JP2002352077A - Order integrated control system - Google Patents

Abstract

PROBLEM TO BE SOLVED: To provide an order integrated control system by which a processing from order reception from a customer concerning a transaction to the approval of its settlement is performed on the day of trading and also a transaction situation is systematically managed. SOLUTION: The transaction with an inquiry is registered in a matter management database 14 based on the inquiry from the customer, the price of a transaction object matter is presented to the customer and the presented price is registered together in the matter management database 14. When an order from the customer is received concerning the transaction object matter, it is confirmed whether the matter is the one that is previously inquired from the customer or not with the transaction management database 14. Then the situation of the transaction object matter is managed, a necessary announcement and recognition are performed concerning the customer, histories concerning the transaction are successively registered in the matter management database 14 and settlement concerning the transaction object matter is collated on the day of the trading (T+0).

Description

DETAILED DESCRIPTION OF THE INVENTION

[0001]

BACKGROUND OF THE INVENTION 1. Field of the Invention The present invention relates to an integrated order management system for integrated management of transaction processing of securities and the like in order to efficiently perform transaction settlement in transactions of securities and the like.

[0002]

2. Description of the Related Art At present, in securities transactions, inquiries regarding securities transactions such as the price of securities, orders for transactions, and the like are received by facsimile or telephone. You can trade by fax,
This is done by returning information on the completed transaction. In addition, as a result of receiving inquiries from customers, such as inquiries from customers and ordering transactions, by telephone or fax, etc., is information on transactions left on slips, etc.
Or, they are individually managed by individual diplomats. In addition,
Based on the processing described above, the settlement of the securities transaction is currently performed three days after the contract date (the date on which the trading of the securities is concluded) (T +
3).

[0003]

In recent years, the securities settlement system has been reformed, and the introduction of a next-day settlement system for performing settlement in securities transactions the next day (T + 1) is scheduled. In order to settle the transaction on the day following the trade day (T + 1), it is necessary to perform the processing up to the settlement approval on the trade day (T + 0).

[0004] However, in a system in which securities transactions are carried out for each customer by hand using a facsimile or a telephone as in the present, it is not possible to perform processing until settlement approval on the day (T + 0) of the trade day. Have difficulty. In addition, since customer information is individually managed by slips and diplomats, and customer information is not comprehensively managed, it analyzes services for securities transactions for each customer and provides services that respond to the needs of each customer. It is difficult to provide such information.

[0005] Therefore, the process of trading and settlement of securities is electronically and consistently processed (STP: Straight-Through Process).
ing) Building systems and improving customer service are important issues in the securities trading industry.

SUMMARY OF THE INVENTION An object of the present invention is to provide an integrated order management system capable of processing the order from receipt of an order from a customer to approval of the settlement of the transaction on the day of the trade day and comprehensively managing the transaction status. It is to be.

[0007]

According to a first aspect of the present invention, there is provided an integrated order management system, comprising: a case management data storage unit for storing data relating to a transaction target case; Order registration means for registering an order relating to the case management data storage unit,
A transaction establishment information registering unit that registers transaction establishment information on the transaction object ordered to the exchange based on an order related to the transaction object in the case management data storage unit; and Transaction completion information notifying means for notifying the customer of the transaction completion information on the registered transaction target item to the customer, account distribution instruction receiving means for receiving the account distribution instruction notified by the customer, and receiving by the account distribution instruction receiving means Account distribution means for distributing the completed transaction to each account based on the transaction completion information in accordance with the received account distribution instruction, and calculating the contract and settlement amounts for the transaction target item for each account based on the transaction completion information Means for calculating the executed / cleared amount, and information on the executed trades calculated by the executed / cleared amount calculating means. A contract registration unit for registering in the data storage unit, a first contract notification unit for notifying a customer of the contract information of the transaction target object calculated by the contract / clearing amount calculation unit, and the first contract notification unit. A contract approval unit for confirming that the contract information notified to the customer by the first contract notification unit has been approved by receiving a notification that the customer has approved the notified contract information. It is characterized by the following.

According to the order integrated management system of the first aspect, when an order is placed from a customer for a transaction target item, necessary notification and confirmation are made to the customer, and the contents of the order and confirmation are checked. Transaction histories are sequentially registered in the case management data storage unit. Therefore, it is possible to electronically and consistently perform processing from receiving an order for a transaction target item to approving a contract for the transaction target item, and to uniformly manage the transaction status of the transaction target item. .

The integrated order management system according to a second aspect of the present invention includes: a second contract notification unit for notifying the securities storage center of the contract information of the transaction object calculated by the contract / clearing amount calculation unit; Settlement matching means for confirming that the settlement has been previously collated by receiving a notification that the contract of the transaction target has been collated based on the contract information notified by the second agreement notification means. It is characterized by having.

According to the integrated order management system of the second aspect, the contract information is notified to the securities storage center to receive a notification that the contract of the transaction target has been collated, and the settlement is collated in advance. Make sure that. Therefore, it is possible to confirm that the settlement has been collated in advance on the day of the trade day, which is before the actual transaction, and it is possible to settle the transaction the day after the trade day.

According to a third aspect of the present invention, there is provided an integrated order management system, comprising: a price inquiry matter registration means for registering, in a matter management data storage unit, a transaction object matter inquired based on an inquiry from a customer; Price setting means for setting the price of the traded matter made by the price setting means, and registering the set price in the case management data storage unit, and presenting the price registered by the price registration means to the customer. And a price presenting means.

According to the integrated order management system of the third aspect, the transaction target case inquired based on the inquiry from the customer is registered in the case management data storage unit, and the transaction target case is transmitted to the customer. The price is presented, and the presented price is registered in the case management data storage unit.
Therefore, it is possible to manage a transaction target project from a point of time when an inquiry is made from the customer, and to integrally manage information about the customer such as what kind of project the customer is interested in and to meet customer requests. Can be analyzed.

The integrated order management described in claim 4 further includes a customer connection hub for converting inquiries, orders, account distribution instructions, and contract approvals concerning transactions to be made in a format for each customer into a common format. It is characterized by having.

According to the integrated order management system of the present invention, after receiving inquiries, orders, account distribution instructions, contract approvals, etc., concerning a transaction target from a plurality of customers in a format for each customer, the customer connection hub operates the customer connection hub. Each is converted to a common format. Therefore, even if a customer uses a unique format, each can be converted into a common format, and information on a transaction target item can be comprehensively managed.

The integrated order management system according to claim 5, wherein the case management data storage unit stores history information for each of the cases to be dealt with, and stores the transaction object stored in the case management data storage unit. It is characterized by further comprising customer information management means for generating sales activity information based on history information for each case.

According to this integrated order management system, it is possible to generate the sales activity information based on the history information for each transaction object stored in the case management data storage unit. Therefore, it is possible to easily create a report on a transaction target object by referring to the history information, and to generate a proposal for asset management and the like that accurately reflects customer requests by analyzing the history information. be able to.

[0017]

DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS An integrated order management system according to an embodiment of the present invention will be described below with reference to the drawings.

FIG. 1 is a configuration diagram of an integrated order management system according to an embodiment of the present invention. In the following, a description will be given of an example of an integrated order management process in a securities transaction at a securities company when there are a plurality of customers.

As shown in FIG. 1, the integrated order management system is provided with an STP system 2 for electronically and consistently performing processes from order acceptance to settlement verification for securities transactions from customers. This STP system 2 is a customer connection hub 4 that converts an inquiry or the like performed in a format different for each customer into a common format in the STP system 2.
, A security storage center system 8 installed in a security storage center that stores securities such as stock certificates, and a trust bank system installed in a trust bank. 10 and an exchange system 12 installed in the exchange.

The STP system 2 is connected to a case management database (case management data storage unit) 14 for storing a transaction history for each case to be dealt with. A customer information management system 16 for creating sales activity information such as letters is connected. The STP system 2, the case management database 14, and the customer information management system 16 are installed in a securities company.

Here, the STP system 2 manages a case in which a price inquiry is made when a customer makes an inquiry (inquiry) about the price of a security, that is, a request for an estimate of the price of a security. A price inquiry registration unit 20 for registering the price in the database 14, a pricing engine 22 for pricing the security, a pricing registration unit 26 for registering the price of the priced security in the case management database 14, and a price for the customer. There is provided a price presenting section 24 for presenting.

Further, when an order relating to securities transactions is received from a customer, an order registration unit 28 for registering the ordered securities transactions in the case management database 14, and an order engine for placing an order for the received securities transactions to an exchange. 30, the result of the securities that have been traded, that is, the transaction completion information (performance information) on the stock exchange,
A work registration unit 32 for registering the work information and a work communication unit 34 for communicating the work information to the customer. Also, an account distribution instruction receiving unit 36 for receiving an account distribution instruction from a customer, an account distribution unit 38 for performing account distribution, a contract / clearing amount calculating unit 40 for calculating a contract and clearing amount for each account, and notifying the customer of the contract information. A customer contract notification unit 42, a contract registration unit 44 for registering the contents of the contract in the case management database 14, a contract approval unit 46 for confirming that the contract has been approved, and a securities storage center contract notification for notifying the securities storage center of the contract information. And a settlement matching unit 50 for confirming that the settlement has been previously collated by receiving a notification that the contract has been collated.

Next, an integrated order management process performed by the integrated order management system will be described. In the following, an investor other than an individual investor, ie, a client A who is an institutional investor such as an investment institution, inquires of a securities company about the price of a stock, and then requests the securities company to purchase the stock. The case will be described as an example.

First, an inquiry about the price of the stock of a specific brand transmitted by e-mail or the like by the customer A system 6a is received, and the transaction for which the inquiry was made is registered.
Determine the price of the queried stock. That is, the customer connection hub 4 receives a price inquiry (inquiry) for a stock of a specific brand in a predetermined inquiry format used by the customer A, transmitted from the customer A system 6a.
The price inquiry is converted into a common format in the STP system 2 and delivered to the price inquiry registration unit 20. Here, when there are a plurality of customers, different formats may be adopted for each customer. Therefore, processing such as extracting necessary information from information in various inquiry formats transmitted from the customer or rearranging necessary information in an order suitable for processing in the STP system 2 is performed.

In the price inquiry registration unit 20,
At the stage where the inquiry about the price is made, it is assumed that a transaction has occurred with respect to the stock of the specific issue for which the inquiry has been made, and the transaction is registered in the transaction management database 14 as a transaction target transaction. Then, the pricing engine 22 calculates the price of the stock of the transaction target transaction in consideration of the transaction status, thereby performing the pricing.

Next, the price of the stock of the transaction object priced by the pricing engine 22 is displayed in the price presentation unit 2.
4 to the customer A and register it in the case management database 14 in the pricing registration unit 26. At this time, the transaction management database 14 manages the transaction target transaction by setting a status indicating that the stock of the transaction target transaction has been priced. Further, in order to transmit the price information thus priced from the price presenting section 24 to the customer A system 6a, the price information is converted into the price presentation format used by the customer A by the customer connection hub 4, and then the customer connection hub 4
To the customer A system 6a.

Here, the stock for which the price has been inquired by the customer A is managed in the case management database 14 irrespective of whether or not the transaction is actually executed for this case. When an inquiry is made for a plurality of cases at once, the case is registered in the case management database 14 as a case to be dealt with, the price presented for each case is registered, and the price is set. Is managed by setting a status that indicates Here, when an inquiry is made as to one case for a plurality of brands, the plurality of brands are combined into one case.

Next, an order relating to a transaction for purchasing the queried stock is received from the customer A, and the order contents are registered. That is, the customer A transmitted from the customer A system 6a
A stock purchase order in the purchase transaction request format of
It is received by the customer connection hub 4, converted into a common format in the STP system 2, and delivered to the order registration unit 28. In the order registration unit 28, upon receiving an order related to the transaction from the customer, whether or not the customer A has already inquired about the price of this stock is determined in the transaction target transaction history registered in the transaction management database 14. Check based on As a result of checking, if it is a transaction target for which price inquiry has already been performed, register the order details and set a status indicating that there was an order, and then check the transaction status for the subsequent transaction status To manage

On the other hand, in the case of a transaction subject for which no inquiry has been made, the contents of the order are registered in the transaction management database 14 as a newly generated transaction subject, and a status indicating that the order has been placed is set. By
It manages the transactions subject to the subsequent transaction status.
When an order for a plurality of transactions is received at once, the order is registered in the case management database 14 for each transaction target, a status indicating that the order has been placed is set, and the subsequent transaction status is checked for the transaction target transaction. Perform management. Here, even if there are a plurality of transactions, if they are ordered as one matter, the plurality of transactions are managed collectively.

Next, the order engine 30 orders the exchange system 12 for a transaction for purchasing the stock requested by the customer A, and receives the exchange information from the exchange 12. Here, when a transaction is ordered with respect to the exchange system 12, it is not always possible to acquire the desired stock at the exchange at a time. Accordingly, the exchange system 12 informs the ordering engine 30 of the trade information at any time, that is, the number of shares that have been successfully traded and purchased and the price at the time of purchase.

Next, in order to register the performance information received by the ordering engine 30 in the case management database 14 in the performance registration unit 32, and to transmit the registered performance information from the performance communication unit 34 to the customer A system 6a,
After being converted into the performance information notification format used by the customer A in the customer connection hub 4, it is transmitted to the customer A system 6a. Here, in the ordering engine 30,
Since the performance information is received from the exchange at any time, the transmission of the performance information to the customer A system 6a is performed by the order engine 30.
Is performed each time the product information is received. Exchange system 1
After a certain amount of the performance information notified from 2 is collected, it may be transmitted to the customer A system 6a.

Next, the account distribution instruction transmitted by the customer A system 6a is received by the customer connection hub 4, converted into a common format, and delivered to the account distribution instruction receiving unit 36. Based on the account distribution instruction, the account distribution unit 38 distributes the stock purchase transaction, that is, the purchased stock, to each account. This account distribution is also performed each time an instruction is received based on the received instruction, receiving an account distribution instruction for each notified performance information. Note that, when a certain amount of achievements are aggregated in the customer A and an account distribution instruction is transmitted collectively, a certain amount of achievements may be collectively distributed based on the account distribution instruction.

Here, the customer A, who is an institutional investor, purchases shares by raising funds from a plurality of funds. That is, an institutional investor generally manages assets efficiently by procuring funds from a plurality of funds and purchasing shares, or by selling shares held by the plurality of funds. For this reason, an account distribution instruction, that is, an instruction on how to distribute the result of the securities transaction to each account held by each fund is issued.

Next, the execution of the stock purchase transaction and the settlement amount of each account are calculated based on the performance allocated to each account.
That is, based on the results distributed to each account in the account distribution unit 38, the contract / clearing amount calculation unit 40 performs a contract calculation in the stock purchase transaction of each account, and calculates the settlement amount based on the calculated contract. . It should be noted that the contract calculation means calculating the funds required for the transaction based on the number of shares for which the transaction has been completed and the transaction price of the stock at that time. Further, when the stock is sold, it means that the selling price at the time when the transaction is established is calculated.

Next, in order to transmit contract information from the customer contract notifying section 42 to the customer A system 6a, the customer connection hub 4 converts the contract information into a contract information notification format used by the customer A, The information is transmitted from the customer connection hub 4 to the customer A system 6a, and the contract information is registered in the case management database 14. The contract information is information on the purchase quantity, price, and funds required for the transaction when the transaction is completed. At this time, by setting a status in the case management database 14 indicating that the contract calculation has been performed for the case, the management of the case is continued.

Next, a notice of approval of the contract is received from the customer A, and it is confirmed that the contract has been approved. That is, the contract approval notice transmitted from the customer A system 6a is received by the customer connection hub 4 and converted into a common format.
The contract is passed to the contract approval unit 46. The contract approval unit 46 confirms that the contract has been approved by the customer A based on the contract approval notification.

After notifying the customer A of the contract,
The contract information is also transmitted to the securities storage center system 8. That is, the customer A is sent to the securities depository center system 8.
A system 6a for confirming whether the contract information from the customer and the contract information from the STP system 2 match.
Has sent a fill notice. Therefore, by transmitting the contract information from the STP system 2 to the securities storage center system 8 via the securities storage center contract notification unit 48, it is possible to settle the transaction subject matter executed at the securities storage center. The collation is performed in advance.

Next, the STP system 2 receives a notification of the collation result transmitted from the securities depository center system 8 and indicating whether or not the settlement of the established transaction can be performed. Confirm in. Note that this settlement verification is a confirmatory one (pre-matching) performed before the transaction settlement for actually transferring stock certificates or funds.

Next, the STP system 2 transmits the settlement instruction information confirmed by the settlement collation unit 50 to the trust bank system 10. As a result, transaction settlement, that is, actual settlement is performed in the trust bank.

Next, the process is performed based on the transaction history of the transaction target transaction stored in the transaction management database 14.
The generation process of the sales activity information for the customer A will be described.

First, when the settlement of the transaction is completed, the securities company prepares a transaction report and reports the transaction contents to the customer A. That is, a securities company requested to purchase a stock of a specific brand from customer A,
After the settlement of the transaction relating to the stock of the designated brand, a report is created in the customer information management system 16 for the customer A based on the transaction history of the transaction target transaction stored in the transaction management database 14. Presentation of this report,
Usually, this is performed by mail or the like, but if the customer A wishes, the customer connection hub 4 converts the report into a report format desired by the customer A, and then converts the report into a customer A system 6a.
May be presented by sending to the user.

The customer information management system 16 analyzes the portfolio analysis for the customer A and the contents of the conventional transaction for the customer A based on the history information on the transaction target transaction stored in the transaction management database 14, thereby obtaining the asset. It is also possible to create proposals for operation.

According to the embodiment of the present invention, when a customer inquires about the price of a stock, the transaction is performed irrespective of whether or not a transaction actually occurs for the stock for which the price was inquired. In the case management database 14, the fact that an inquiry has been made is registered and managed. Therefore, after the inquiry is made, it is possible to continuously manage whether or not an order for a transaction is actually made for the case, and it is possible to comprehensively manage the transaction information.

In addition to electronically processing an order relating to a transaction from a customer, notification of performance to the customer, and the like, the subsequent transaction status is stored in a case management database 1 for each transaction target case.
4 and records the transaction history related to the transaction target case. Therefore, the exchange of information with the customer can be processed electronically consistently, and the transaction status of each transaction target item can be comprehensively managed, and the processes from order reception to settlement verification are performed on the trade day. be able to.

When there are a plurality of customers and each customer uses a unique format, the customer connection hub 4 receives an order from the customer, an account distribution instruction, a contract approval, and the like, and the STP system 2 Has been converted to a common format. Therefore, even when a plurality of customers use their own formats, by converting them into a common format, it is possible to collectively manage the transaction information relating to the transaction target cases.

Further, since the history of the transaction cases is registered for each transaction case in the case management database 14, and the transaction history is managed by integration, the transaction history is referred to after the transaction is performed. Thus, a transaction report can be created more easily. In addition, by analyzing the transaction history of the transaction target transaction, it is possible to accurately grasp the asset management status of the customer, and to provide services corresponding to individual customer requests and asset management policies.

In the embodiment of the present invention,
The STP system includes a pricing engine for pricing stocks and the like and an ordering engine for placing orders on exchanges when a customer receives an order related to a transaction when a customer inquires about a price. These are ST
It does not need to be provided in the P system, and may be provided outside the STP system.

The processing from receipt of an order related to a transaction from a customer to settlement verification is performed within the same day (T + 0). However, if the execution period is specified in a transaction related to a stock from a customer, When the transaction is executed, that is, when the customer wants to purchase shares, the process from the time when the customer can purchase the desired number of shares to the settlement verification is performed within the day (T + 0). You may do so.

[0049]

According to the present invention, inquiries, orders, notices to customers, etc. concerning transactions from customers are electronically processed, and the subsequent transaction status is registered in the case management data storage unit for each transaction target case. And record the history information on the transaction target matter. Therefore, the exchange of information with the customer is processed electronically and consistently, and the transaction status of each transaction subject is sequentially registered, so that information on transactions can be integrated and comprehensively managed. it can.

Further, the sales activity information can be generated based on the history information for each transaction target transaction stored in the transaction management data storage unit. Therefore, by referring to the history information, it is possible to easily create a report on the transaction target case, and by analyzing the history information, it is determined whether or not the order was actually placed for the inquiry target transaction target case. It is possible to accurately grasp the client's asset management policy and the like, and generate appropriate business activity information corresponding to the customer's request and asset management status.

[Brief description of the drawings]

FIG. 1 is a configuration diagram of an integrated order management system according to an embodiment of the present invention;

[Explanation of symbols]

2 ... STP system, 4 ... Customer connection hub, 6a, 6b,
6c: customer system, 8: securities storage center system,
10: Trust bank system, 12: Exchange system, 14
... case management database, 16 ... customer information management system.

Claims (5)

[Claims] 1. An integrated order management system comprising a case management data storage unit for storing data relating to a transaction target case, comprising: receiving an order relating to the transaction target case from a customer; Order registration means for registering in the storage unit; and transaction completion information registration for registering, in the case management data storage unit, transaction completion information for the transaction target order placed on the exchange based on the order relating to the transaction target transaction. Means, a transaction completion information notifying means for notifying a customer of transaction completion information on the transaction target item registered by the transaction completion information registering means, and an account distribution instruction receiving means for receiving an account distribution instruction notified from the customer. According to the account distribution instruction received by the account distribution instruction receiving means, based on the transaction completion information, Account distributing means for distributing the executed transactions to each account; contract and clearing amount calculating means for calculating a contract and clearing amount for each transaction object for each account based on the transaction establishment information; and said contract and clearing amount calculating means. A contract registration unit for registering the contract information of the transaction target calculated by the contract management data storage unit with the contract management unit, and a contract notification unit for notifying a customer of the contract information of the transaction target transaction calculated by the contract / clearing amount calculation unit. One contract notifying means, and the contract information notified to the customer by the first contract notifying means by receiving a notification that the customer has approved the contract information notified by the first contract notifying means. An integrated order management system, comprising: contract approval means for confirming that information has been approved. 2. A second contract notification unit for notifying the securities storage center of the contract information of the transaction object calculated by the contract / clearing amount calculation unit, and the second notification unit notified by the second contract notification unit. 2. The settlement matching means according to claim 1, further comprising a settlement matching means for confirming that the settlement has been previously collated by receiving a notice that the contract of the transaction object has been collated based on the agreement information. Integrated order management system. 3. A price inquiry item registration means for registering an inquired transaction object in an item management data storage section based on an inquiry from a customer, and a price setting means for setting a price of the inquired transaction object item. And a price presenting means for presenting the price registered by the price registering means to the customer. The integrated order management system according to claim 1 or 2, wherein 4. The system according to claim 1, further comprising a customer connection hub for converting an inquiry, an order, an account distribution instruction, and a contract approval regarding a transaction subject to be performed in a format for each customer into a common format. The integrated order management system according to claim 3. 5. The case management data storage unit stores history information for each transaction target case, and performs sales activities based on the history information for each transaction target case stored in the case management data storage unit. The order integrated management system according to claim 1, further comprising a customer information management unit that generates information.