in 2022 has regulations on technical requirements for the data center at the Stock Exchange as follows:
TECHNICAL REQUIREMENTS FOR DATA CENTER (data center)
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STT |
Category |
Request |
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I |
UPS system |
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first |
UPS backup |
N+1 (With UPS and at least 01 redundant module |
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2 |
Voltage level required for UPS power distribution system |
Power 120/220V for 1440 kVA loads and 380V for loads larger than 1440 kVA |
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3 |
Power distribution cabinet for UPS |
There are standard magnetic thermal circuit breakers |
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4 |
Monitoring system |
Show now at UPS |
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5 |
Minimum time to maintain system operation |
15 minutes |
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6 |
Automatic power transfer system for key areas |
Using the automatic switching system ATS has the ability to connect auxiliary circuits so that when the power is lost or automatically switches to the generator when overloaded. |
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II |
Precision air conditioning system |
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first |
Preventive |
N+1 |
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2 |
Operating time |
Continuous operation for 24 hours/day. |
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3 |
Technology |
Precise air conditioning under raised floors or directly |
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4 |
Humidity control system |
Have |
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5 |
Temperature in the data center area |
22°C (±10%) |
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6 |
Relative humidity in the data center area |
50% (±5%) |
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III |
Raised floor system |
The raised floor system is used with the function of supporting the design of underfloor cabling connecting equipment systems together |
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first |
Space under raised floor |
- Do not leave excess cables under the raised floor. The cable must connect to at least one end in the main distribution area or branch distribution area, otherwise the cable must be removed. - The telecommunications cable system under the raised floor must be ventilated enough for air to circulate in the trough. |
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2 |
Architectural raised floor |
- Cable trays under the floor are installed in several floors to save space. - The edges of the raised floor panels are surrounded by plastic and do not interfere with the installation position of racks and telecommunication cabinets. - The raised floor must be divided into a plane grid with horizontal and vertical lines forming small cells. |
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IV |
Camera surveillance system |
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first |
Monitoring and control |
Record all activities at the doors, rooms containing server equipment, networks, security, UPS electrical equipment, air conditioners ... |
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2 |
Write speed (fps) |
Minimum 20 frames/s |
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3 |
Log retention time |
1 month minimum |
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DRAW |
Access control system |
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first |
Installation location |
Installed at the entrance to the data center and the doors separating the areas in the data center |
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2 |
How to control access |
Access control by magnetic card or biometric. (Assign access to each area for each audience group) |
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BECAUSE |
Fire protection system |
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first |
Fire alarm system |
Have |
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2 |
Backup sprayer system |
Have |
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3 |
Automatic gas fire extinguishing system |
Have. Type suitable for electrical equipment and information technology equipment |
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4 |
Early warning smoke alarm system |
Have |
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VII |
Centralized management system |
Connect and display monitoring information of all systems in the data center including: Fire protection, UPS, Air-conditioner, Access control, liquid leak warning, camera, temperature, humidity... |
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first |
Log retention time |
1 month minimum |
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2 |
Installation requirements |
Completely separate from other networks in the data center |
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VIII |
Data center architecture |
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first |
Dividing space between zones |
The space between the rooms in the DC must be separated by a clear partition and door system. At a minimum, the following main areas must be included: - Server room (Server) - Network room (Network) - Operation room (NOC) - Electromechanical room (ME) - Waiting room (Staging) |
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2 |
Partitions, false ceilings |
Minimum height 2.7m Soundproof, heat insulation |
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3 |
Door Systems |
- Not less than 1m in width and 2.13m in height - Soundproof and heat-insulated - Have access control device |
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IX |
Other requirements |
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first |
Hot and cold corridor |
- Racks must be arranged alternately in rows to create "hot" and "cold" ranges. - The "cold" array is located on the front of the rack. Power distribution cables must be installed under raised floors on concrete floors. - The "hot" array is located on the back of the rack. Cable trays for conducting telecommunications cables should not be placed under raised floors in “hot” rows. |
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2 |
Device placement |
Equipment must be placed in racks so that “cold” air is drawn into the front of the cabinet (or rack) and “hot” air is expelled from the back of the cabinet (or rack). - Hole raised floor slabs must be placed in the “cold” rows, not in the “hot” rows to improve the functionality of the “hot” and “cold” rows. - Cable trays or other objects shall not be placed in “cold” rows under perforated raised floor slabs. |
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3 |
Targets |
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a |
Space |
- At least 1m in front of the cabinet - At least 0.6m behind the cabinet |
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b |
Cabinet ventilation system |
A form of ventilation must be selected that is suitable for the equipment contained in the cabinet. Ventilation is possible based on the following forms: - Forced air flow by fan Use natural air flow between the hot and cold vents through the ventilation slots of the front and rear doors. - Combine the two methods above. |
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4 |
Grounding and lightning protection system |
Have |
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5 |
Requirements for telecommunications system hierarchies |
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a |
Service provider divergent cable entry lines and cable maintenance pits with a minimum spacing of 20 m |
Have |
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b |
Have a redundant telecommunications connection or connect to many other telecommunications service providers |
Have |
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c |
Wiring and jumper wires are labeled on both ends according to the name of the connection at both ends of the cable |
Have |
Best Regards!
