CN111967992A - Compliance management system of electric power transaction center - Google Patents
Compliance management system of electric power transaction center Download PDFInfo
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Abstract
The invention provides a compliance management system of an electric power trading center, which comprises a compliance risk identification management module, a compliance risk evaluation module, a compliance risk coping module and a compliance risk management monitoring module which are sequentially connected; the compliance risk identification management module is used for supporting the transaction center to manage the compliance specification file in a multi-supervision environment and identifying risks based on the compliance specification file; the compliance risk evaluation module is used for evaluating and managing the compliance risk currently faced by the trading center; the compliance risk coping module is used for coping compliance risk currently faced by the trading center; and the compliance risk management monitoring module is used for carrying out progress management on the compliance risk handling processing and displaying the current compliance risk level. The invention effectively improves the capability of the trading center for meeting the compliance risk and provides powerful support for the compliance management of the electric power trading center.
Description
Technical Field
The invention belongs to the technical field of electric power market regular operation management, and particularly relates to a compliance management system of an electric power trading center.
Background
The current electric power market reform establishes a market scheme of adding spot goods by medium and long term trading and starts by direct trading according to a reform thought of 'paying attention to the middle and releasing two ends', and finally establishes a market structure which takes the spot goods market as a core function and avoids risks by medium and long term trading, wherein market members comprise a market structure which takes a trading center, a dispatching mechanism, a power generation enterprise, an electricity selling company, a user and a power grid enterprise as main market members. The trading center is mainly responsible for power trading organization and service, and manages and maintains the power market.
The current trading center mainly develops related services around power medium and long term trading, including market registration, trading organization, trading plan, trading settlement, trading contract, statistical analysis, information disclosure, market training, rule making, rule writing and the like. With the continuous promotion of market-oriented innovation, relevant policies, regulations and rules are continuously perfected, the construction of the electric power spot market is continuously deepened, and the specific market-oriented electric power transaction business is continuously refined.
At present, the compliance management and risk prevention and control of the electric power transaction mechanism become one of the key points of market construction, and face a plurality of challenges, mainly including: 1) the multi-policy rule system puts higher requirements on rule management; 2) multiple regulatory states confronted on power transaction business management; 3) the future electric power market is reformed, refined and higher requirements are put on the rule management; 4) the method conforms to the regulatory trend of enterprises in China and promotes the comprehensive regulatory management of a trading center. It follows that power trade compliance management is under investigation.
The compliance management system is a general name of a series of management activities and system systems which are carried out by a trading center by spontaneously complying with compliance regulations, solving violation risks. The compliance management system design includes both the stock keeping management system design and the compliance management activities. The compliance management system is implemented in compliance management activities, and the final purpose is to perform compliance risk management and effectively prevent and control compliance risks.
Therefore, a compliance management system for power transaction is needed to solve the core problem of power transaction compliance management.
Disclosure of Invention
The invention provides a compliance management system of an electric power trading center, which is provided from a theoretical perspective aiming at the problem of cheat during the compliance management of the electric power trading, and is realized by utilizing a specific technology through a computer system, so that the capability of the trading center for responding to the compliance risk is effectively improved, and a powerful support is provided for the compliance management of the electric power trading center.
In order to achieve the purpose, the invention provides the following scheme: the invention provides a compliance management system of an electric power trading center, which is characterized by comprising a compliance risk identification management module, a compliance risk evaluation module, a compliance risk response module and a compliance risk management monitoring module which are sequentially connected;
the compliance risk identification management module is used for supporting the transaction center to manage the compliance specification file in a multi-supervision environment and identifying risks based on the compliance specification file;
the compliance risk evaluation module is used for evaluating and managing the compliance risk currently faced by the trading center;
the compliance risk coping module is used for coping compliance risk currently faced by the trading center;
and the compliance risk management monitoring module is used for carrying out progress management on the compliance risk handling processing and displaying the current compliance risk level.
Preferably, the compliance risk identification management module comprises a compliance specification file classification management module, a compliance obligation expert database management module and a compliance risk identification management module which are connected in sequence;
the compliance standard file classification management module is used for extracting and classifying the compliance standard files;
the compliance obligation expert database management module is used for extracting compliance obligations and updating a compliance obligation frame;
and the compliance risk identification management module is used for identifying and counting the compliance risk.
Preferably, the compliance standard file classification management module is used for classifying and managing the compliance standard files based on a compliance standard frame, and comprises a compliance standard file acquisition module and a compliance standard file storage management module which are sequentially connected;
the compliance specification file acquisition module is used for acquiring the compliance specification file according to the relevant compliance specification policy file related to the compliance specification framework;
the compliance specification file acquisition module comprises manual import of compliance specification files and crawler acquisition of the compliance specification files;
the compliance specification file storage management module is used for establishing a storage space for updating the original compliance specification file and establishing a new compliance document;
preferably, the obtaining of the compliance specification file crawler is realized by arranging a crawler function module, wherein the crawler function module comprises a crawler program, a crawler engine, a scheduler, a downloading intermediate device, a downloader and a data management channel;
the method for acquiring the compliance specification file crawler comprises the following steps: the URL which needs to send a request is delivered to the scheduler through the crawler engine, the official website link URL of a compliance standard source is optimized and queued, and the URL is delivered to the downloader through the crawler engine and the download middleware; sending a request to a compliance official website through the downloader, and receiving download response data; and analyzing and extracting the downloaded response data, delivering the extracted data to the data management channel through the crawler engine, and storing the extracted data in a database of a compliance management system.
Preferably, the working process of the compliance specification file storage management module is as follows: monitoring an official website of a government or a supervision organization by using a crawler technology, judging whether a policy file is updated in the monitored official website of the government or the supervision organization, and if so, acquiring a compliance specification file; fuzzy matching is carried out according to the names of the obtained compliance specification files and the names of the existing compliance specification files, if the keyword similarity of the names of the two compliance specification files exceeds a specific value, the obtained compliance specification files are considered to be the updated versions of the existing compliance specification files, and the existing compliance specification files are replaced; if no, the relevant organization issues a new policy document.
Preferably, the compliance obligator expert library management module is used for guiding the development of compliance business of the trading center;
the working process of the compliance obligation expert database management module is as follows: establishing a basic framework of a compliance specification file obligation management system, and extracting and summarizing compliance terms in the compliance specification file according to the basic framework to form compliance obligation metadata; performing compliance clause conflict management on the compliance obligation metadata to form a comprehensive compliance obligation expert database; and guiding the compliance service of the transaction center according to the compliance service expert database.
Preferably, the compliance risk identification module is used for performing compliance risk identification statistical management, and the compliance risk identification module comprises transaction center overall compliance risk identification and transaction center business compliance risk identification;
the transaction center overall compliance risk identification comprises transaction center organization architecture post authority compliance risk factors;
the transaction center business compliance risk identification comprises an internal compliance risk and an external compliance risk;
the internal compliance risk comprises compliance risk factors/events arising from internal management of the trading center;
the external compliance risk includes compliance risk factors/events elicited by stakeholders and government-related departmental influence factors.
Preferably, the compliance risk assessment module is used for performing compliance risk identification and statistical management;
the compliance risk assessment module comprises a compliance risk evaluation standard, a compliance questionnaire and a compliance risk index system library;
the compliance risk assessment standard is used for ranking the compliance risk, and comprises a compliance risk possible assessment standard and a compliance risk consequence assessment standard;
the compliance questionnaire management obtains risk evaluation on compliance risk from multiple angles by issuing questionnaires to different objects;
the compliance risk index system library is used for designing the compliance risk index library according to compliance risks which can be quantified in advance, and carrying out real-time early warning on the compliance risks.
Preferably, the indexes of the compliance risk index system library comprise market infrastructure stability, scheduling fairness, transaction compliance, electric charge calculation risk and autonomic performance assessment.
Preferably, the compliance risk management module comprises a compliance risk management policy;
the compliance risk coping strategies include compliance risk avoidance, compliance risk reduction, compliance risk sharing, and compliance risk tolerance;
and the compliance risk coping module establishes a compliance coping method for the compliance risk according to the compliance risk coping strategy and establishes a compliance risk coping expert library according to the compliance coping method.
The invention discloses the following technical effects:
the invention provides a specific compliance risk management technical method by combining with the electric power market transaction compliance management practice around PDCA closed-loop management activities, enriches the electric power transaction center compliance management technical methods around transaction center compliance management, builds a functional module of a North electric power transaction center compliance management system, and realizes a corresponding functional module; the invention effectively improves the capability of the trading center for meeting the compliance risk and provides powerful support for the compliance management of the electric power trading center. Under the condition that the innovation is continuously promoted, the compliance risk management is continuously updated, dynamic closed-loop management is realized, and the trading center can be helped to promote the market and self and compliance management.
Drawings
In order to more clearly illustrate the embodiments of the present invention or the technical solutions in the prior art, the drawings needed to be used in the embodiments will be briefly described below, and it is obvious that the drawings in the following description are only some embodiments of the present invention, and it is obvious for those skilled in the art to obtain other drawings without inventive exercise.
FIG. 1 is a schematic diagram of a power trading center compliance management system according to the present invention;
FIG. 2 is a schematic diagram of a compliance risk identification management module of the system of the present invention;
FIG. 3 is a diagram of a compliance specification architecture framework of the system of the present invention;
FIG. 4 is a schematic diagram of a compliance management infrastructure framework of the system of the present invention;
FIG. 5 is a schematic diagram of a compliance risk identification module of the system of the present invention.
Detailed Description
The technical solutions in the embodiments of the present invention will be clearly and completely described below with reference to the drawings in the embodiments of the present invention, and it is obvious that the described embodiments are only a part of the embodiments of the present invention, 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 invention.
In order to make the aforementioned objects, features and advantages of the present invention comprehensible, embodiments accompanied with figures are described in further detail below.
As shown in fig. 1, the present embodiment provides a compliance management system for an electric power trading center, which includes a compliance risk identification module, a compliance risk assessment module, a compliance risk management monitoring module, and a compliance risk handling module, which are connected in sequence.
The compliance risk identification management module is mainly used for supporting a transaction center to manage compliance standard files in a multi-supervision environment and identifying risks based on the compliance standard files.
The compliance risk identification management module comprises a compliance specification file classification management module, a compliance obligation expert database management module and a compliance risk identification management module which are sequentially connected.
The electric power trading center is used as a company entity, the business management of the electric power trading center is bound by various compliance specifications such as reform policy, local trade management laws and regulations, market supervision and regulations and the like, and the trading center also has self organization and management regulations. These compliance management profiles (i.e., compliance profile) are a multi-dimensional, complex system that needs to be systematically managed and analyzed for compliance obligations.
The compliance standard file classification management module is used for performing classification management on the compliance standard files according to a compliance standard framework, and comprises a compliance standard file acquisition module and a compliance standard file storage management module which are sequentially connected, wherein the structure of the compliance risk identification management module is shown in fig. 2.
To realize the classification management of the compliance specification files, firstly, the requirements of internal and external reform environments of a trading center and external laws and regulations for operation management need to be combined, and a compliance specification system framework needs to be constructed. Under the framework, the operation of acquiring, classifying, saving and updating the standard specification file is carried out.
In the embodiment, by combining with the internal and external environments of a trading center, the compliance specification applicable to the trading center is combed and summarized from four branches of 'power system innovation policy rules and related management methods', 'trade place general laws, laws and regulations, and policies', 'compliance management laws, laws and regulations, and policies and regulations of the power trading center', documents of the policies, laws, rules, regulations, methods and the like in the four aspects are collected, and the contents and elements of the documents are analyzed; according to the principle that the hierarchy of the approval main body of the compliance standard is divided into a national level, a provincial level and a national network company level and a relational data structure is adopted, a 4 multiplied by 3 relational table is adopted to manage the compliance standard at a logic level, and then a compliance standard system framework is established. The compliance standard logic classification filing management based on the relational table can meet the requirements of compliance standards in different fields and categories and is compatible with the compatibility requirements of enterprise supervision and management systems in China. The compliance specification architecture framework established by the present embodiment is shown in fig. 3.
The compliance specification file acquisition module is used for acquiring the compliance specification file according to the relevant compliance specification policy file related to the compliance specification framework. The acquisition method mainly comprises two methods: crawler acquisition and manual import.
The crawler acquires the compliance specification file and is realized through a crawler function module, and the compliance specification file is implemented and updated by adopting a crawler mechanism provided by a Python Scapy crawler frame. The crawler function module comprises a crawler Engine (script Engine), a Scheduler (Scheduler), a download middleware (Downloader Middlewares), a Downloader (Downloader) and a data management channel (Item Pipeline).
The crawler obtaining method comprises the following specific steps: the crawler program transmits the URL needing to send the request to a scheduler through a crawler engine, and the scheduler is used for coordinating a plurality of crawler tasks; the dispatcher optimizes and enqueues the official website link URL from the compliance standard source through embedded sequencing logic, passes through a crawler engine and then is delivered to a webpage downloader through a download middleware; the webpage downloader sends a request to a compliance standard official website, receives download response data and delivers the response data to a crawler program through a crawler engine and a download middleware; the crawler program analyzes and processes the downloaded response data through preset logic, extracts the data, delivers the data to a data management channel through a crawler engine and stores the data in a database of a compliance management technology support system; and traversing URLs of official websites of all compliance specification files to be monitored, and delivering the URLs to the scheduler for the next cycle through the crawler engine again until no URL request exists, and stopping crawling.
Considering some important confidential and confidential internal documents, the relevant policy documents do not belong to internet resources, but exist in local area networks inside governments or enterprises, and need to be exported to a transmission medium through a specific transmission medium and then imported into a compliance management system, usually a text document in a specific format. For such a compliance specification file, the classification of the type to which the file belongs may be done manually.
The compliance specification file storage management module is used for establishing a storage space for updating the original compliance specification file and establishing a new compliance document. The compliance specification file storage management module monitors official websites of key governments or supervision agencies by using a crawler technology, judges whether policy files are updated on related websites, if so, acquires and reserves the compliance specification file, and performs fuzzy matching according to the name of the newly acquired compliance specification file and the name of the existing compliance specification file, if the key similarity of the two compliance specification files exceeds 90%, the latter is considered as an updated version of the policy file of the former, replaces the former compliance specification file, and the concept that the key similarity is similar to the character string similarity is adopted, namely the number of keywords which are the same with the two compliance files is larger than that of the keywords of the compliance file with the larger keywords. If no, the relevant organization issues a new policy document.
According to the characteristics and the file types of the compliance specification files, the file storage types can be PDF, word, HTML, Excel and the like, according to the structure and two-dimensional hierarchical division of a compliance specification system framework, a new storage space is established for a new compliance document, and a series of complete life cycles of the compliance specification files are supported.
The compliance expert database management module is used for guiding the development of compliance business of the trading center. In different stages of electric power market construction, the emphasis of compliance and obligation is different, and the risk level of compliance and obligation is different. Therefore, the power trading center compliance management technology support system needs to be constructed to form a compliance obligation expert library. The compliance obligation refers to the foundation for managing self business of enterprise organizations, and a clear compliance specification file system is established for updating and managing a compliance obligation system in the face of compliance specification files of different levels.
The electric power trading center business mainly comprises twelve aspects of market member management, trading organization, trading plan making and management, trading settlement, contract management, information disclosure, market analysis, market monitoring, market intervention, market rule making and modification, credit management, trading variety design and information technology support compliance system construction and maintenance, and also comprises compliance business on the whole organization architecture level. Meanwhile, during the reform of the electric power system, the compliance specification document issuing organization comprises a state level, a provincial level and a company level. And establishing a basic framework of the compliance specification file obligation management system shown in the figure 4 according to the content, and finishing the establishment of the metadata of the compliance obligation expert database by considering dimensions such as time and the like based on the framework.
The metadata of the compliance specialist library is metadata that contains an individual compliance obligation that is parsed from the terms of the compliance specification document. The data attributes of the compliance service metadata include: "compliance terms", "compliance specification file name", "approval level of compliance specification file", "compliance valid start time", "compliance obligation end time", "category to which the compliance obligation belongs (internal or external management compliance obligation)", "compliance obligation statement", "compliance risk that may arise".
Each compliance specification file is a basic file unit, and compliance terms, the name of the compliance specification file, the approval subject level of the compliance specification file, the effective start time of compliance and the end time of compliance obligations are obtained through unified standardization processing of the file unit. Reading the file name, the file head and the file tail of the file unit, and acquiring four attributes of the compliance specification file name, the approval level of the compliance specification file, the effective compliance starting time and the compliance obligation ending time of the compliance specification file of the compliance obligation metadata. Based on the compliance specification file specification format (e.g., the section number or the term number of the specification), the basic terms of the compliance specification file are extracted, and the "compliance terms" attribute of the compliance obligation metadata is automatically populated.
The acquisition of the compliance obligations related to the compliance specification file needs to adopt an expert survey method or an experience survey method, and combine the current strategy of the trading center and the current power system reform to mainly analyze the compliance obligations, and identify compliance risks by experience in the internal and external environments of the trading center, so as to perfect the three attributes of the category (internal or external management compliance obligations) to which the compliance obligations belong, the description of the compliance obligations and the compliance risks possibly caused.
Considering the complexity of the compliance duty analysis, for the analysis and extraction of the compliance duty, the expert analysis method or the experience of the personnel in the trading center is used to analyze the compliance terms in each compliance specification file, and the compliance terms are screened, so that the basic framework of the compliance specification file duty management system is completed on the logical level of management, and the compliance duty management is completed.
Meanwhile, the construction of a compliance obligation system inevitably faces compliance obligation selection, and when the compliance specification files of different levels do not conflict, the compliance terms of a low level are preferentially selected because of being more fit with local reality; when the compliance clauses conflict or the low-level compliance clauses are missing, the high-level compliance clauses are selected. The requirements for or ambiguous regulations on unspecified standards and boundaries are positively postulated by a trading center mission. According to the attribute of 'examination and approval level of the compliance specification file' of the compliance duty metadata, the method and the device can automatically summarize and form the most practical terms conforming to the compliance management.
By extracting and summarizing the compliance terms in various compliance specification files, a comprehensive compliance obligation expert database is finally formed after the conflict management of the compliance terms is considered.
And the compliance risk identification module is used for performing compliance risk identification statistical management. The identification of compliance risks is a complex analysis process, and because of many factors such as policy, innovation, enterprise, humanity and the like, the possibility of machine intelligent analysis processing is not available at present. Therefore, the transaction center can only combine the business reality of the electric power transaction center, discuss the risk influence possibly brought to the business and the management of each compliance clause through the management layer and the experts, elaborate the compliance obligation, comprehensively identify the compliance risk, and input the identified compliance risk result into the compliance management system.
The compliance risk identification module is used for performing compliance risk identification statistical management, and comprises transaction center overall compliance risk identification and transaction center business compliance risk identification; the transaction center overall compliance risk identification comprises transaction center organization architecture post authority compliance risk factors; the transaction center business compliance risk identification comprises an internal compliance risk and an external compliance risk; internal compliance risk includes compliance risk factors/events arising from internal management of the trading center; external compliance risk includes compliance risk factors/events elicited by stakeholders and government-related departmental influence factors.
The compliance risk identification module is mainly used for carrying out risk identification from main operation activities of the transaction center, organization arrangement, stakeholders, reasons causing compliance risks, consequences born after compliance risk events occur, department law fields and cases occurring in the past, and further constructing a risk identification framework according to self operation and management requirements of the transaction center. The constructed frame structure is shown in fig. 5.
And the compliance risk evaluation module is used for evaluating and managing the compliance risk currently faced by the trading center. The compliance risk assessment module analyzes, qualitatively, and quantitatively assesses the likelihood and consequences that a compliance risk is violated based on the compliance terms that the trading center must comply with and the compliance risk that has been identified. Essentially, the compliance risk assessment module has the main functions of automatically generating a compliance risk questionnaire, counting and presenting questionnaire survey results, establishing compliance risk indexes after determining important compliance risks, and providing support for compliance dynamic management. And the evaluation of the compliance risk is completed by adopting a qualitative analysis method.
Therefore, the compliance risk assessment module comprises a compliance risk evaluation standard, a compliance questionnaire and a compliance risk index system library;
the compliance risk evaluation standard comprises a compliance risk possible evaluation standard and a compliance risk consequence evaluation standard; the compliance risk potential evaluation criteria are based on a reference table of the classification levels of the compliance risk probabilities, as shown in Table 2.
TABLE 2
The compliance risk consequence evaluation standard is based on a compliance risk influence consequence grade reference table, the embodiment performs compliance risk consequence evaluation for the Jibei power trading center, and performs quantitative score division according to market trading business influence, social image of the power trading center and external supervision degree, and specific contents are shown in table 3.
TABLE 3
Various compliance risks are analyzed and evaluated through compliance risk possible evaluation standards and compliance risk result evaluation standards, and the compliance risks are classified and summarized according to the possibility dimension and the result dimension. And sequencing all compliance risks according to the risk levels, and giving a compliance risk evaluation result list based on a sequencing structure. The risk level R is calculated by the following method:
R＝P*S (1)
wherein: p means a risk occurrence probability evaluation value; s is the evaluation value of the consequences of the risk; r then refers to the risk class.
The compliance questionnaire is used for issuing questionnaires to different objects so as to obtain risk evaluation on the compliance risk from multiple angles. Based on the same set of compliance questionnaires, the subject of the compliance questionnaire is not a single person, and may be a trading center high-rise leader, department leader, internal staff, external experts, or other stakeholders. The questionnaires are issued to different objects to obtain multi-angle risk evaluation of compliance risks, and in the case of compliance risk multi-questionnaire management, comprehensive evaluation of compliance risks is obtained by adopting a weighted comprehensive method to obtain a comprehensive evaluation value R of compliance riskssumThe specific calculation method is as follows:
wherein: rsumA composite evaluation value representing a specific risk; gamma rayiThe weight of the ith evaluator is represented, and when the evaluator is a key manager or related expert in the trading center, the setting can be consideredSetting a higher weight, wherein the total weight of all n evaluators is equal to 1; p is a radical ofiRepresenting the risk occurrence probability grade given by the ith evaluator to a certain specific risk; siIndicating the level of outcome given by the ith evaluator to the outcome of a particular risk.
A compliance risk index library is designed in advance for some quantifiable compliance risks, so that the compliance risk index library is reasonably selected in the application process, real-time early warning is carried out on the compliance risks, and external compliance risk management is mainly designed in the embodiment. The relevant indexes comprise power market autonomous supervision index systems such as market infrastructure stability, scheduling fairness, transaction compliance, electric charge settlement risk and autonomous performance evaluation.
Wherein a particular market infrastructure stability index is calculated for market members, and when a threshold value specified by a trading rule or regulation is exceeded, the market members trigger a compliance warning. Market infrastructure stability indicators in external compliance management include trading electricity Top-m share, herfendall-herhman index HHI, and installed capacity to volume ratio. Tom-m share and HHI reflect market concentration, i.e., market monopoly. The installed capacity ratio reflects market force to a certain extent. Top-m is the sum of the electricity selling shares of m electricity generating enterprises with the largest share of electricity selling quantity in the market, and when m is 1, Top-1 reflects the monopoly degree of the electricity generating enterprises with the largest electricity selling quantity in the market.
The trade compliance risk index reflects whether market members perform compliance trade or not and whether the normal running condition of the market is interfered or not, and the common indexes comprise abnormal trade amount, market force index, abnormal trade frequency, collusion trade frequency, violence pricing frequency, contract completion rate, physical hedging risk coefficient and the like. Furthermore, after the operation in stock, the behavior test result is also used for judging whether the market member has the unconventional behavior of abusing market force.
In the specific application, after the risk factors and the risk grade evaluation are analyzed through relatively comprehensive internal and external compliance risk identification of the transaction center, a risk index system is selected and established according to the internal and external compliance risks. And determining the compliance risk by tracking the compliance risk level in real time, and dynamically managing the compliance risk.
The compliance risk handling module includes "compliance risk avoidance," compliance risk reduction, "" compliance risk sharing, "and" compliance risk tolerance. And the compliance risk coping module mainly constructs a compliance coping method aiming at each compliance risk according to four basic strategies of the compliance risk and constructs a compliance risk coping expert library. The compliance countermeasures are formulated by the inside of the transaction center according to the internal and external management requirements of the transaction center, and the key link countermeasures are approved by a supervision mechanism to form standby measures for the compliance countermeasures to the expert database. Meanwhile, each coping method in the expert database is automatically updated and maintained in time according to the change of the external environment.
And the compliance risk management tracking module performs progress management on compliance risk management coping activities, visually displays the progress of risk management through a Gantt chart of risk progress management, and displays the current compliance risk level. And meanwhile, the actual exposure condition of the compliance risk is counted and used as a reference basis for subsequent compliance risk management.
The above-described embodiments are merely illustrative of the preferred embodiments of the present invention, and do not limit the scope of the present invention, and various modifications and improvements of the technical solutions of the present invention can be made by those skilled in the art without departing from the spirit of the present invention, and the technical solutions of the present invention are within the scope of the present invention defined by the claims.
Claims (10)
1. A compliance management system of an electric power trading center is characterized by comprising a compliance risk identification management module, a compliance risk evaluation module, a compliance risk response module and a compliance risk management monitoring module which are sequentially connected;
the compliance risk identification management module is used for supporting the transaction center to manage the compliance specification file in a multi-supervision environment and identifying risks based on the compliance specification file;
the compliance risk evaluation module is used for evaluating and managing the compliance risk currently faced by the trading center;
the compliance risk coping module is used for coping compliance risk currently faced by the trading center;
and the compliance risk management monitoring module is used for carrying out progress management on the compliance risk handling processing and displaying the current compliance risk level.
2. The power transaction center compliance management system according to claim 1, wherein the compliance risk identification management module comprises a compliance specification file classification management module, a compliance obligation expert database management module and a compliance risk identification management module which are connected in sequence;
the compliance standard file classification management module is used for extracting and classifying the compliance standard files;
the compliance obligation expert database management module is used for extracting compliance obligations and updating a compliance obligation frame;
and the compliance risk identification management module is used for identifying and counting the compliance risk.
3. The electric power transaction center compliance management system of claim 2, wherein the compliance specification file classification management module is based on a compliance specification framework and is used for performing classification management on the compliance specification files, and comprises a compliance specification file acquisition module and a compliance specification file storage management module which are connected in sequence;
the compliance specification file acquisition module is used for acquiring the compliance specification file according to the relevant compliance specification policy file related to the compliance specification framework;
the compliance specification file acquisition module comprises manual import of compliance specification files and crawler acquisition of the compliance specification files;
the compliance specification file storage management module is used for establishing a storage space for updating the original compliance specification file and establishing a new compliance document.
4. The power transaction center compliance management system of claim 3, wherein the compliance specification file crawler acquisition is achieved by providing a crawler function module, the crawler function module comprising a crawler program, a crawler engine, a scheduler, a download middleware, a downloader, and a data management channel;
the method for acquiring the compliance specification file crawler comprises the following steps: the URL which needs to send a request is delivered to the scheduler through the crawler engine, the official website link URL of a compliance standard source is optimized and queued, and the URL is delivered to the downloader through the crawler engine and the download middleware; sending a request to a compliance official website through the downloader, and receiving download response data; and analyzing and extracting the downloaded response data, delivering the extracted data to the data management channel through the crawler engine, and storing the extracted data in a database of a compliance management system.
5. The power trading center compliance management system of claim 3, wherein the compliance specification file storage management module works by: monitoring an official website of a government or a supervision organization by using a crawler technology, judging whether a policy file is updated in the monitored official website of the government or the supervision organization, and if so, acquiring a compliance specification file; fuzzy matching is carried out according to the names of the obtained compliance specification files and the names of the existing compliance specification files, if the similarity degree of the keywords of the two compliance specification file names exceeds a specific value, the obtained compliance specification files are considered to be the updated versions of the existing compliance specification files, and the existing compliance specification files are replaced; if no, the relevant organization issues a new policy document.
6. The power trading center compliance management system of claim 2, wherein the compliance specialist library management module is configured to guide the development of compliance business of the trading center;
the working process of the compliance obligation expert database management module is as follows: establishing a basic framework of a compliance specification file obligation management system, and extracting and summarizing compliance terms in the compliance specification file according to the basic framework to form compliance obligation metadata; performing compliance clause conflict management on the compliance obligation metadata to form a comprehensive compliance obligation expert database; and guiding the compliance service of the transaction center according to the compliance service expert database.
7. The electric power transaction center compliance management system of claim 2, wherein the compliance risk identification module is used for performing compliance risk identification statistical management, and the compliance risk identification module comprises transaction center overall compliance risk identification and transaction center business compliance risk identification;
the transaction center overall compliance risk identification comprises transaction center organization architecture post authority compliance risk factors;
the transaction center business compliance risk identification comprises an internal compliance risk and an external compliance risk;
the internal compliance risk comprises compliance risk factors/events arising from internal management of the trading center;
the external compliance risk includes compliance risk factors/events elicited by stakeholders and government-related departmental influence factors.
8. The power trading center compliance management system of claim 1, wherein the compliance risk assessment module is configured to perform compliance risk identification and statistical management;
the compliance risk assessment module comprises a compliance risk evaluation standard, a compliance questionnaire and a compliance risk index system library;
the compliance risk assessment standard is used for ranking the compliance risk, and comprises a compliance risk possible assessment standard and a compliance risk consequence assessment standard;
the compliance questionnaire management obtains risk evaluation on compliance risk from multiple angles by issuing questionnaires to different objects;
the compliance risk index system library is used for designing the compliance risk index library according to compliance risks which can be quantified in advance, and carrying out real-time early warning on the compliance risks.
9. The power trading center compliance management system of claim 8, wherein the compliance risk indicator library metrics include market infrastructure stability, scheduling fairness, trading compliance, electricity rate calculation risk, and autonomic performance assessment.
10. The power trading center compliance management system of claim 1, wherein the compliance risk coping module includes a compliance risk coping strategy;
the compliance risk coping strategies include compliance risk avoidance, compliance risk reduction, compliance risk sharing, and compliance risk tolerance;
and the compliance risk coping module establishes a compliance coping method for the compliance risk according to the compliance risk coping strategy and establishes a compliance risk coping expert library according to the compliance coping method.
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