JP6019154B2 - Custody support system, custody support method and custody support program - Google Patents

Description

  The present invention relates to a custody support system, a custody support method, and a custody support program for supporting custodian operations in securities transactions involving non-residents in a custodian.

  When non-residents such as overseas investors and securities companies trade domestic securities, they use custody services provided by banks and securities companies. For example, when a sales contract is concluded between an overseas resident investor and an overseas branch office of a domestic securities company with regard to buying and selling domestic securities, Delivery instruction). Then, the instruction is transmitted to a domestic bank or the like that performs custody work. Here, the bank receives instructions from business partners such as overseas custodians via a SWIFT system (SWIFT: The Society for Worldwide Interbank Financial Tele-communication). Custody support methods for supporting such custodians have been studied (for example, see Patent Documents 1 to 3).

  The issuer of securities makes a financial decision on the company that affects the value (number of shares, price, etc.) of the securities (corporate action). In particular, activities related to corporate capital are called corporate action events. This event (activity) is also called capital change, and the main events include “dividend”, “stock split”, “merger” and the like. “Dividend” is an event in which the benefit of funds is generated according to the quantity of securities held on the vesting date. “Stock split” is an event that increases the number of securities held on the vesting date evenly by a specific ratio. “Merger” is an event in which the amount of securities held on the vesting date increases or decreases depending on a specific ratio.

  Regarding the corporate action of the securities issuer, the custodian performs “corporate action business”. In this business, detailed information on each event is obtained in a timely manner, and information is immediately disclosed to customers. In addition, it manages the customer's holding balance, receives the consideration (funds and stocks) to be paid, and exercises the beneficiary rights to the issuing company on behalf of the customer. For this reason, the custodian obtains event information for corporate actions, and performs centralized management of the generated events, rights balance management, and date management of the exercise of rights.

  In the conventional corporate action workflow, event information acquisition, event information system registration, event date management, customer rights balance management, rights exercise, receipt of benefits (funds, securities), and corporate action completion procedures are performed. It was.

JP 2012-088755 A JP-A-2005-275921 JP 2002-245250 A

  However, there are a wide variety of event information distribution sources such as the Tokyo Stock Exchange, the Securities Custody and Transfer Organization, information vendors, and issuing companies. For this reason, the delivery timing and the data format are not uniform, and STP (Straight Through Processing) has not been developed. For this reason, the burden of information registration work is large for business staff handling these event information.

  In addition, manual information collection operations require a high level of expertise, and the validity of the collected information must be verified each time, resulting in a heavy workload. And if this information collection work takes time, disclosure to customers is delayed, and the freshness of information is lowered.

  Further, in the conventional procedure, event information is notified for each securities account that requires management of the right balance. Since each custodian has many sub-accounts, the global custodian receives the same event information for the number of securities accounts to be opened, and the information becomes redundant.

  The present invention has been made to solve the above-mentioned problems, and an object of the present invention is to provide event information in a timely manner and a custody support system, custody for accurately supporting execution of a process corresponding to an event. It is to provide a support method and a custody support program.

(1) A custody support system that solves the above-described problems includes, for each financial institution, a transmission destination storage unit that records transmission destination information of event information, and a process type for determining a necessary process according to the type of event. Recorded process type master storage unit, reference date operation chart storage unit for recording a reference date operation chart for managing due dates related to events occurring in securities held by customers, and a control unit connected to the information providing system With. And the said control part acquires the event information regarding the event about a corporate action from the said information provision system, specifies the process type of the acquired event information using the said process type master memory | storage part, and relates to the said event information Record the reference date operation chart for managing the due date related to the event of the securities account in the reference date operation chart storage unit, specify the type of the event, determine the necessity of information transmission according to the type, Required for each financial institution recorded in the destination storage unit, including event information distribution processing for transmitting the event information , and determination of whether or not to exercise the right according to the process type specified based on the event information determines a process, in the process the determined, when the necessity of determining the exercise is required In the recorded date operational chart based on the date included in the event information to identify the date for managing the process, if the reference date to determine the right balance of securities account relating to the event information arrives to obtains the right balance of securities account relating to the event information, financial institutions recorded in the transmission destination storage section, and performs the transmission of information, including the right balance for each of the securities account, the right When there is a balance whose right to exercise is uncertain in the balance, a process management process for sending a reminder is executed.

  (2) In the custody support system, a transmission method associated with a financial institution is recorded in the transmission destination storage unit, and the event information can be edited and transmitted based on the transmission method. preferable.

  (3) In the custody support system, it is preferable that event information acquired at the same time is collected and transmitted to the financial institution.

  According to the present invention, it is possible to provide event information to a non-resident customer in a timely manner and to accurately support execution of a process corresponding to the event.

The system schematic of this embodiment. Explanatory drawing of the functional block of the control part of this embodiment. It is explanatory drawing of the data recorded on the memory | storage part used by this embodiment, Comprising: (a) is a securities brand master memory | storage part, (b) is an event information master memory | storage part, (c) is an information transmission master memory part, ( d) Explanatory drawing of a message catalog master storage unit. It is explanatory drawing of the data recorded on the memory | storage part used by this embodiment, (a) is a process type master memory | storage part, (b) is a reference day operation chart memory | storage part, (c) is an event process status memory | storage part. Illustration. Explanatory drawing of the process type used by this embodiment. Explanatory drawing of the process type used by this embodiment. Explanatory drawing of the process type used by this embodiment. It is explanatory drawing of the process sequence of this embodiment, Comprising: (a) is a custody support process, (b) is explanatory drawing of an information concentration process. It is explanatory drawing of the process sequence of this embodiment, Comprising: (a) is information transmission service processing, (b) is explanatory drawing of a reference day process. Explanatory drawing of the right exercise process of this embodiment. It is explanatory drawing of the process sequence of this embodiment, Comprising: (a) is a reminder process, (b) is beneficiary process, (c) is explanatory drawing of an authority notification process. It is explanatory drawing of the data used by this embodiment, Comprising: (a) is exercise instruction data, (b) is explanatory drawing of the rights exercise detail file classified by securities account.

  Hereinafter, an embodiment embodying the present invention will be described with reference to FIGS. In the present embodiment, a custodian support system, custody support method, and custody support program used when a custodian (an organization that manages securities on behalf of an investor) supports a custodian service for dealing with non-residents. explain.

  In the present embodiment, as shown in FIG. 1, a custody support server 20 is used as a custodian support system for supporting a custodian. The custody support server 20 is connected to the swift system 10, the securities storage transfer system 11, and the information provider 12 via a network.

  The swift system 10 is a data communication system (financial network system) of SWIFT, which is an international financial network operating organization, and exchanges data such as swift transmission instruction messages with the custody support server 20. When an overseas investor gives an instruction to the overseas custodian (instruction for delivery of securities accompanying securities trading), the instruction from the overseas custodian is sent to the custody support server 20 via the swift system 10 as a swift transmission instruction message. Sent to.

  The securities custody transfer system 11 is a settlement collation system that performs collation of securities transaction instructions based on the contents of the instructions by the securities custody transfer system, and settles trading transactions of securities by DVP settlement. The securities storage transfer system 11 is connected to the custody support server 20 via a network such as a public line, and transmits / receives each data to / from the custody support server 20.

  The information provider 12 is a computer server that provides corporate action information providing services for all listed companies in Japan. As the information provider 12, for example, a CA information distribution service in TMI (Tokyo Market Information) provided by the Tokyo Stock Exchange can be used. For CA information distribution services, event codes (dividends, paid capital increases, stock splits, mergers / share exchanges / stock transfers, stock consolidations, etc.) and TSE original codes (public offerings, regular shareholders 'meetings, extraordinary shareholders' meetings, etc.) ) Corporate action event information is provided. It also provides information on securities issues such as stocks and bonds.

  Furthermore, the custody support server 20 is connected to the person-in-charge terminal 40. The person-in-charge terminal 40 is a computer terminal used by a person in charge of a bank that performs custody work. The person in charge uses the person-in-charge terminal 40 to input event information. The person-in-charge terminal 40 includes a display unit configured from a display (not shown) and the like, and an input unit configured from a keyboard, a pointing device, and the like.

  The custody support server 20 is a server computer for supporting custody work based on a message received from the swift system 10, the securities custody transfer system 11, and the information provider 12. The custody support server 20 acquires various event information and brand information from the securities storage transfer system 11 and the information provider 12. Furthermore, the custody support server 20 transmits the acquired event information to the custodians and customers in each country via the swift system 10. Furthermore, the custody support server 20 acquires various instructions from the customer via the swift system 10 and performs corporate action work.

  The custody support server 20 includes a control unit 21, a securities issue master storage unit 22, an event information master storage unit 23, an information transmission master storage unit 24, a message catalog master storage unit 25, a process type master storage unit 26, and a reference date operation chart. A storage unit 27 and an event process status storage unit 28 are provided.

  The control unit 21 includes control means including a CPU, a RAM, a ROM (not shown), etc., and processes (information acquisition stage, event information management stage, event status management stage, information distribution stage, which will be described later, Securities attribute management stage, event process management stage, rights balance management stage, rights exercise stage, pending management stage, customer information management stage, etc.).

  As shown in FIG. 2, the control unit 21 performs an information acquisition unit 210, an event information management unit 211, an event status management unit 212, an information distribution unit 213, a securities attribute management unit 214, and an event process management unit 215 by a custody support program. , A rights balance management unit 216, a rights exercise unit 217, a pending management unit 218, and a customer information management unit 219.

The information acquisition unit 210 executes processing for acquiring various types of information from the information provider 12 and the person-in-charge terminal 40 as an information providing system.
The event information management unit 211 executes processing for managing information related to various events.

The event status management unit 212 executes processing for managing the status of various events.
The information distribution unit 213 executes processing for distributing event information to customers via the swift system 10. When the information distribution unit 213 acquires new event information, the information distribution unit 213 sends the event information to the transmission destination BIC recorded in the transmission destination table 241 of the information transmission master storage unit 24 via the swift system 10. Deliver. The information distribution unit 213 distributes various information to the destination BIC based on the date recorded in the event information master record 230 of the event information master storage unit 23. For example, a corporate action event summary including a schedule for exercising rights is created, and an alarm bell including the corporate action event summary is distributed to the destination BIC.

The securities attribute management unit 214 executes processing for managing attribute information of securities to be traded.
The event process management unit 215 executes processing for managing processes in various events.

The right balance management unit 216 executes processing for managing the balance of rights related to securities.
The right exercising unit 217 executes a process for managing a procedure relating to the exercise of the right. The right exercising unit 217 includes a memory that records a security account-specific right exercising specification file to be described later.
The pending management unit 218 executes a process for managing a reserved right in exercising the right. For this reason, the pending management unit 218 includes a memory for managing the rights that have been suspended. A pending record is recorded in this memory. In this pending record, a BIC, a securities account number, an ISIN code, and an unexecuted quantity are recorded.
The customer information management unit 219 executes processing for managing customer information.

  As shown in FIG. 3 (a), a securities brand master record 220 is recorded in the securities brand master storage unit 22. In the securities issue master record 220, data relating to the ISIN code, the securities name, the securities classification, the securities type, the issue attribute information, and the due date information are recorded.

  In the ISIN code data area, data relating to an identifier (ISIN: International Securities Identification Number) for specifying a securities issue is recorded. This ISIN code is an internationally unified 12-digit code defined by the international securities code specification.

In the securities name data area, data relating to the names of the securities issues are recorded.
In the securities classification data area, data relating to the classification of the securities issues is recorded.
In the securities type data area, data on the type of securities (stocks, general bonds, investment trusts, bonds with stock acquisition rights, stock acquisition rights, foreign stocks, etc.) and bond types are recorded.
In the brand attribute information data area, information relating to trading units, number of unit shares, payment date, issue price, interest rate, factor, interest amount per currency, and the like are recorded.
In the due date information area, data relating to due dates (financial term, interim fiscal term, interest payment date, maturity redemption date, etc.) related to the securities issue is recorded.

  As shown in FIG. 3B, an event information master record 230 is recorded in the event information master storage unit 23. The event information master record 230 is registered when event information is acquired by disclosure of company information (timely disclosure). In the event information master record 230, data relating to schedule information is recorded using the event code, ISIN code, and reference date as keys.

  In the event code data area, data relating to an identifier for specifying an event in each stock name is recorded. Events include dividends, stock splits, tender offers, mergers, stock exchanges, stock transfers, trade name changes, stock consolidations, redemptions, delistings, purchase requests, etc.

In the ISIN code data area, data relating to an identifier for specifying a security brand is recorded.
In the reference date code data area, data relating to the date (year / month / day) for determining the right balance held by the customer is recorded.
In the schedule information data area, data relating to the due date (year / month / day) of each work in the work flow relating to the event is recorded.

  As shown in FIG. 3C, a destination table 241 and a securities account table 242 are recorded in the information transmission master storage unit 24 as a destination storage unit.

In the transmission destination table 241, data related to a transmission destination BIC, an event code, a transmission condition, and a message edit pattern number are recorded.
In the transmission destination BIC data area, data relating to an identifier (SWIFT code) for specifying each financial institution (custodian) defined by the International Interbank Financial Communication Association is recorded.

Data relating to an identifier for identifying each event is recorded in the event code data area.
In the transmission condition data area, data regarding conditions for information distribution is recorded. In this transmission condition, information such as “transmission required”, “transmission stop when there is no balance”, and the like are recorded.
In the message edit pattern number data area, data relating to an identifier for specifying a message format used for information distribution is recorded.

  In the securities account table 242, data relating to the transmission destination BIC, the contract number, the securities account number, and the deposit account number are recorded.

In the transmission destination BIC data area, data relating to an identifier for identifying each financial institution to which information is distributed is recorded.
In the contract number data area, data relating to an identifier for specifying a custody support contract is recorded.

In the securities account number data area, data relating to an identifier for specifying a securities account for managing securities is recorded.
In the deposit account number data area, data relating to an identifier for specifying a deposit account used for securities trading is recorded.

As shown in FIG. 3D, a message catalog master record 250 is recorded in the message catalog master storage unit 25.
In the message catalog master record 250, data related to a message edit pattern number, a processing category, and a pattern are recorded.

In the message edit pattern number data area, data relating to an identifier for specifying a message format used for information distribution is recorded.
In the processing category data area, data related to the category for specifying the type of message is recorded. This processing category includes new, update, confirmation, reminder, withdrawal, cancellation, and the like.
In the pattern data area, data for specifying the format of a message used for information distribution is recorded.

  As shown in FIG. 4A, a process type master record 260 is recorded in the process type master storage unit 26. In the process type master record 260, data regarding a process type, a business flow, and a corresponding event is recorded.

  In the process type data area, data relating to an identifier for identifying a business flow classification (prototype) related to various events is recorded. This process type includes “reorganization type”, “distribution type”, and “general type”. Furthermore, these reorganization types and general types have “exercise instruction not required type” that does not require exercise instructions, “exercise instruction required type” that requires exercise instructions, and “exercise instruction required types” that require exercise instructions. There is.

As shown in FIG. 5, the reorganization type is a type in which basic securities are issued and capital is reorganized.
As shown in FIG. 6, the distribution type is a type in which there is no issue of basic securities and receipt of benefits.
As shown in FIG. 7, the general type is a type in which there is no issue of basic securities and no receipt of benefits, and there is no transfer of capital.

In the business flow data area, data relating to various schedules related to the business flow performed in each process type is recorded. In this data area, various schedules for each process type are recorded as shown in FIGS.
In the corresponding event data area, data related to an identifier (event code) for specifying an event to which each process type is applied is recorded.

  As shown in FIG. 4B, the reference date operation chart storage unit 27 records a reference date operation chart 270 for managing the dates related to the event. In the reference date operation chart 270, data related to schedule information related to the due date is recorded using the event code, ISIN code, and reference date as keys.

In the event code data area, data relating to an identifier for specifying an event in each stock name is recorded.
In the ISIN code data area, data relating to an identifier for specifying a security brand is recorded.

In the reference date code data area, data relating to the date (year / month / day) for determining the right balance held by the customer is recorded.
In the schedule information data area, data related to a date (for example, before α business days) and a period (for example, after β business days to γ business days) are recorded. This schedule information is calculated based on the process type work flow. This schedule information includes the announcement date, transaction date, last transaction date, vesting date, ex-rights date, interest payment date, advancement date, maturity date, base date, effective date, payment date, payment date, payment start date , Evaluation date, balance transfer date, tradeable date, delisting date, final date of handling, dividend date for incorporation, etc.

  As shown in FIG. 4C, the event process status record 280 is recorded in the event process status storage unit 28. The event process status record 280 is recorded and updated when event information is acquired. In the event process status record 280, data relating to an event code, an ISIN code, event occurrence accuracy, event information completeness, and process status is recorded.

In the event code data area, data relating to an identifier for specifying an event in each stock name is recorded.
In the ISIN code data area, data relating to an identifier for specifying a security brand is recorded.

In the event occurrence probability data area, a flag (determined / unconfirmed) for identifying the likelihood of event occurrence is recorded.
In the event information completeness data area, a flag (complete / incomplete) for identifying the completeness of the event information is recorded.
In the process status data area, a flag (complete / uncompleted) for identifying the progress status is recorded for each process for the event.

  Further, the custody support server 20 is connected to the host system 30. The host system 30 is a computer system that manages transactions performed using a securities account or a deposit account. The host system 30 manages account information regarding account attributes and holders, and transaction information regarding transactions performed using the account.

A processing procedure for providing a custody service for a non-resident's transaction using the system configured as described above will be described with reference to FIGS.
(Custody support processing)
The custody support process will be described with reference to FIG.
First, the control unit 21 of the custody support server 20 executes information concentration processing (step S1-1). This information collection process will be described later with reference to FIG.

  Next, the control part 21 of the custody support server 20 performs an information transmission service process (step S1-2). Specifically, the control unit 21 creates a swift telegram based on the acquired event information and transmits it to each financial institution via the swift system 10. This information transmission service process will be described later with reference to FIG.

  Next, the control unit 21 of the custody support server 20 executes corporate action work processing (step S1-3). Specifically, the control unit 21 specifies a business flow based on the acquired event information, and performs a process management process for managing a date and a process related to the event. This corporate action work process will be described later with reference to FIGS.

(Information collection processing)
Next, information collection processing will be described with reference to FIG.
First, the control unit 21 of the custody support server 20 executes an information acquisition process (step S2-1). Specifically, the information acquisition unit 210 of the control unit 21 acquires various types of information (such as event information and securities brand information) from the securities storage transfer system 11, the information provider 12, and the person-in-charge terminal 40.

  Next, the control unit 21 of the custody support server 20 executes a determination process as to whether or not an event code is recorded in the various information acquired in Step S2-1 (Step S2-2). Specifically, the information acquisition unit 210 of the control unit 21 checks whether an event code is recorded in the acquired event information.

When it is determined that no event code is recorded in the acquired various types of information (in the case of “NO” in step S2-2), the control unit 21 of the custody support server 20 executes a securities attribute management process (step S2- 3). Specifically, the securities attribute management unit 214 of the control unit 21 updates the securities issue master record 220 recorded in the securities issue master storage unit 22 based on the acquired various information.
Next, the control part 21 of the custody support server 20 performs the determination process about whether various information is the information regarding an event object (step S2-4). Specifically, the information acquisition unit 210 of the control unit 21 makes a determination based on items corresponding to events included in the acquired various types of information. For example, in the case where information related to “closing date”, “interim closing date”, “interest payment date”, and “maturity redemption date” is included, it is determined as an event target.
Here, when it determines with an event object (in the case of "YES" in step S2-4), the control part 21 of the custody assistance server 20 performs the production | generation process of event information (step S2-5). Specifically, the information acquisition unit 210 of the control unit 21 uses the specified stock issue master record 220 to supplement the information related to the event (for example, event code) based on the acquired various types of information to obtain the event information. Is generated.

  On the other hand, when it is determined that the event code is recorded in the acquired various information (in the case of “YES” in step S2-2), the control unit 21 of the custody support server 20 performs the securities attribute management process (step S2-3). ) To skip event information generation processing (step S2-5).

  Next, the control unit 21 of the custody support server 20 executes an event master registration process (step S2-6). Specifically, the event information management unit 211 of the control unit 21 generates an event information master record 230 based on the acquired or generated event information and records it in the event information master storage unit 23. If an event information master record 230 for the same event information has already been recorded, the event information master record 230 is updated based on the acquired event information.

  Next, the control unit 21 of the custody support server 20 executes status management processing (step S2-7). Specifically, the event information management unit 211 of the control unit 21 generates an event process status record 280 in which event occurrence accuracy, event information completeness, and completion status are recorded based on the acquired event information. Record in the storage unit 28. If an event process status record 280 for the same event information has already been recorded, the event process status record 280 is updated based on the acquired event information.

(Information dispatch service processing)
Next, the information transmission service process will be described with reference to FIG. Here, the following processing is repeated for each event information acquired at the same time.

  First, the control unit 21 of the custody support server 20 executes a process type specifying process (step S3-1). Specifically, the event information management unit 211 of the control unit 21 classifies the process type corresponding to the event information using the process type master storage unit 26 based on the acquired event information.

  Next, the control unit 21 of the custody support server 20 executes a reference day operation chart registration process (step S3-2). Specifically, the event information management unit 211 of the control unit 21 specifies schedule information necessary for event management based on the process type master record 260 of the classified process type. Then, the event information management unit 211 creates a reference date operation chart 270 in which the reference date and schedule information are recorded in association with the event code and the ISIN code, and records them in the reference date operation chart storage unit 27.

  Next, the control part 21 of the custody support server 20 performs an information transmission master reference process (step S3-3). Specifically, the information distribution unit 213 of the control unit 21 acquires an event code from the acquired event information. Then, the information distribution unit 213 uses the transmission destination table 241 recorded in the information transmission master storage unit 24 to acquire the transmission destination BIC associated with the event code. Further, the information distribution unit 213 determines whether information distribution is necessary based on the transmission conditions recorded in the transmission destination table 241. Here, when “calling required” is recorded, information is unconditionally distributed to the destination BIC. On the other hand, when “stop sending when there is no balance” is recorded, the securities balance information is confirmed using the host system 30 and information distribution is performed only when there is an account with securities balance. Furthermore, the information distribution unit 213 acquires a message edit pattern number corresponding to the destination BIC code from the destination table 241.

And the control part 21 of the custody assistance server 20 repeats the following processes for every transmission destination BIC.
First, the control unit 21 of the custody support server 20 executes a telegram catalog master reference process (step S3-4). Specifically, the information distribution unit 213 of the control unit 21 specifies a message edit pattern number associated with the transmission destination BIC in the transmission destination table 241. Next, the information distribution unit 213 acquires a transmission pattern corresponding to the event information processing category from the message catalog master storage unit 25 based on the message editing pattern number.

Next, the control unit 21 of the custody support server 20 executes an event information editing process (step S3-5). Specifically, the information distribution unit 213 of the control unit 21 edits and temporarily stores event information based on the acquired transmission pattern.
The above processing is repeated for each destination BIC and each event information.

  Next, the control part 21 of the custody support server 20 performs an information transmission process for every transmission destination BIC (step S3-6). Specifically, the information distribution unit 213 of the control unit 21 generates distribution information in which the temporarily stored event information is aggregated for each destination BIC. Next, the information distribution unit 213 generates a swift telegram including the aggregated distribution information for each destination BIC. Then, the information distribution unit 213 transmits a swift telegram to the destination BIC via the swift system 10.

(Corporate action business processing)
Next, corporate action business processing will be described. Here, base date processing, right exercise processing, reminder processing, beneficiary processing, and authority notification processing will be described as process management processing in the corporate action business processing.

(Base date processing)
First, reference date processing will be described with reference to FIG.
Here, the control unit 21 of the custody support server 20 executes a date management process (step S4-1). Specifically, the event process management unit 215 of the control unit 21 specifies the reference date using the reference date operation chart recorded in the reference date operation chart storage unit 27.

  Next, the control part 21 of the custody support server 20 performs the determination process about whether the reference date has arrived (step S4-2). Specifically, the event process management unit 215 of the control unit 21 acquires the current date from the system timer, and compares the current date with the reference date. If the current date does not reach the reference date, it is determined that the reference date has not arrived.

  When it is determined that the reference date has not arrived (in the case of “NO” in step S4-2), the control unit 21 of the custody support server 20 continues the due date management process (step S4-1).

  On the other hand, when it is determined that the reference date has arrived (in the case of “YES” in step S4-2), the control unit 21 of the custody support server 20 executes a right balance management process (step S4-3). Specifically, the right balance management unit 216 of the control unit 21 acquires the right balance of the securities account using the host system 30.

  Next, the control unit 21 of the custody support server 20 executes notification processing (step S4-4). Specifically, the information distribution unit 213 of the control unit 21 generates a right notice including a right balance for each securities account. Then, the information distribution unit 213 transmits a right reception schedule notification via the swift system 10 for each BIC.

  Next, the control unit 21 of the custody support server 20 executes a status management process (step S4-5). Specifically, the event process management unit 215 of the control unit 21 records the completion flag of the process “right reception schedule notification” in the event process status record 280 of the event process status storage unit 28.

(Exercise processing)
Next, the right exercise process will be described with reference to FIG.
First, the control unit 21 of the custody support server 20 executes a determination process as to whether or not an exercise instruction is necessary (step S5-1). Specifically, the event process management unit 215 of the control unit 21 uses the process type master storage unit 26 to determine the process type recorded in the process type master record 260. Then, the event process management unit 215 determines whether or not an exercise instruction from an overseas investor is required.
If the process type is “exercise instruction required type” or “exercise instruction required type” and it is determined that an exercise instruction is required (“YES” in step S5-1), the control unit 21 of the custody support server 20 Executes the waiting process for the exercise instruction (step S5-2). Specifically, the right exercise unit 217 of the control unit 21 waits for an exercise instruction message from the customer via the swift system 10.

Then, the control unit 21 of the custody support server 20 executes an exercise instruction reception process (step S5-3). Specifically, the right exercise unit 217 of the control unit 21 acquires an exercise instruction message from the customer via the swift system 10.
As shown in FIG. 12A, the exercise instruction data includes data relating to event codes, ISIN codes, reference dates, securities account numbers, exercise quantities, non-exercise quantities, and unexercised quantities.

Next, the control unit 21 of the custody support server 20 executes an acceptance result reply process (step S5-4). Specifically, the right exercising unit 217 of the control unit 21 returns a reception result to the customer via the swift system 10.
Next, the control part 21 of the custody support server 20 performs the determination process about an option (step S5-5). Specifically, the right exercising unit 217 of the control unit 21 includes an option (“execute right (ACTION)”, “do not exercise right (ACTION)”, or “do nothing (NO ACTION)” in the instruction instruction message. Etc.).

When it is determined that the option “do nothing” is included in the option (“NO ACTION” in step S5-3), the control unit 21 of the custody support server 20 executes a pending management process (step S5- 6). Specifically, the pending management unit 218 of the control unit 21 generates a pending record that records the BIC, the securities account number, the ISIN code, and the unexecuted quantity included in the acquired right exercise instruction, and records the pending record in the memory.
On the other hand, when it is determined that the option includes “exercise right (ACTION)” and “do not exercise right (ACTION)” (in the case of “ACTION” in step S5-3), the control unit of the custody support server 20 21 skips the pending management process (step S5-6).
Next, the control part 21 of the custody support server 20 performs the determination process about whether the detail file has been created (step S5-7). Specifically, the right exercising unit 217 of the control unit 21 checks whether or not a securities account-specific right exercise detail file is recorded in the memory for the same securities account and the same ISIN code. If the securities account-specific exercise detail file is recorded in the memory, it is determined that the detail file has been created.
When it is determined that the detail file has been created (in the case of “YES” in step S5-7), the control unit 21 of the custody support server 20 executes an addition process to the detail file (step S5-8). Specifically, in the case of the option “NO ACTION”, the right exercising unit 217 of the control unit 21 sets “unexercised quantity” in the right account detail file for each securities account in which the same securities account and the same ISIN code are already recorded. Record the same quantity as the pending record. In the case of the option “ACTION”, the right exercise unit 217 records the quantity of the option (ACTION) in the exercise instruction message in the already-recorded right exercise specification file for each securities account.

  On the other hand, if it is determined that the securities account-specific exercise detail file is not recorded in the memory and the detail file has not been created (“NO” in step S5-7), the control unit 21 of the custody support server 20 Then, a detailed file creation process is executed (step S5-9). Specifically, the right exercising unit 217 of the control unit 21 uses the reference date operation chart 270 recorded in the reference date operation chart storage unit 27 to identify the due date after exercise. Then, the right exercising unit 217 creates a securities account-specific right exercise detail file that records the securities account, the ISIN code, and the quantity subject to ACTION, including the specified date, and records it in the memory. If the pending management unit 218 holds “unexecuted quantity” for the same securities account and the same ISIN code, the exercise unit 217 displays “unexercised quantity” in the created exercise details file for each securities account. Is recorded.

  As shown in FIG. 12 (b), the securities account-specific exercise detail file includes data relating to event codes, ISIN codes, reference dates, event process types, and securities account numbers. In addition, data on rights balance, exercise quantity, non-exercise quantity, unexercised quantity, paid-in amount, scheduled deposit amount, deposit amount, tax rate, tax amount, exercise date, scheduled deposit date, deposit date, finalized (completed) quantity are included. . At this stage, the data areas of the deposit amount, exercise date, deposit date, and confirmed (completed) securities quantity are left blank.

  If it is determined that the process type is “exercise instruction not required essential type” and no exercise instruction is required (“NO” in step S5-1), the control unit 21 of the custody support server 20 performs step S5-2. The process of .about.S5-8 is skipped, and the detailed file creation process is executed (step S5-9). In this case, the right exercising unit 217 of the control unit 21 creates a security account-specific right exercising specification file based on the “right receipt schedule notification” and records it in the memory.

  Next, the control unit 21 of the custody support server 20 executes a status management process (step S5-10). Specifically, the event process management unit 215 of the control unit 21 records a process “receive exercise instruction” flag in the event process status record 280 of the event process status storage unit 28.

(Reminder processing)
Next, the reminder process will be described with reference to FIG. This reminder process is periodically executed for securities with an expiration date.
First, the control unit 21 of the custody support server 20 executes a date management process (step S6-1). Specifically, the pending management unit 218 of the control unit 21 specifies a securities account in which an unexercised amount is recorded.

  Next, the control unit 21 of the custody support server 20 executes a determination process as to whether or not the deadline has arrived (step S6-2). Specifically, the event process management unit 215 of the control unit 21 acquires the current date from the system timer, and compares the current date with the due date of the reference date operation chart (expiration date of rights). When the current date has not reached the due date, it is determined that the due date has not yet arrived.

When it is determined that the current date has reached the due date and the deadline has come (in the case of “YES” in step S6-2), the control unit 21 of the custody support server 20 executes a status management process (step S6-3). Specifically, the event process management unit 215 of the control unit 21 records the completion flag of the process “reminder” in the event process status record 280 of the event process status storage unit 28.
On the other hand, when it is determined that the time limit has not yet been reached (in the case of “NO” in step S6-2), the control unit 21 of the custody support server 20 executes a determination process as to whether or not there is an indefinite (step) S6-4). Specifically, the event process management unit 215 of the control unit 21 calculates the fixed quantity by adding up the exercise quantity and the non-exercise quantity recorded in the securities account-specific right exercise specification file of the securities account. Next, the event process management unit 215 compares the determined quantity with the right balance. If the determined quantity is less than the right balance, it is determined that there is an undefined value.

  When it is determined that there is indefiniteness (in the case of “YES” in step S6-4), the control unit 21 of the custody support server 20 executes a reminder transmission process (step S6-5). Specifically, the pending management unit 218 identifies a BIC that holds a securities account in which the unexecuted quantity is recorded, and transmits a reminder to the BIC.

  On the other hand, when it is determined that there is no indefinite (in the case of “NO” in step S6-4), the control unit 21 of the custody support server 20 executes a status management process (step S6-3), and the custody support server 20 The control unit 21 ends the reminder process. Also in this case, the control unit 21 of the custody support server 20 continues the subsequent date management process.

(Benefits processing)
Next, beneficiary processing will be described with reference to FIG.
First, the control unit 21 of the custody support server 20 executes a balance update process (step S7-1). Specifically, the right balance management unit 216 of the control unit 21 uses the host system 30 to set the date of “exercise date” and “scheduled payment date” in the securities account-specific right exercise statement file recorded in the memory. Update your securities account balance. Then, the right balance management unit 216 updates the securities account-specific right exercise statement file. Here, data relating to the deposit amount, the exercise date, the deposit date, and the confirmed (completed) securities quantity is recorded in the securities account-specific right exercise specification file shown in FIG.

  Next, the control unit 21 of the custody support server 20 executes notification processing (step S7-2). Specifically, the right balance management unit 216 of the control unit 21 transmits a transfer notification including the securities / fund transfer result to the customer via the swift system 10. Further, the right balance management unit 216 transmits a completion notification to the customer via the swift system 10 when the event is completed.

  Next, the control unit 21 of the custody support server 20 executes a status management process (step S7-3). Specifically, the event process management unit 215 of the control unit 21 records the completion flag of the process “balance update” in the event process status record 280 of the event process status storage unit 28.

(Authorization processing)
Next, the authority notification process will be described with reference to FIG.
First, the control unit 21 of the custody support server 20 executes acquisition processing of final customer information (step S8-1). Specifically, the customer information management unit 219 of the control unit 21 acquires final customer information via the swift system 10.

  Next, the control unit 21 of the custody support server 20 executes a rights balance management process based on the completed and updated right exercise specification file for each securities account and the acquired final customer information (step S8-2). Specifically, the right balance management unit 216 of the control unit 21 specifies the tax rate according to the customer's attributes (tax exemption / taxation), country / location, etc., and calculates the tax amount from the tax rate, the deposit amount, and the like. For example, sovereign tax exemptions, establishment agreements, and ordinances of the Ministry of Finance are exempt. If there is no reduction, it will be taxed. In the case of tax treaty application, it is applied by country and refers to the tax rate.

  Next, the control unit 21 of the custody support server 20 executes status management processing (step S8-3). Specifically, the event process management unit 215 of the control unit 21 records the completion flag of the process “authorization notification” in the event process status record 280 of the event process status storage unit 28.

According to this embodiment, the following effects can be obtained.
(1) In the present embodiment, the control unit 21 of the custody support server 20 performs information collection processing (step S1-1), information transmission service processing (step S1-2), and corporate action work processing (step S1-3). ). This makes it possible to transmit event information quickly and widely without being bound by corporate action work.

  (2) In this embodiment, when it is determined that no event code is recorded in the event information (in the case of “NO” in step S2-2), the control unit 21 of the custody support server 20 performs the securities attribute management process. Execute (step S2-3). Further, the control unit 21 of the custody support server 20 executes a determination process as to whether or not the event target (step S2-4). And when it determines with it being an event object (in the case of "YES" in step S2-4), the control part 21 of the custody assistance server 20 performs the creation process of event information (step S2-5). As a result, when there is an insufficient item in the event information, the event information can be generated by supplementing with the securities brand information.

  (3) In this embodiment, the control part 21 of the custody support server 20 performs a status management process (step S2-7). Thereby, the status of the acquired event can be determined.

  (4) In this embodiment, the control unit 21 of the custody support server 20 executes a process type specifying process (step S3-1) and a reference day operation chart registration process (step S3-2). And the control part 21 of the custody assistance server 20 performs a date management process (step S4-1, S6-1). As a result, the process can be accurately managed for the event.

  (5) In this embodiment, the control part 21 of the custody support server 20 performs an information transmission master reference process (step S3-3). The control unit 21 of the custody support server 20 executes a telegram catalog master reference process (step S3-4) and an information transmission process (step S3-6) for each destination BIC. Thereby, event information can be provided collectively for each BIC.

  (6) In the present embodiment, the process types include “reorganization type”, “distribution type”, and “general type”. Furthermore, these reorganization types and general types have “exercise instruction not required type” that does not require exercise instructions, “exercise instruction required type” that requires exercise instructions, and “exercise instruction required types” that require exercise instructions. There is. As new types of events are added, these process types can be used to deploy on a date for each process.

Moreover, you may change the said embodiment as follows.
In the above embodiment, the information acquisition unit 210 of the control unit 21 acquires various event information from the information provider 12 and the person-in-charge terminal 40. Here, the acquisition source of the event information is not limited to these. Event information may be provided to customers using event information published through the Internet. In this case, for example, the accuracy is evaluated based on the information source to determine the event status.

  In the above embodiment, this process type includes “reorganization type”, “distribution type”, and “general type”. Furthermore, these reorganization types and general types have “exercise instruction not required type” that does not require exercise instructions, “exercise instruction required type” that requires exercise instructions, and “exercise instruction required types” that require exercise instructions. There is. The process type is not limited to these.

  In the above embodiment, the information transmission master storage unit 24 stores the transmission destination table 241 and the securities account table 242. In the transmission destination table 241, data relating to transmission conditions for information distribution is recorded. In this transmission condition, for example, information such as “transmission required”, “transmission stop when there is no balance”, and the like are recorded. Transmission conditions are not limited to these. For example, the necessity of transmission may be determined according to the accuracy of the event information.

In the above embodiment, the control unit 21 of the custody support server 20 executes a process for distributing event information to customers via the swift system 10. In this case, the information distribution means is not limited to the swift system 10. For example, a data inquiry system may be provided and distributed via a web screen to customers accessed via the Internet. In this case, the control unit 21 of the custody support server 20 performs user authentication at the time of access. And the control part 21 provides the function (customer on-demand inquiry service) which searches the event information regarding the security | security which the customer authenticated by the user holds.
Further, the control unit 21 of the custody support server 20 may distribute information by electronic mail via the Internet. In this case, the transmission destination address is stored in the information transmission master storage unit 24. Then, an e-mail attached with a CSV file, PDF file or the like summarizing event information is distributed.

  DESCRIPTION OF SYMBOLS 10 ... Swift system, 11 ... Securities custody transfer system, 12 ... Information provider, 20 ... Custody support server, 21 ... Control part, 210 ... Information acquisition part, 211 ... Event information management part, 212 ... Event status management part, 213 ... Information distribution unit, 214 ... Securities attribute management unit, 215 ... Event process management unit, 216 ... Rights balance management unit, 217 ... Rights exercise unit, 218 ... Pending management unit, 219 ... Customer information management unit, 22 ... Securities brand master storage , 23 ... event information master storage unit, 24 ... information transmission master storage unit, 25 ... telegram catalog master storage unit, 26 ... process type master storage unit, 27 ... reference date operation chart storage unit, 28 ... event process status storage unit , 40 ... person in charge terminal.

Claims (5)

For each financial institution, a destination storage unit that records destination information of event information,
A process type master storage unit that records a process type for determining a necessary process according to an event type, and
A reference date operation chart storage unit for recording a reference date operation chart for managing a date related to an event occurring in a security held by a customer;
A custody support system comprising a control unit connected to an information providing system,
The control unit is
From the information providing system, obtain event information related to an event about corporate action,
Using the process type master storage unit, the process type of the acquired event information is specified, and the reference date operation chart for managing the due date related to the securities account event related to the event information is recorded in the reference date operation chart storage unit And
Identify the type of event, determine the necessity of information transmission according to the type,
Event information distribution processing for transmitting the event information for each financial institution recorded in the transmission destination storage unit,
In accordance with the process type identified based on the event information, determine the necessary process including determination of the necessity of exercising rights ,
If it is necessary to determine whether or not to exercise the right in the determined process, the due date for managing the process is specified in the reference date operation chart recorded based on the due date included in the event information. When the reference date for determining the right balance of the securities account related to the event information has arrived, the right balance of the securities account related to the event information is acquired, and the financial institution recorded in the transmission destination storage unit, Performing information transmission including the right balance for each securities account , and executing a process management process for sending a reminder when there is a balance whose right to exercise is uncertain in the right balance. Characteristic custody support system. The transmission method associated with the financial institution is recorded in the transmission destination storage unit,
The custody support system according to claim 1, wherein the event information is edited and transmitted based on the transmission method.   The custody support system according to claim 1 or 2, wherein event information acquired at the same time is collected and transmitted to the financial institution. For each financial institution, a destination storage unit that records destination information of event information,
A process type master storage unit that records a process type for determining a necessary process according to an event type, and
A reference date operation chart storage unit for recording a reference date operation chart for managing a date related to an event occurring in a security held by a customer;
A custody support system using a custody support system comprising a control unit connected to an information providing system,
The control unit is
From the information providing system, obtain event information related to an event about corporate action,
Using the process type master storage unit, the process type of the acquired event information is specified, and the reference date operation chart for managing the due date related to the securities account event related to the event information is recorded in the reference date operation chart storage unit And
Identify the type of event, determine the necessity of information transmission according to the type,
Event information distribution processing for transmitting the event information for each financial institution recorded in the transmission destination storage unit,
In accordance with the process type identified based on the event information, determine the necessary process including determination of the necessity of exercising rights ,
If it is necessary to determine whether or not to exercise the right in the determined process, the due date for managing the process is specified in the reference date operation chart recorded based on the due date included in the event information. When the reference date for determining the right balance of the securities account related to the event information has arrived, the right balance of the securities account related to the event information is acquired, and the financial institution recorded in the transmission destination storage unit, Performing information transmission including the right balance for each securities account , and executing a process management process for sending a reminder when there is a balance whose right to exercise is uncertain in the right balance. Characteristic custody support method. For each financial institution, a destination storage unit that records destination information of event information,
A process type master storage unit that records a process type for determining a necessary process according to an event type, and
A reference date operation chart storage unit for recording a reference date operation chart for managing a date related to an event occurring in a security held by a customer;
A custody support program using a custody support system including a control unit connected to an information providing system,
The control unit
From the information providing system, obtain event information related to an event about corporate action,
Using the process type master storage unit, the process type of the acquired event information is specified, and the reference date operation chart for managing the due date related to the securities account event related to the event information is recorded in the reference date operation chart storage unit And
Identify the type of event, determine the necessity of information transmission according to the type,
Event information distribution processing for transmitting the event information for each financial institution recorded in the transmission destination storage unit,
Judgment on the necessity of exercising rights according to the process type specified based on the event information
Determine the necessary processes , including
If it is necessary to determine whether or not to exercise the right in the determined process, the due date for managing the process is specified in the reference date operation chart recorded based on the due date included in the event information. When the reference date for determining the right balance of the securities account related to the event information has arrived, the right balance of the securities account related to the event information is acquired, and the financial institution recorded in the transmission destination storage unit, As a means for performing information transmission including the right balance for each securities account , and executing a process management process for transmitting a reminder when there is a balance in which the necessity of exercising rights is uncertain in the right balance Custody support program characterized by functioning.

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