KR101242015B1 - Method for ordering bond using vicarious check information - Google Patents

Abstract

A method of ordering securities through agency verification information is disclosed. The method of securities ordering through the agency confirmation information comprises the steps of a brokerage company receiving agency information corresponding to the agency request from a broker terminal receiving the agency request from the investor, and the brokerage system receiving agency verification information corresponding to the agency information. Transmitting to the terminal of the investor, and when a confirmation signal is received from the terminal of the investor in response to the transmitted proxy confirmation information, executing the order by the securities company system to correspond to the agency information.

Description

How to order securities through agency confirmation information {Method for ordering bond using vicarious check information}

The present invention relates to a securities ordering method, and more particularly, it is possible to prevent various disputes that may occur when an investor requests to act on behalf of an order or to write an order information through a broker. The present invention relates to a method for ordering securities using predetermined agency confirmation information to allow an order to be approved or executed, thereby increasing the stability of the order.

Investors can usually print stock orders in a brokerage order system in a variety of ways. For example, an order may be placed through a home trading system (HTS) installed in a predetermined computer, or an order may be placed through a mobile terminal. Alternatively, if a broker (agent) is notified of the order by wire / wireless, the agent may enter the order.

When an investor orders through a broker, disputes often arise due to changes in the timing or price of the investor's request and broker's ordering behavior. Conventionally, attempts to solve this problem by recording the call history between the investor and the broker, but this method may be a clue to resolving a dispute that has already occurred, it is not enough to prevent the dispute.

On the other hand, in recent years, disputes between brokers and investors have increased, and the need for investor protection has increased, and some brokers have been unable to provide investment advice only and cannot act on orders. This can be a hassle to do separately.

Therefore, there is an urgent need for a method that can objectively prove an investor's order request, obtain final consent from the investor, or allow the investor to finally execute an order corresponding to the order request.

Accordingly, the technical problem to be achieved by the present invention is to prevent disputes caused by material and time differences between an investor's order request and a broker's actual order, and to provide investment advice. Uncertainty and inconvenience can be resolved, the investor can objectively verify and confirm the actual order according to the request of his or her order or the creation of order information, and the investor executes the order directly in conjunction with the broker's investment advice. It is to provide a way to.

In accordance with an embodiment of the present invention, the securities ordering method using the agent confirmation information includes a brokerage company receiving a proxy request from the broker terminal receiving the agent request from the investor, the brokerage company system to the agent information; Transmitting corresponding proxy confirmation information to the terminal of the investor; when a confirmation signal is received from the terminal of the investor in response to the transmitted proxy confirmation information, the securities company system executes an order to correspond to the proxy information; Steps.

The agency request may include at least one of an agency request of the order or an agency request for the creation of order information.

The agency confirmation information may include at least one of item name, order type, order execution condition, or order price corresponding to the order corresponding to the agency information.

The proxy confirmation information may be transmitted through a predetermined application installed in the terminal of the investor through a wireless communication network, or by at least one of a short messaging service (SMS) or a multimedia messaging service (MMS).

In accordance with another embodiment of the present invention, the method of securities ordering through the proxy confirmation information transmits the proxy confirmation information corresponding to the proxy request to the terminal of the broker, which has received the agency request from the investor. When the confirmation signal is received from the terminal of the investor in response to the confirmation information, the terminal of the broker may include the step of transmitting an order corresponding to the agency confirmation information to the securities company system.

In accordance with another embodiment of the present invention, the method for ordering securities through proxy confirmation information includes receiving, by the investor's terminal, proxy confirmation information corresponding to the proxy request from the broker terminal receiving the agent's agency request, and transmitting the proxy. The terminal of the investor goes through a confirmation procedure based on the confirmation information, and when the confirmation process is completed, the terminal of the investor may transmit an order corresponding to the agency confirmation information to a securities company system.

The step of performing the confirmation process is made through a predetermined interface provided by a predetermined application installed in the terminal of the investor, and the predetermined application automatically receives the order corresponding to the proxy confirmation information when the confirmation procedure is completed. It may be characterized in that the transmission to the securities company system.

In accordance with another embodiment of the present invention, the method for ordering securities through proxy confirmation information includes receiving proxy confirmation information corresponding to the proxy request from the terminal of the investor from the terminal of the broker who made the proxy request and transmitting the proxy confirmation information. And transmitting, by the terminal of the investor, a confirmation signal to a securities company system, wherein the securities company system corresponds to the agency information corresponding to the agency request output from the terminal of the broker when the confirmation signal is received. To execute the order.

The confirmation signal includes predetermined information for identifying the agency information, and based on the predetermined information, the securities company system identifies the agency information corresponding to the confirmation signal, and corresponds to the identified agency information. Order can be executed. The method may be stored on a computer readable recording medium having recorded thereon a program.

Securities ordering method through the agency confirmation information according to the present invention resolves disputes caused by physical and temporal differences between the investor's order request and the broker's actual order, and the physical properties between the broker and the investor's order that can only advise investment advice As a result, it is possible to resolve the time uncertainty and inconvenience, so that the investor can objectively verify and confirm the actual order according to his order request, and the investor can directly execute the final order in conjunction with the broker's investment advice.

In addition, by giving this objectivity to the order through the broker and the investment advice of the broker, the investor can be encouraged to request the order through the broker.

In order to fully understand the present invention, operational advantages of the present invention, and objects achieved by the practice of the present invention, reference should be made to the accompanying drawings and the accompanying drawings which illustrate preferred embodiments of the present invention.

Also, in this specification, when any one element 'transmits' data to another element, the element may transmit the data directly to the other element, or may be transmitted through at least one other element And may transmit the data to the other component.

Conversely, when one element 'directly transmits' data to another element, it means that the data is transmitted to the other element without passing through another element in the element.

BEST MODE FOR CARRYING OUT THE INVENTION Hereinafter, the present invention will be described in detail with reference to the preferred embodiments of the present invention with reference to the accompanying drawings. Like reference symbols in the drawings denote like elements.

1 is a view for explaining a method for ordering securities through agency confirmation information according to an embodiment of the present invention.

Referring to FIG. 1, a system for ordering securities through proxy confirmation information according to an embodiment of the present invention may include a securities company system 100, an investor terminal 200, and a broker terminal 300.

The system shown in FIG. 1 shows a case in which an investor makes a proxy request to a broker through an investor's terminal 200, and the broker outputs agency information to the securities company system 100 through a broker terminal 300.

In this specification, the agency request may mean that the broker is requesting to act on behalf of the order act or to create order information necessary for acting when the broker is an agent capable of acting on the order of the investor. On the other hand, if a broker cannot represent an investor's ordering behavior, it may mean that only the preparation of order information for an order is made. For example, in the case of a broker that can act on behalf of the broker, when receiving a proxy request from the investor's terminal 200, the broker can act on behalf of the investor. That is, on behalf of the investor can output the order to the securities firm system 100. In this case, the information corresponding to the order output by the broker may be defined as agency information in the present specification. Then, in the conventional case, since the agent of the investor placed an order, the securities company system 100 immediately executed the received order, but according to an embodiment of the present invention, after receiving the order, that is, agency information, the investor terminal 200. When the confirmation signal is received from the order can be executed corresponding to the agency information.

On the other hand, the agency request that is output to the broker that can not represent the act of ordering, that is, the broker can only advise investment, may mean a request for the creation of the order information. In other words, the broker cannot act on behalf of the order, but the broker can not represent the order because the agent can enter the necessary information for the order, the agency request may be to request the act of creating the order information have. Actually, the information that the broker needs to input or write through its terminal 300 may be the same in order for a proxy request of an order or a proxy request for creating order information. However, depending on the legal status of the broker, the legal composition of the acts acted by the agency request may be different. In this case, the agency information itself transmitted from the broker's terminal 300 to the securities company system 100 may be the same as the agency information transmitted by the broker that can represent the ordering act. In this case, the actual ordering may be generated by a confirmation signal received from the investor's terminal 200.

On the other hand, in the case of a broker that can act on behalf of the broker, when the agency information transmitted from the broker 300 of the broker to the securities company system 100 may be an order act, but from the terminal 200 of the investor It may be a major feature of the technical idea of the present invention to suspend execution of an order until an acknowledgment signal is received.

Thus, according to the securities ordering method according to the verification information according to the embodiment of the present invention, only the legal requirements or legal status generated by the transmission of information according to the legal status of the broker, the technical configuration is very similar, In this case, for convenience of explanation, the broker is a broker that can act on behalf of the agent, the agency request is an order request, the agency information output from the terminal 200 of the broker will be described as an example. . However, the scope of the present invention is not limited thereto, and the following description will be made only when the broker and the agency request, which can provide investment advice without ordering, and the agent requests the agency to create the order information, and the agent information is the created order information. It will be easy for the average expert in the technical field of the present invention to deduce that the case corresponds to the case.

The investor may establish a wireless network (eg, wireless Internet or a predetermined instant message) through a wired or wireless call to the broker through the investor's terminal 200 or by using a predetermined application installed in the investor's terminal 200. Through the order request information (ie, agency request) can be transmitted through the (S100). The order request information may include at least one of the item name, purchase price range, order time, or order condition desired by the investor.

The broker receiving the order request (that is, agency request) inputs the order (that is, agency information) corresponding to the order request through its broker terminal 300, the input order to the securities company system 100 It may be output (S110). For example, a broker receiving an order request through a call may directly enter an order corresponding to the order request. Alternatively, when receiving order request information through a wireless network, the broker may check the order request information received through the broker terminal 300 and determine the order details corresponding to the order request information according to the result of the check. . Then, the order may be finally output to the securities firm system 100 according to the determined result.

The securities company system 100 that has received the order may transmit predetermined agency confirmation information to the terminal 200 of the investor without immediately processing the order (S120). The proxy confirmation information may refer to a predetermined data set capable of confirming the details of an order output from the broker terminal 300. The agency confirmation information may include information on an item name, order type, order execution condition, and / or price corresponding to the order. The item name may include a name and / or code of a specific specific item. In general, an investor may request an order by specifying a specific item, or may request an item for a specific theme, a specific company or a specific industry. Therefore, the investor may confirm the item to be actually ordered through the item name included in the agency confirmation information.

The order type may be difficult to determine the specific purchase price due to the difference between the time when the investor requests the order and the time at which the order is output from the broker terminal 300, so the order is not a specific order but the market price order. Can be of various order types. Therefore, the order type may also be included in the agency confirmation information.

The order execution condition includes information that may be included in the agency verification information when the investor's order request includes a specific condition, when the specific condition itself is set as a condition in which the order is output and / or a condition in which the order is processed. Can mean. For example, when an order including the order execution condition is output to the securities company system 100 and a confirmation signal is received from the terminal 200 of the investor from the terminal 200 as described below (S130). ), When a situation that meets the order execution condition occurs after the confirmation signal is received (S140). According to another embodiment, after a confirmation signal is received by the securities company system 100, when a situation that meets the order execution condition occurs, the broker terminal 300 finally returns the order to the securities company system 100. In response, the brokerage firm system 100 may process the order.

The information about the order price may mean a specific order price, or when the investor requests an order request within a specific price range, it may mean a specific price.

In addition to the above, various information that can objectively express the order output to the securities company system 100 according to the order request of the investor may be included in the agency confirmation information.

The terminal 200 of the investor having received the proxy confirmation information may output a predetermined confirmation signal (S130). The terminal 200 of the investor who has received the proxy confirmation information and the terminal which has made an order request to the broker may be the same terminal, but may not be the same. For example, the investor performs an order request through a wired telephone, and the agency confirmation information may be received by a predetermined mobile terminal or computer.

Hereinafter, for convenience of description, the terminal 200 of the investor who has received the agency confirmation information will be described as an example of a mobile terminal, but the scope of the present invention is not limited thereto.

When the proxy confirmation information is received through a wireless network (e.g., WAP (Wireless Applicaition Protocol, etc.)) to a predetermined application (e.g., virtual machine (VM)) installed in the investor's terminal 200, the investor The confirmation signal may be output to the securities firm system 100 by selecting a predetermined UI provided by an application.

When the proxy confirmation information is received by the investor's terminal 200 through a predetermined message (eg, SMS or MMS), the message may include a call-back URL. Therefore, if the investor agrees to select a particular button, the confirmation signal may be output to the securities company system 100 through the callback UEL.

Upon receiving the confirmation signal, the securities company system 100 may process the order immediately, or may process the order when a condition or situation corresponding to the order occurs (S140).

As described above, according to the embodiment of the present invention, since the investor can confirm the order details corresponding to the order request requested by the investor through the agency confirmation information, the investor can invest with confidence, and from the broker's point of view, Finally, orders are processed only if the investor agrees, thus preventing disputes in advance.

2 is a view for explaining a method for ordering securities through agency confirmation information according to another embodiment of the present invention.

Referring to FIG. 2, in the securities ordering method using the proxy confirmation information illustrated in FIG. 2, the broker terminal 300 transmits the proxy confirmation information differently from FIG. 1. Since other configurations are similar to those described in FIG. 1, detailed descriptions thereof will be omitted.

In general, the broker terminal 300 may receive an order request from the investor (S200), and may transmit agency confirmation information corresponding to the order request to the investor's terminal 200 (S210).

Then, the terminal 200 of the investor may output a confirmation signal to the broker terminal 300 in response to the transmitted proxy confirmation information (S220). Then, the terminal 300 of the broker may transmit an order corresponding to the agency confirmation information to the securities company system 100 (S230).

The securities company system 100 receiving the order may process the order (S240).

3 is a view for explaining a method for ordering securities through proxy confirmation information according to another embodiment of the present invention.

Referring to FIG. 3, the investor may make an order request to the broker terminal 300 through the investor's terminal 200 or some other terminal (not shown) (S300). Then, the broker terminal 300 may transmit the proxy confirmation information corresponding to the order request to the terminal 200 of the investor (S310).

The investor may check the agency confirmation information received and determine whether it corresponds to the order request requested by the investor. As a result of the determination, if the information included in the agency confirmation information corresponds to the order request of the investor, the investor may go through a confirmation procedure (S320).

For example, a predetermined application (for example, a WAP application) may be installed in the terminal 200 of the investor to implement a method of ordering securities through proxy confirmation information according to an embodiment of the present invention. The investor may confirm the agency confirmation information through the application, and when the confirmation is completed, the investor may perform the verification process through a predetermined UI provided by the application. The confirmation procedure may be performed through various UIs such as selecting a specific button.

After the verification process, the terminal 200 of the investor may automatically transmit the order corresponding to the agency confirmation information to the securities company system 100. Transferring an order to the securities company system 100 automatically means that the investor separately inputs information (eg, item name, order condition, order type, etc.) necessary for the order from the investor's terminal 200. May mean no need. To this end, the application may generate an order corresponding to the proxy confirmation information based on the proxy confirmation information received from the broker terminal 300. If necessary, the investor may be informed about the generated order. Thereafter, the generated order may be output to the securities company system 100, and the securities company system 100 that receives the order may process (execute) the order.

After all, according to the securities ordering method through the agency confirmation information shown in Figure 3, the investor only checks the agency confirmation information received from the broker, the corresponding order can be outputted, the investor inputs the information required for the order separately There is no need to do. In addition, if the investor does not specifically request an order and requests an order that meets certain conditions, the broker may provide the investor with at least one agency confirmation information so that the order can be generated and output as soon as the investor confirms. In addition, the investor may select the desired proxy confirmation information from the received proxy confirmation information so that an order corresponding to the selected proxy confirmation information is processed.

4 is a view for explaining a method of ordering securities through the agency confirmation information according to another embodiment of the present invention.

Referring to FIG. 4, the investor makes an order request to the broker terminal 300 (S400), and the broker terminal 300 may transmit proxy confirmation information corresponding to the order request to the investor terminal 200 ( S410). In addition, the broker terminal 300 may output an order corresponding to the agency confirmation information to the securities company system 100 (S420-2).

The securities company system 100 that receives the order does not immediately perform the order, but waits for the confirmation signal of the agency confirmation information corresponding to the order from the investor's terminal 200. When the investor confirms the agency confirmation information through the investor's terminal 200, the investor's terminal 200 may output a confirmation signal to the securities company system 100 (S420-1). In this case, the confirmation signal may include predetermined information for identifying the order previously received by the securities company system 100. For example, the predetermined information may be at least part of identification information of the proxy confirmation information or information included in the proxy confirmation information. The order confirmation information identification information may also be included in the order. Then, based on the predetermined information, the securities firm system 100 may execute the order corresponding to the confirmation signal (S430).

Securities ordering method through the verification information according to an embodiment of the present invention can be implemented as a computer-readable code on a computer-readable recording medium. A computer-readable recording medium includes all kinds of recording apparatuses in which data that can be read by a computer system is stored. Examples of computer-readable recording media include ROM, RAM, CD-ROM, magnetic tape, hard disk, floppy disk, optical data storage, and the like, and also in the form of carrier waves (e.g., transmission over the Internet). It also includes implementations. The computer readable recording medium may also be distributed over a networked computer system so that computer readable code can be stored and executed in a distributed manner. And functional programs, codes, and code segments for implementing the present invention can be easily inferred by programmers skilled in the art to which the present invention pertains.

Although the present invention has been described with reference to one embodiment shown in the drawings, this is merely exemplary, and those skilled in the art will understand that various modifications and equivalent other embodiments are possible therefrom. Therefore, the true technical protection scope of the present invention will be defined by the technical spirit of the appended claims.

BRIEF DESCRIPTION OF THE DRAWINGS A brief description of each drawing is provided to more fully understand the drawings recited in the description of the invention.

1 is a view for explaining a method for ordering securities through agency confirmation information according to an embodiment of the present invention.

2 is a view for explaining a method for ordering securities through agency confirmation information according to another embodiment of the present invention.

3 is a view for explaining a method for ordering securities through agency confirmation information according to another embodiment of the present invention.

4 is a view for explaining a method for ordering securities through proxy confirmation information according to another embodiment of the present invention.

Claims (12)

Receiving, by the brokerage system, agency information corresponding to the agency request from a terminal of the broker receiving the agency request from the investor; Transmitting, by the securities company system, proxy confirmation information corresponding to the agency information to the terminal of the investor; And when the confirmation signal is received from the terminal of the investor in response to the proxy confirmation information transmitted, executing the order by the securities company system to correspond to the agency information. The method of claim 1, wherein the proxy request, How to order securities through the proxy confirmation information, including at least one of the request for proxy or order information creation agency request. The method of claim 1, wherein the proxy confirmation information, Securities order method through the verification information, characterized in that at least one of the information on the item name, order type, order execution conditions, or order price corresponding to the order corresponding to the agency information. The method of claim 1, wherein the proxy confirmation information, Transmitted through a predetermined application and a wireless communication network installed in the terminal of the investor; A method of ordering securities through proxy confirmation information, characterized in that transmitted by at least one method of SMS (short messaging service) or MMS (multimedia messaging service). Transmitting, by the terminal of the broker receiving the proxy request from the investor, proxy confirmation information corresponding to the proxy request to the terminal of the investor; And when the terminal of the broker receives the confirmation signal from the terminal of the investor in response to the transmitted proxy confirmation information, the terminal of the broker including a step of transmitting an order corresponding to the proxy confirmation information to a securities company system. How to order securities through verification information. Receiving, by the investor's terminal, proxy confirmation information corresponding to the proxy request from the terminal of the broker that has received the agency request from the investor; Receiving, by the investor's terminal, a confirmation signal input from the investor based on the received proxy confirmation information; And And receiving, by the terminal of the investor, an order corresponding to the proxy confirmation information to a securities company system when the confirmation signal is received. delete The securities company system receiving the confirmation signal; And In response to the receiving, executing the order by the securities company system corresponding to the agency information corresponding to the agency request received from the terminal of the broker, The confirmation signal is, If the investor's terminal receives proxy confirmation information corresponding to the proxy request from the terminal of the broker that has received the proxy request, and the terminal of the investor receives a predetermined signal based on the received proxy confirmation information, the investor Securities order method through the verification information, characterized in that transmitted to the securities company system by the terminal. The method of claim 8, wherein the confirmation signal, Predetermined information for identifying the agency information is included, Based on the predetermined information, the securities company system identifies the agency information corresponding to the confirmation signal, and executes an order to correspond to the identified agency information, the securities order method through the verification information. A computer-readable recording medium having recorded thereon a program for performing the method according to any one of claims 1 to 6 and 8 to 9. In a terminal of a broker in which a predetermined application is installed, The terminal of the broker through the application, Receiving the agency confirmation information corresponding to the agency request, When the terminal of the broker receives the confirmation signal from the terminal of the investor, The terminal of the broker, the terminal of the broker, characterized in that for outputting the order corresponding to the agency confirmation information to the securities company system through the application. In the terminal of the investor with a predetermined application, The terminal of the investor through the application, Receive agency confirmation information corresponding to the agency request through the terminal of the broker, When the terminal of the investor receives the confirmation signal input from the investor, The terminal of the investor, characterized in that the terminal of the investor outputs the order corresponding to the received proxy confirmation information to the securities company system through the application.

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