Summary of the invention
In view of this, this specification one or more embodiment provide the generation methods of risk monitoring and control data a kind of, device,
Computer equipment and computer readable storage medium.
To achieve the above object, this specification one or more embodiment provides a kind of generation side of risk monitoring and control data
Method, the method are executed by terminal, comprising:
Obtain the text information data of objective supervision rule file;
The text information data are parsed according to preset hierarchical rule, the text information data are converted to tree-like
Structured data, the leaf node of the tree structure data include the regulatory requirements to target risk object;
Target monitoring index is generated based on the regulatory requirements to target risk object;
Risk monitoring and control data are generated, the risk monitoring and control data include the target monitoring index.
In the another embodiment shown, the risk monitoring and control data further include the tree structure data.
It is described that the text information data are parsed according to preset hierarchical rule in the another embodiment shown, with
Generate tree structure data, comprising:
Based on text information number described in the preset keyword or preset keyword Combinatorial resolution in the text information data
According to;
The text information data after fractionation are generated as to the node of tree structure data respectively.
It is described that the text information data are parsed according to preset hierarchical rule in the another embodiment shown, with
Generate tree structure data, further includes:
The preselected node data of the tree structure data are deleted, merged or split, to update the tree-like knot
Structure data.
In the another embodiment shown, the risk monitoring and control data are risk control matrix data.
Correspondingly, this specification additionally provides a kind of generating means of risk monitoring and control data, is applied to a terminal,
Include:
Acquiring unit, for obtaining the text information data of objective supervision rule file;
Resolution unit, for parsing the text information data according to preset hierarchical rule, by the text information
Data are converted to tree structure data, and the leaf node of the tree structure data includes the regulatory requirements to target risk object;
Generation unit, for generating target monitoring index based on the regulatory requirements to target risk object and generating wind
Dangerous monitoring data, the risk monitoring and control data include the target monitoring index.
In the another embodiment shown, the risk monitoring and control data further include the tree structure data.
In the another embodiment shown, the resolution unit is further used for:
Based on text information number described in the preset keyword or preset keyword Combinatorial resolution in the text information data
According to;
The text information data after fractionation are generated as to the node of tree structure data respectively.
In the another embodiment shown, the resolution unit is further used for:
The preselected node data of the tree structure data are deleted, merged or split, to update the tree-like knot
Structure data.
In the another embodiment shown, the risk monitoring and control data are risk control matrix data.
Correspondingly, this specification also proposed a kind of computer equipment, comprising: memory and processor;The memory
On be stored with the computer program that can be run by the processor;When the processor runs the computer program, in execution
State the generation method of risk monitoring and control data performed by terminal.
Correspondingly, this specification additionally provides a kind of computer readable storage medium, is stored thereon with computer program, institute
When stating computer program and being run by processor, the generation method of risk monitoring and control data performed by above-mentioned terminal is executed.
By above technical scheme as it can be seen that this specification provide risk monitoring and control data generation method and device, based on
Calculation machine terminal, which executes, generates the Text region of regulatory rule file, parsing and tree structure data, to be based on tree structure
The leaf node of data generates target monitoring index, and the target monitoring index is included in the content of risk monitoring and control data;To
The process for manually generating risk monitoring and control data by risk monitoring and control personnel is converted to by computer automatic execution, wind is improved
The formation efficiency and accuracy of dangerous monitoring data further improve the execution efficiency and accuracy of risk monitoring and control.
Specific embodiment
Example embodiments are described in detail here, and the example is illustrated in the accompanying drawings.Following description is related to
When attached drawing, unless otherwise indicated, the same numbers in different drawings indicate the same or similar elements.Following exemplary embodiment
Described in embodiment do not represent all embodiments consistent with this specification one or more embodiment.Phase
Instead, they are only some aspects phases with the one or more embodiments of as detailed in the attached claim, this specification
The example of consistent device and method.
It should be understood that the sequence that might not show and describe according to this specification in other embodiments executes
The step of correlation method.In some other embodiments, step included by method can than described in this specification more
It is more or less.In addition, single step described in this specification, may be broken down into other embodiments multiple steps into
Row description;And multiple steps described in this specification, it may also be merged into single step progress in other embodiments
Description.
When terminal executes risk monitoring and control behavior (as audited), it is typically based on the monitor control index to target risk object
Carry out supervision control, the supervision control that the above-mentioned monitor control index to target risk object carries out often need to according to country or industry or its
He supervises provision or regulatory rule and implements.Therefore, risk monitoring and control personnel need to be according to above-mentioned country or industry or other supervision items
Text is screened, is edited, to generate the monitor control index of target risk object.At present to the operation system of terminal operation
The data of target risk object, which are write or generated, to be usually manually arranged by risk monitoring and control personnel, for complicated monitoring rules
Or law article, manually generated risk monitoring and control object data execution efficiency is lower, and is easy to appear omission.
In view of this, providing a kind of generation of risk monitoring and control data in a kind of embodiment shown in this specification
Method, the method are executed by terminal.As shown in Figure 1, the life for the risk monitoring and control data that above-mentioned terminal executes
At method, comprising:
Step 102, the text information data of objective supervision rule file are obtained.
Objective supervision rule file may include that country, industry or the supervision provision or terminal organized to set up are transported
The corresponding organization object of capable operation system is that the Risk Supervision that the operation system is formulated controls rule etc..
Present embodiment does not limit the specific format of above-mentioned objective supervision rule file.For example, for computer-readable
The file of text formatting (such as text formatting) is taken, terminal can be read by text is directly obtained objective supervision rule text
The text information data of part;Non-computer can be read the file of text formatting (such as picture format), above-mentioned terminal
Can be by character recognition technology, such as optical character identification (OCR) technology, identification obtains the text of above-mentioned objective supervision rule file
Information data;For the objective supervision rule file of audio or video format, above-mentioned terminal can pass through voice recognition skill
Art or image recognition technology, identification get the text information data of above-mentioned objective supervision rule file.
Step 104, the text information data are parsed according to preset hierarchical rule, the text information data is turned
It is changed to tree structure data, the leaf node of the tree structure data includes the regulatory requirements to target risk object.
Tree structure refers to that there is the nonlinear data structures of the tree-like relationship of " one-to-many " between data element.In
In tree structure, root vertex does not have predecessor node, remaining each node has a predecessor node;Leaf node (or leaf section
Point) there is no subsequent node, the subsequent node number of remaining each nonleaf node is either one or more.Tree structure number
According to hierarchical relationship, subordinate relation or the coordination that can be indicated in specific application scenarios between data.
In the present embodiment, according to preset hierarchical rule, terminal parses above-mentioned text information data, thus
Above-mentioned text information data are converted into tree structure data, and the leaf node of the tree structure data includes to target risk pair
The regulatory requirements of elephant.Present embodiment does not limit the specific manifestation form of above-mentioned preset hierarchical rule, the technology of this field
Personnel can select for objective supervision rule file or formulate hierarchical rule, or be based on machine from the actual demand of business
The modes such as study, big data analysis generate specific hierarchical mode, using by above-mentioned text information data hierarchy as tree structure.
It is above-mentioned that the text information data are parsed according to preset hierarchical rule in the embodiment shown in one, it will
The text information data are converted to tree structure data, comprising: identify preset keyword in the text information data or
Preset keyword combination;The text information data are split based on the preset keyword or key combination;After fractionation
The text information data are generated as the node of tree structure data respectively.
Above-mentioned preset keyword or preset keyword combination may include the text for showing the hierarchical relationship of text information data
Word, such as " chapter 1 " " chapter 2 " " chapter 3 " " ... " or " Chapter 1 " " Chapter2 " " Chapter 3 " " ... " can
Using the preset keyword or key combination as the first layer data;" first " " Article 2 " " Article 3 " " ... " or
" Rule 1 " " Rule 2 " " Rule 3 " " ... " can be used as the preset keyword or key combination of the second layer data;With this
Analogize, until parsing obtains the last layer data.It then will according to the hierarchical relationship of each layer data, subordinate relation or coordination
Above layers data are generated as the nodes at different levels of tree structure data.
It is worth noting that, in yet other embodiments, above-mentioned terminal can also be based on some special settings
Rule is modified or updates to the tree structure data obtained by above-mentioned layering, for example, to above-mentioned tree structure data
Preselected node data are deleted, merged or are split, to obtain the tree structure data updated.
Step 106, target monitoring index is generated based on the regulatory requirements to target risk object.
To the regulatory requirements of target risk object included by leaf node based on above-mentioned tree structure data, computer is whole
End can generate corresponding target monitoring index for above-mentioned target risk object.Above-mentioned target risk object, including above-mentioned computer
The business datum of the operation system or storage of terminal or other terminals communicated to connect with above-mentioned terminal operation
In easily there is the object of risk, such as Contract Signing rate, the registration money of operation system correspondent entity of operation system operation business
Originally, the memory usage of terminal where operation system or CPU handling rate, the hard disk occupancy of business datum place data terminal etc.
Deng.
Above-mentioned target monitoring index can be above-mentioned target risk object itself, can also be above-mentioned target risk object
Attribute value or target risk object are non-states etc., are not limited thereto.Furthermore, it should be noted that according to above-mentioned right
The regulatory requirements of target risk object, above-mentioned terminal can be generated a target monitoring index, also can be generated multiple
Target monitoring index, is also not construed as limiting herein.
Step 108, risk monitoring and control data are generated, above-mentioned risk monitoring and control data include the target monitoring index.
Above-mentioned risk monitoring and control data include at least the target monitoring index of above-mentioned generation, so that risk monitoring and control operation system can
Risk monitoring and control logic is executed based on above-mentioned target monitoring index.
For example, above-mentioned target monitoring index is the attribute thresholds of above-mentioned target risk object, above-mentioned risk monitoring and control logic can
To include using the mark of target risk object as index, screening and filtering business datum, so that it is corresponding to obtain target risk object
Attribute value, pass through the corresponding attribute value of the above-mentioned target risk object of counting statistics, it is possible to determine that whether reach target risk pair
The attribute thresholds of elephant, to trigger the control logics such as warning.
For another example, target risk object can be multiple operation flows of operation system, and above-mentioned target monitoring index is above-mentioned
The execution order status of target risk object;Above-mentioned risk monitoring and control logic may include traversal business datum to obtain business system
The whole operation flow of system judges that the sequence as multiple operation flows of target risk object is from above-mentioned whole operation flow
The no order status for meeting objective supervision index defined, to judge whether to reach alert status.
Therefore, the generation method of the risk monitoring and control data provided based on said one or multiple embodiments, based on calculating
Machine terminal, which executes, generates the data acquisition of objective supervision rule file, parsing and tree structure data, to be based on tree-like knot
The leaf node of structure data generates target monitoring index, and the target monitoring index is included in the content of risk monitoring and control data;From
And be converted to the process for manually generating risk monitoring and control data by risk monitoring and control personnel by computer automatic execution, it improves
Risk monitoring and control data, the formation efficiency of especially target monitoring index and accuracy, further improve the execution of risk monitoring and control
Efficiency and accuracy.
Risk monitoring and control data --- risk control matrix used in risk control system is generated with a terminal below
For the detailed process of data (RCM), the technical solution of the application is described in detail.
A kind of specific manifestation form of the audit operations system as risk control system, generally directed to risk control matrix function
It audits (i.e. risk control) according to (RCM), therefore accurately and efficiently generates the risk control matrix including target monitoring index
Data have vital meaning.
Such as in carrying out reference operating audit, the reference that audit staff should be promulgated based on country or industry manages item
Example generates risk control matrix data, and above-mentioned risk control matrix may include one or more target monitoring indexs.In this implementation
In mode, the risk control matrix data generation method that a terminal executes includes:
Step 201, the text information data of objective supervision rule file are obtained.
For example, this risk control matrix data will be generated according to " reference industry management rules ", by Text region or text
Word is read, and above-mentioned terminal at least gets " reference industry management rules " including following text information data:
" chapter 1 general provisions
First
……
Chapter 2, credit information service
Credit information service alleged by Article 5 this provision refers to constituted by law, the mechanism of Main Management reference business.
Article 6 sets up the credit information service for managing personal reference business, should meet Company Law of the People's Republic of China rule
Fixed Company Establishment's condition and following condition, and ratify through reference industry supervisory and management department, State Council:
(1) controlling shareholder enjoys a good reputation, and nearest 3 years without great illegal record;
(2) registered capital is no less than 50,000,000 yuan of RMB;
(3) there are facility, equipment and the system for meeting and ensuring information safety as defined in reference industry supervisory and management department, State Council
Degree, measure;
(4) intend that director, supervisor and senior executive is appointed to meet qualifications as defined in this provision Article 8;
(5) other discretion conditions as defined in State Council's reference industry supervisory and management department.
……”
Step 202, the text information data are parsed according to preset hierarchical rule, the text information data is turned
It is changed to tree structure data, the leaf node of the tree structure data includes the regulatory requirements to target risk object.
Above-mentioned terminal can configure different layering analysis templates for different objective supervision rule files, with basis
Demand is called.For example, above-mentioned terminal can be selected including following hierarchical rule for above-mentioned " reference industry management rules "
Parse template:
First layer keyword: " chapter 1, chapter 2, chapter 3 ... "
Second layer keyword: " first, Article 2, Article 3 ... "
Third layer keyword: " (one), (two), (three) ... "
It is arranged by above-mentioned keyword, above-mentioned objective supervision rule file can be split as multilayer knot by terminal
The data of structure --- tree structure data, the first layer data is the corresponding data of each chapter under the root node of the tree structure data,
The second layer is the corresponding data of each item of every chapter;The corresponding data of junior's slitting that third layer is every.
In addition, the also settable some special resolution rules of terminal are come the tree-like knot to update or correcting above-mentioned generation
Structure data, for example, following special rules is arranged in above-mentioned " reference industry management rules ":
" chapter 1 --- it does not parse;
Chapter 2, Article 7 --- it is split as 2;
Chapter 2, first merges with chapter 2 Article 3
……”
(notice that Fig. 2 is omitted for tree structure data as described in Figure 2 to arrange above-mentioned " reference industry management rules "
The corresponding specific supervision authentic language description of each leaf node), the leaf node of the tree structure data is that " reference industry manages item
Example " specific supervision provide, including the regulatory requirements to target risk object.
Step 203, target monitoring index is generated based on the regulatory requirements to target risk object.
Above-mentioned terminal can generate corresponding target monitoring index based on the leaf node of tree structure data, for example,
According to the content of above-mentioned " reference industry management rules " chapter 2 Article 5, " credit information service alleged by this provision refers to constituted by law, main
Manage the mechanism of reference business " leaf node as tree structure data shown in Fig. 2, it can be generated according to monitor control index
The content of the leaf node is directly generated target monitoring index by rule --- and " credit information service alleged by this provision refers to and sets in accordance with the law
It is vertical, the mechanism of Main Management reference business ", or the content of the leaf node is passed through into synonymous conversion, it generates target monitoring and refers to
Mark --- " range of business includes: reference business ", etc..This specification does not limit the specific of above-mentioned monitor control index create-rule
Inside perhaps form.
Step 204, risk control matrix data is generated, the risk control matrix data includes that the target monitoring refers to
Mark.
Risk control matrix data used in audit operations system is usually table format, therefore above-mentioned terminal can
The target monitoring index generated into above-mentioned steps is filled in risk control matrix form, to generate risk monitoring and control data.
In the another embodiment shown, above-mentioned risk control matrix form may also include the tree-like of above-mentioned parsing formation
Structured data: for example, " level-one operation flow " the fills by " chapter " layering into risk control matrix form, is pressed
" secondary traffic process " of the fills of " item " layering into risk control matrix form, the last layer (one) (two) sequence are filled out
The laws and regulations requirement being charged in risk control matrix form, to generate risk control matrix form as shown in Figure 3.
Corresponding with the realization of above-mentioned process, the embodiment of this specification additionally provides a kind of generating means of risk monitoring and control data
40.Device 40 can also be realized by software realization by way of hardware or software and hardware combining.It is implemented in software to be
Example, is the CPU (Central Process Unit, central processing unit) by place equipment as the device on logical meaning
Corresponding computer program instructions are read into memory what operation was formed.For hardware view, in addition to CPU shown in fig. 5,
Except memory and memory, the equipment where above-mentioned apparatus also typically include chip for carrying out wireless signal transmitting-receiving etc. its
His hardware, and/or for realizing other hardware such as board of network communicating function.
As shown in figure 4, this specification additionally provides a kind of generating means 40 of risk monitoring and control data, it is applied to a computer
Terminal, comprising:
Acquiring unit 402, for obtaining the text information data of objective supervision rule file;
Resolution unit 404 believes the text for parsing the text information data according to preset hierarchical rule
Breath data are converted to tree structure data, and the leaf node of the tree structure data includes wanting to the supervision of target risk object
It asks;
Generation unit 406, for generating target monitoring index and life based on the regulatory requirements to target risk object
At risk monitoring data, the risk monitoring and control data include the target monitoring index.
In the another embodiment shown, the risk monitoring and control data further include the tree structure data.
In the another embodiment shown, the resolution unit 404 is further used for:
Based on text information number described in the preset keyword or preset keyword Combinatorial resolution in the text information data
According to;
The text information data after fractionation are generated as to the node of tree structure data respectively.
In the another embodiment shown, the resolution unit 404 is further used for:
The preselected node data of the tree structure data are deleted, merged or split, to update the tree-like knot
Structure data.
In the another embodiment shown, the risk monitoring and control data are risk control matrix data.
The function of each unit and the realization process of effect are specifically detailed in above-mentioned terminal and are held in above-mentioned apparatus 40
The realization process of step is corresponded in the generation method of capable risk monitoring and control data, related place is said referring to the part of embodiment of the method
Bright, details are not described herein.
The apparatus embodiments described above are merely exemplary, wherein described, unit can as illustrated by the separation member
It is physically separated with being or may not be, component shown as a unit may or may not be physics mould
Block, it can it is in one place, or may be distributed on multiple network modules.It can be selected according to the actual needs
In some or all of unit or module realize the purpose of this specification scheme.Those of ordinary skill in the art are not paying
In the case where creative work, it can understand and implement.
Device that above-described embodiment illustrates, unit, module can specifically be realized, Huo Zheyou by computer chip or entity
Product with certain function is realized.A kind of typically to realize that equipment is computer, the concrete form of computer can be a
People's computer, laptop computer, cellular phone, camera phone, smart phone, personal digital assistant, media player, navigation
It is any several in equipment, E-mail receiver/send equipment, game console, tablet computer, wearable device or these equipment
The combination of kind equipment.
Corresponding with above method embodiment, the embodiment of this specification additionally provides a kind of computer equipment, such as Fig. 5 institute
Show, which includes memory and processor.Wherein, the computer that can be run by processor is stored on memory
Program;Processor executes in this specification embodiment performed by above-mentioned terminal in the computer program of operation storage
Risk monitoring and control data generation method each step.Generation to risk monitoring and control data performed by above-mentioned terminal
The detailed description of each step of method refer to before content, be not repeated.
Corresponding with above method embodiment, the embodiment of this specification additionally provides a kind of computer-readable storage medium
Matter is stored with computer program on the storage medium, and it is real to execute this specification when being run by processor for these computer programs
Apply each step of the generation method of risk monitoring and control data performed by above-mentioned terminal in example.To above-mentioned terminal
The detailed description of each step of the generation method of performed risk monitoring and control data refer to before content, be not repeated.
The foregoing is merely the preferred embodiments of this specification, all in this explanation not to limit this specification
Within the spirit and principle of book, any modification, equivalent substitution, improvement and etc. done should be included in the model of this specification protection
Within enclosing.
In a typical configuration, calculating equipment includes one or more processors (CPU), input/output interface, net
Network interface and memory.
Memory may include the non-volatile memory in computer-readable medium, random access memory (RAM) and/or
The forms such as Nonvolatile memory, such as read-only memory (ROM) or flash memory (flash RAM).Memory is computer-readable medium
Example.
Computer-readable medium includes permanent and non-permanent, removable and non-removable media can be by any method
Or technology come realize information store.Information can be computer readable instructions, data structure, the module of program or other data.
The example of the storage medium of computer includes, but are not limited to phase change memory (PRAM), static random access memory
(SRAM), dynamic random access memory (DRAM), other kinds of random access memory (RAM), read-only memory
(ROM), electrically erasable programmable read-only memory (EEPROM), flash memory or other memory techniques, CD-ROM are read-only
Memory (CD-ROM), digital versatile disc (DVD) or other optical storage, magnetic cassettes, tape magnetic disk storage or
Other magnetic storage devices or any other non-transmission medium, can be used for storage can be accessed by a computing device information.According to
Herein defines, and computer-readable medium does not include temporary computer readable media (transitory media), such as modulation
Data-signal and carrier wave.
It should also be noted that, the terms "include", "comprise" or its any other variant are intended to nonexcludability
It include so that the process, method, commodity or the equipment that include a series of elements not only include those elements, but also to wrap
Include other elements that are not explicitly listed, or further include for this process, method, commodity or equipment intrinsic want
Element.In the absence of more restrictions, the element limited by sentence "including a ...", it is not excluded that including described want
There is also other identical elements in the process, method of element, commodity or equipment.
It will be understood by those skilled in the art that the embodiment of this specification can provide as the production of method, system or computer program
Product.Therefore, the embodiment of this specification can be used complete hardware embodiment, complete software embodiment or combine software and hardware side
The form of the embodiment in face.Moreover, it wherein includes that computer is available that the embodiment of this specification, which can be used in one or more,
It is real in the computer-usable storage medium (including but not limited to magnetic disk storage, CD-ROM, optical memory etc.) of program code
The form for the computer program product applied.