CN111951107A - Financing and coupon concentration degree wind control system - Google Patents
Financing and coupon concentration degree wind control system Download PDFInfo
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- CN111951107A CN111951107A CN202010723981.8A CN202010723981A CN111951107A CN 111951107 A CN111951107 A CN 111951107A CN 202010723981 A CN202010723981 A CN 202010723981A CN 111951107 A CN111951107 A CN 111951107A
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Abstract
The invention provides a financing and financing voucher concentration wind control system which comprises a client layer, a voucher classification layer, a group layer and a voucher layer, wherein the group layer is used for judging plate data summation priority, the voucher classification layer is used for judging voucher classification priority, the voucher layer is used for judging the priority of single voucher concentration, the client layer is used for judging the priority of single client concentration, and the client layer, the voucher classification layer, the group layer and the voucher layer are respectively subjected to data association through a concentration control management module, a concentration exemption client module and an agreed voucher white list module and are used for calculating and judging to judge risk control/special exemption operation. The invention aims to solve the problems that the automatic migration of the data of each plate block in the prior art is stable and transitional, the wind control monitoring system of the scientific and creative plate and the entrepreneurship plate is improved, and the risk of related financing and financing coupons caused by different transaction mechanisms is prevented.
Description
Technical Field
The invention relates to the technical field of information, in particular to a financing and financing ticket concentration wind control system and a working method thereof.
Background
Along with the falling of the policies of the science creation board and the entrepreneur board, a system capable of realizing the data information interactive migration of the exchange is lacked at present for considering the problems existing in the current industry and realizing the stock migration among the double-entrepreneur board, the science creation board and the approval entrepreneur board in order to take the risk prevention and control and the smooth transition into consideration. According to the trading mechanism and the plate stock of the stock and increment differentiation management, the stock dealer realizes efficient trading management and risk management on the trading of the client.
Disclosure of Invention
The invention aims to provide a financing and financing coupon concentration wind control system and a working method thereof, which are used for an analysis system of the financing and financing coupon concentration among a scientific plate, a double-creative plate and an approval-creation plate, so as to solve the problems of automatic migration and stable transition of data of each plate, perfection of a scientific plate and creative plate wind control monitoring system and prevention of related financing and financing coupon risks caused by different transaction mechanisms in the prior art.
The invention provides a financing and financing ticket concentration degree wind control system, which comprises a client layer, a security category layer, a group layer and a security layer,
it is worth mentioning that the client layer, the security category layer, the group layer and the security layer are field names in the database and are used for mapping data between data classification and differentiation.
The group level is used to determine plate data summation priority,
the security category layer is used for judging security category priority,
the layers of securities are used to determine the priority of a single security concentration,
the client layer is used for judging the priority of the concentration of single clients;
the client layer, the security category layer, the group layer and the security layer are respectively associated with data through a concentration control management module, a concentration exemption client module and an agreed white list module for financial instruments, and are used for calculating and judging to judge risk control/special exemption operation,
the risk control sends out risk early warning operation when the value of the financing concentration ratio and the financing concentration ratio is lower than the threshold value of the safety early warning,
the special exemption is controlled by the special concentration value of the financing concentration and the financing concentration or the risk of-1, and the special exemption operation is sent out.
The above-described wind control and in particular the exemption is a form of instructions from a program or computer.
Further, the financing concentration ratio is a minimum interval value and a maximum interval value according to the credit account maintenance guarantee proportion; the stock and plate stock trading method is characterized in that one or more dimensions of the stock and the plate stock are combined, and after trading instructions of ordinary buying and financing buying are set to consign, the ratio of the stock market value of the stock and the plate stock held by a customer to the total assets of a credit account is not higher than a certain concentration value.
Further, the concentration of the financial instruments is the lowest and highest interval value of the guarantee proportion maintained according to the credit account; the combination of one or more dimensions of the stocks and the plates is adopted, and after a trading instruction for selling the financial instruments is committed to a deal, the ratio of the market value of the securities and the liabilities held by the customer account to the total assets of the credit account is not higher than a certain concentration value.
Furthermore, the exemption of the financing concentration degree is a special exemption function of risk control, wherein the proportion of the total assets of the credit account is not higher than a certain special concentration value or-1, the combination is carried out by one or more dimensions of the stocks and the blocks according to the lowest and the highest interval values of the credit account maintenance guarantee proportion, and after the trading instructions of ordinary buying and financing buying are arranged to be committed to trade, the market values of the stocks, the blocks and other securities held by the account are not higher than the special concentration value or-1.
Furthermore, the insurance of the financial instrument concentration is a special insurance function of risk control, wherein the insurance ratio of the financial instrument concentration is the lowest and the highest interval values according to the credit account maintenance guarantee ratio, one or more dimensions of the individual stocks and the blocks are combined, and after the financial instrument selling trading instruction is entrusted to trade, the value of the securities liability of the individual stocks and the blocks held by the client accounts for not more than a certain special concentration value or-1.
Further, the engagement white list is a customer in the engagement white list, verifying financing instrument concentration control, and verifying headroom exposure in the engagement white list.
Further, the determination formula of the headroom opening proportion is
Wherein f is a clearance opening proportion, S is a net asset, anFor the nth subject creating a stock coupon balance, bnThe market value of the stock guarantee is created for the nth subject.
The above invention uses machine and/or program to complete the above preset rule setting, and in order to better fit the product model explanation mode, the terms in some financial security fields are cited, not as the limitation of technical features, but only to clearly explain the logic relationship between technical scheme and technical features.
The invention has the beneficial effects that:
1) the plate is designed, and the securities of one class are uniformly wind-controlled;
2) margin design, flexible entrusting and risk prevention;
3) the design of multiple dimensions is flexible and changeable;
4) exempt from the customer, refine the management;
5) the device is uniformly arranged, so that the management is convenient;
6) setting individual character, customizing service;
7) the performance is considered, and the popularization is convenient.
Drawings
In order to more clearly explain the technical solution of the present application, the drawings needed to be used in the embodiments will be briefly described below, and it is obvious to those skilled in the art that other drawings can be obtained according to the drawings without any creative effort.
Fig. 1 is a product module structure diagram of a financing and financing instrument concentration wind control system and a working method thereof according to a first embodiment of the present application.
FIG. 2 is a chart of a comparison of priority and concentration values for a customer of a first embodiment of a financing instrument concentration wind control system as provided herein.
Fig. 3 is a flow chart of concentration risk control of a second embodiment of a financing and financing instrument concentration wind control system provided by the present application.
Fig. 4 is a flow chart of concentration exemption setting of a second embodiment of a financing and financing instrument concentration wind control system provided by the present application.
Fig. 5 is a diagram of the safe threshold ranges of margin and clearance exposure for a second embodiment of a financing instrument concentration wind control system provided by the present application.
Fig. 6 is a range diagram of single security to overall plate concentration for a second embodiment of a financing instrument concentration wind control system provided by the present application.
Detailed Description
In order to make the objects, technical solutions and advantages of the present application more apparent, the technical solutions of the present application will be described in detail and completely with reference to the following specific embodiments of the present application and the accompanying drawings. It should be apparent that the described embodiments are only some of the embodiments of the present application, and not all of the embodiments. All other embodiments, which can be derived by a person skilled in the art from the embodiments given herein without making any creative effort, shall fall within the protection scope of the present application. The technical solutions provided by the embodiments of the present application are described in detail below with reference to the accompanying drawings.
Example 1
Referring to fig. 1-3, the first embodiment provides a financing and financing instrument concentration wind control system, which comprises a client layer, a security classification layer, a group layer and a security layer,
the group level is used to determine plate data summation priority,
the security category layer is used for judging security category priority,
the layers of securities are used to determine the priority of a single security concentration,
the client layer is used for judging the priority of the concentration of single clients;
the client layer, the security category layer, the group layer and the security layer are respectively associated with data through a concentration control management module, a concentration exemption client module and an agreed white list module for financial instruments, and are used for calculating and judging to judge risk control/special exemption operation,
the risk control sends out risk early warning operation when the value of the financing concentration ratio and the financing concentration ratio is lower than the threshold value of the safety early warning,
the special exemption is controlled by the special concentration value of the financing concentration and the financing concentration or the risk of-1, and the special exemption operation is sent out.
The financing concentration ratio is the lowest interval value and the highest interval value of the guarantee proportion maintained according to the credit account; the stock and plate stock trading method is characterized in that one or more dimensions of the stock and the plate stock are combined, and after trading instructions of ordinary buying and financing buying are set to consign, the ratio of the stock market value of the stock and the plate stock held by a customer to the total assets of a credit account is not higher than a certain concentration value.
The concentration of the financial instruments is the lowest and highest interval values of the guarantee proportion maintained according to the credit account; the combination of one or more dimensions of the stocks and the plates is adopted, and after a trading instruction for selling the financial instruments is committed to a deal, the ratio of the market value of the securities and the liabilities held by the customer account to the total assets of the credit account is not higher than a certain concentration value.
The financing concentration exemption is a special exemption function for risk control, wherein the proportion of the financing concentration exemption accounts on the total assets of the credit account is not higher than a certain special concentration value or-1, the lowest and highest interval values of the guarantee proportion of the credit account are maintained, one or more dimensions of stocks and plates are combined, and after trading instructions of ordinary buying and financing buying are set to consign, the market values of the stocks, the plates and other securities held by the account are controlled.
The said bond concentration exemption is based on the lowest and highest interval value of credit account maintenance guarantee proportion, and combines one or more dimensions of individual stock and plate, and sets the bond market value of individual stock and plate held by the client after the bond selling trade instruction commits to the transaction, and the proportion of the bond market value in the total assets of the credit account is not higher than a special concentration value or-1 risk control special exemption function.
The promissory financing white list is a customer in the promissory financing white list, the control of the concentration of the financing is verified, and the clearance opening in the promissory white list is verified.
The determination formula of the clearance opening proportion is
Wherein f is a clearance opening proportion, S is a net asset, anFor the nth subject creating a stock coupon balance, bnThe market value of the stock guarantee is created for the nth subject.
Example 2
This example is described in conjunction with the specific steps
The system architecture selects one or more dimensions from a client layer, a stock, a block, a security category and the like to support the centralized control and exemption of financing or financing; meanwhile, dimensions such as maintenance, single securities and securities categories are supported for appointed financial bond white list customers, and the appointed financial bond customers are intensively set.
The system realizes the concentration wind control of the concentration of the financing and financing coupons and realizes the complete autonomous control.
Wherein,
the system sets concentration control management setting, concentration exemption client setting and appointed white list setting of the fusion voucher three concentration and clearance open parameters to predetermine a rule setting and providing setting module of the system,
as shown in fig. 1, the system relates to a module for approving three date spans of an entrepreneur board and a scientific entrepreneur board, three modules of a double entrepreneur board according to dates, and a risk-returning board;
as shown in fig. 2, the account selection entrusts the functions of calculating, judging, controlling/exempting according to the dimensions, priorities and the like of the client, the individual stock, the plate, the securities category, the clearance opening and the like;
as shown in fig. 3, the modules are used for satisfying centralized control of security dealer, and can perform subdivided management on clients, and perform centralized control management setting on securities, blocks and security categories respectively.
As shown in fig. 4, the centralized control management issues an instruction whether there is a centralized exemption setting, not containing [ client number + -2 ] as shown in the case of 9 in fig. 2, calculates client assets and liabilities,
respectively judging the concentration ratio by using the plate summation dimension, the securities category dimension, the single securities (the single securities are abbreviated in the figure) and the standard dimension, respectively obtaining the priority M/N/O/P after 100 percent is taken, comprehensively calculating whether the authority is exceeded or not, refusing if the authority is exceeded, and ending; if not, the concentration control management is completed, and the machine sends out an instruction.
The four substeps after calculating the customer assets and liabilities shown in fig. 4 are the secondary decision process of the concentration control management step shown in fig. 3.
As shown in FIG. 5, the white list control dimension is agreed upon for unified setup and centralized management of unified wind control for a particular financing customer.
It should be noted that, in the present specification, the embodiments are all described in a progressive manner, each embodiment focuses on differences from other embodiments, and the same and similar parts among the embodiments may be referred to each other.
Finally, it should also be noted that, in this document, the terms "comprises," "comprising," or any other variation thereof, are intended to cover a non-exclusive inclusion, such that a process, method, article, or apparatus that comprises a list of elements does not include only those elements but may include other elements not expressly listed or inherent to such process, method, article, or apparatus. Without further limitation, an element defined by the phrase "comprising an … …" does not exclude the presence of other identical elements in a process, method, article, or apparatus that comprises the element.
For convenience of description, the above devices are described as being divided into various units by function, and are described separately. Of course, the functions of the units may be implemented in the same software and/or hardware or in a plurality of software and/or hardware when implementing the invention.
From the above description of the embodiments, it is clear to those skilled in the art that the present invention can be implemented by software plus necessary general hardware platform. Based on such understanding, the technical solutions of the present invention may be embodied in the form of a software product, which may be stored in a storage medium, such as ROM/RAM, magnetic disk, optical disk, etc., and includes instructions for causing a computer device (which may be a personal computer, a server, or a network device, etc.) to execute the method according to the embodiments or some parts of the embodiments.
The foregoing is directed to embodiments of the present invention, and it is understood that various modifications and improvements can be made by those skilled in the art without departing from the spirit of the invention.
Claims (7)
1. The utility model provides a financing and financing instrument concentration degree wind control system which characterized in that, includes customer layer, securities classification layer, group layer and securities layer:
the group layer is used for judging plate data summation priority;
the security category layer is used for judging security category priority;
the security layer is used for judging the priority of single security concentration;
the client layer is used for judging the priority of the concentration of single clients;
the client layer, the security category layer, the group layer and the security layer are respectively associated with data through a concentration control management module, a concentration exemption client module and an agreed white list module for financial instruments, and are used for calculating and judging to judge risk control/special exemption operation,
and the risk control sends out risk early warning operation when the numerical values of the financing concentration and the financing concentration are lower than the threshold value of safety early warning, and particularly exempts from sending out special exemption operation when the risk control is carried out by special concentration values of the financing concentration and the financing concentration or-1.
2. A financing and financing instrument concentration wind control system as claimed in claim 1 wherein the financing concentration is maintained in terms of credit account with a guaranteed proportion minimum and maximum interval value; the stock and plate stock trading method is characterized in that one or more dimensions of the stock and the plate stock are combined, and after trading instructions of ordinary buying and financing buying are set to consign, the ratio of the stock market value of the stock and the plate stock held by a customer to the total assets of a credit account is not higher than a certain concentration value.
3. The system of claim 1, wherein the financial instrument concentration is maintained at a minimum guaranteed rate and a maximum interval value based on a credit account; the combination of one or more dimensions of the stocks and the plates is adopted, and after a trading instruction for selling the financial instruments is committed to a deal, the ratio of the market value of the securities and the liabilities held by the customer account to the total assets of the credit account is not higher than a certain concentration value.
4. The system of claim 2, wherein the financing concentration exemption is a special exemption function for risk control, wherein the proportion of the total assets of the credit account is not higher than a certain special concentration value or-1, the special exemption function is set by combining one or more dimensions of the individual stocks and the blocks according to the lowest and highest interval values of the credit account maintenance guarantee proportion, and after the trading orders of the ordinary buying and financing buying are committed to trade, the securities market values of the individual stocks and the blocks held by the account are occupied by the special exemption function.
5. The system of claim 3, wherein the financial instrument concentration exemption is a special exemption function for risk control, wherein the proportion of the securities held by the client and the securities liability market value of the individual stocks and blocks is not higher than a certain special concentration value or-1 after the financial instrument selling transaction order entrusts to a transaction, by combining the individual stocks and blocks with one or more dimensions according to the lowest and highest interval values of the credit account maintaining guarantee proportion.
6. The financing-instrument-concentration wind control system of claim 1, characterized in that the contracted financing instrument whitelist is a customer in the contracted financing instrument whitelist, the financing instrument concentration control is verified, and the clearance exposure in the contracted whitelist is verified.
7. The wind control system for concentration of financing instruments according to claim 6, characterized in that the determination formula of the clearance opening ratio is
Wherein f is a clearance opening proportion, S is a net asset, anFor the nth subject creating a stock coupon balance, bnThe market value of the stock guarantee is created for the nth subject.
Priority Applications (1)
| Application Number | Priority Date | Filing Date | Title |
|---|---|---|---|
| CN202010723981.8A CN111951107A (en) | 2020-07-24 | 2020-07-24 | Financing and coupon concentration degree wind control system |
Applications Claiming Priority (1)
| Application Number | Priority Date | Filing Date | Title |
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| CN202010723981.8A CN111951107A (en) | 2020-07-24 | 2020-07-24 | Financing and coupon concentration degree wind control system |
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| CN111951107A true CN111951107A (en) | 2020-11-17 |
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Citations (8)
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| US20030050884A1 (en) * | 2002-09-24 | 2003-03-13 | Gary Barnett | Securitizing financial assets |
| JP2004334276A (en) * | 2003-04-30 | 2004-11-25 | Shoken Fund System:Kk | Security stock buying and selling system, and its method |
| US20060161489A1 (en) * | 2004-11-03 | 2006-07-20 | Machel Allen | Method and apparatus for evaluating the concentration of an asset portfolio |
| JP6183867B1 (en) * | 2016-02-29 | 2017-08-23 | 株式会社三井住友銀行 | Notional pooling system and notional pooling method |
| CN107563890A (en) * | 2017-09-12 | 2018-01-09 | 广发证券股份有限公司 | One B shareB class is intelligently thrown and cares for personal share concentration degree control method and system |
| CN109272407A (en) * | 2018-09-13 | 2019-01-25 | 广发证券股份有限公司 | A kind of major class Asset Allocation class intelligence throwing Gu concentration degree control method |
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| TWM582649U (en) * | 2019-04-17 | 2019-08-21 | 臺灣土地銀行股份有限公司 | Control and management system for bond investment risk concentration |
-
2020
- 2020-07-24 CN CN202010723981.8A patent/CN111951107A/en active Pending
Patent Citations (8)
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|---|---|---|---|---|
| US20030050884A1 (en) * | 2002-09-24 | 2003-03-13 | Gary Barnett | Securitizing financial assets |
| JP2004334276A (en) * | 2003-04-30 | 2004-11-25 | Shoken Fund System:Kk | Security stock buying and selling system, and its method |
| US20060161489A1 (en) * | 2004-11-03 | 2006-07-20 | Machel Allen | Method and apparatus for evaluating the concentration of an asset portfolio |
| JP6183867B1 (en) * | 2016-02-29 | 2017-08-23 | 株式会社三井住友銀行 | Notional pooling system and notional pooling method |
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