JPH08335231A - Securities business support system with accident preventing function - Google Patents

Abstract

PURPOSE: To perform a process speedily by automatically performing collation with suspicious customer data and data where the company where a customer works and its group company organization are recorded when a dealing is accepted and quitting the transaction in advance when the customer is on a list. CONSTITUTION: When stock dealing occurs, a terminal device TD sends a specific retrieval data item key to relation tables AT and BT1 in a database DB as shown by A and then database management software extracts customer data corresponding to a customer code by referring to the relation tables AT and BT1 and returns the data to the terminal device TD. At this time, the customer code C is automatically collated with codes C1 , C2 ... in the suspicious customer information table BT1 which are related to the customer code C and immediately quits the process if the retrieval input customer is on the suspicious customer list. Consequently, it can automatically be judged whether the input customer is a customer corresponding to previously set suspicious customer data.

Description

Detailed Description of the Invention

[0001]

The present invention relates to customer attribute data (name, number of shares, account amount, insurance premium, etc.) and caution customer data or affiliated company data of customer attribute data in the securities, finance, insurance industry, etc. It relates to a database management system that associates the stock name you are about to enter and sell with affiliated company data that has been separately set and entered. Transactions with customers within the company (insider transactions)
It relates to a securities business support system with an accident prevention function that cancels in advance.

[0002]

2. Description of the Related Art FIG. 5 is a diagram for explaining the configuration of a first example of a conventional system, and FIG. 6 is a processing flow diagram when a transaction occurs in the first conventional example. The first conventional example, a table with customer name separately several information retrieval key is a specific information item, made from the data group corresponding to the value of the search key for the table, a plurality of trading information A _1, A stock DB information table AT storing A ₂ , A ₃ ... And a database DB including a caution customer information table BT ₁ storing a plurality of caution customer information B ₁₁ , B ₁₂ , B ₁₃ ... It is equipped with a terminal device TD that accesses the database DB via, and when the stock trading of a certain customer occurs, it displays or prints the caution customer list of the caution customer information table BT ₁ to enable the customer to perform inconvenient transaction business in the past. It is judged whether the customer is a careful customer by comparing the names. If they do not match, the trading information A is input and stored in the stock trading information table AT, and if they match, the trading is stopped and the processing ends. .

FIG. 7 is a diagram for explaining the configuration of a second example of the conventional system, and FIG. 8 is a process flow diagram when a transaction occurs according to the second conventional example. This second conventional example, a table with customer name separately several information retrieval key is a specific information item, made from the data group corresponding to the value of the search key for the table, a plurality of trading information A _1, A database DB including a stock trading information table AT storing A ₂ , A ₃ ... And a subsidiary company information table BT ₂ storing a plurality of subsidiary company information B ₂₁ , B ₂₂ , B ₂₃ ... The terminal device TD for accessing the database DB via the, and when the stock trading of a certain customer occurs, the affiliated company list of the affiliated company information table BT ₂ is displayed or printed, and the company name of the customer is in the affiliated company list. It is judged by checking whether the company name is the same as the above. If they do not match, the trading information A is input and stored in the stock trading information table AT, and if they match, the trading is stopped and the processing ends.

[0004]

In the first prior art example described above, it is only necessary to search and display the data related to the customer who made the purchase or sale, or to display and print the caution customer list to identify the caution customer. It takes time to decide whether it is artificial, and when performing stock trading processing, etc.
It was necessary to artificially capture the secondary related information, and as a result, it was determined whether or not the data should be mechanically input. Further, in the second conventional example, when the stock trading process of the customer who has traded is input and executed, the customer is a person related to the company stock of the trading stock (a person who corresponds to insider trading). ) Is checked artificially by comparing the affiliated company data in the customer attribute data of the customer with the affiliated company system list that exists separately, and it takes time, and Even in the hasty stock trading, all transactions are artificially judged by referring to the related information.
As a result, since data was mechanically input, quick processing could not be performed even in normal processing that does not correspond to insider trading.

[0005]

DISCLOSURE OF THE INVENTION The present invention is a subject of the above-mentioned prior art, and whether the customer is a careful customer or a customer corresponding to insider trading is related to a careful customer list or affiliated company / affiliated company list. Since it was impossible to promptly buy and sell because it was artificially judged using materials, when searching and inputting a series of data related to each customer or data for trading, Providing a securities business support system with an accident prevention function that can cancel the data search and input processing for the corresponding customer by collating it with the previously set caution customer list or affiliated company list Is what you are trying to do.

That is, the system of the present invention, as shown in FIGS. 1 to 4, is a table having several kinds of information retrieval keys for each customer, a database comprising a data group corresponding to the value of each retrieval key, and In a securities business support system consisting of a terminal device that accesses a database via a table, when a transaction with a customer occurs afterwards, by inputting and setting a data group that records a caution customer, affiliated company system, etc. , At the time of accepting the sale / purchase process, the customer data, the company to which the customer belongs, and the data in which the affiliated company system is recorded are automatically collated, and if the customer is a customer listed in the list, the transaction is executed. It is characterized by stopping in advance.

[0007]

[Operation] When a sales transaction occurs, the customer and the caution customer data (list) or affiliated company / affiliated company data (list) are automatically collated, and if the customer is listed on the list, the transaction is executed. It will be discontinued promptly.

[0008]

1 is an explanatory view showing the structure of a first embodiment of the system of the present invention, and FIG. 2 is a processing flow chart when a trade occurs according to the first embodiment. The first embodiment includes a table with customer name separately several information retrieval key is a specific information item, made from the data group corresponding to the value of the search key for the table, a plurality of trading information A _1, A stock DB information table AT storing A ₂ , A ₃ ... And a database DB including a caution customer information table BT ₁ storing a plurality of caution customer information B ₁₁ , B ₁₂ , B ₁₃ ... Terminal TD for accessing the database DB via the
And the customer codes C ₁ , C ₂ , C ₃ ... are added to each of the trading information A ₁ , A ₂ , A ₃ ... And each cautioned customer information B ₁₁ , B ₁₂ , B ₁₃ ... Then, the table AT,
A database management software capable of cooperative processing (data relation) between BT ₁ is configured, and when a stock trade occurs, the customer code and the trade information are input by the terminal device TD. And attention customer information table BT ₁ attention customer information B ₁₁ , B ₁₂
... customer codes C ₁ , C ₂ ... are automatically collated, and when they do not match, the trading information A of the customer is stored in the stock trading information table AT, and when they match, the trading of the customer is The configuration is to cancel.

In the first embodiment having the above-mentioned structure, when stock trading occurs, a search data item key specific to the relation table AT, BT ₁ of the database DB from the terminal device TD, in this case, the customer name key and trading stock brand. When the customer code (customer name) C and the trading information (trading stocks, etc.) A are transmitted by the key, the corresponding customer data is extracted by referring to the related tables AT and BT ₁ corresponding to the customer code by the database management software, The response is transmitted to the terminal device TD. At this time, the customer code C and the codes C ₁ and C _{2 of} the caution customer information table BT ₁ associated therewith
... is automatically collated, and if the search input customer is present in the caution customer list (data), the corresponding processing is immediately stopped. Further, when there is no input customer in the caution customer information table BT ₁ , the code C and the trade information A of the customer are stored in the stock trading information table AT ₁ .

According to the first embodiment described above, (1) it is determined whether or not the customer corresponds to the caution customer data previously set by the input customer when performing the search and the input processing in the database DB. It is possible to judge automatically. (2) The determination time of (1) can be shortened because it is a check in computer processing as compared with the conventional careful customer collation work on a paper list. (3) If the customer data in the database is modified and newly input, it is not necessary to copy and distribute the new customer list that has been changed in the conventional way each time.
At the same time, even when the database is searched and developed by searching from a plurality of terminals and processing operations, it is possible to always perform automatic matching with the latest caution customer list.

FIG. 3 is an explanatory view showing the structure of the second embodiment, and FIG. 4 is a processing flow chart when a trade occurs according to the second embodiment. This second embodiment has a table with customer name separately several information retrieval key is a specific information item, made from the data group corresponding to the value of the search key for the table, a plurality of trading information A _1, Stock trading information table AT storing A ₂ , A _3, ... And plural affiliated company information B ₂₁ , B ₂₂ ,
Comprising a database DB consisting affiliate information table BT ₂ for storing the B ₂₃ · · ·, the terminal device TD to access a database DB via the table, the sale information _{A 1, A 2, A 3} ··· And affiliated company information B ₂₁ , B
Customer code C ₁ , C ₂ , C ₃ ... Is added to ₂₂ , B ₂₃ ... to form a database management software capable of a cooperative processing (data relation) between the tables AT ₂ and BT ₂ . When a stock trade occurs, the customer code and the trade information are input to the database DB by the terminal processing TD, and the customer code C where the trade occurs and the affiliated company information B of the affiliated company information table BT ₂ that needs attention
Customer codes C ₁ , C ₂ , C _{3 for 21} , B ₂₂ , B ₂₃ ...
.. are automatically collated, and when they do not match, the customer code C and the trading information A are stored in the stock trading information table AT,
Further, when they match, the trading is stopped.

In the second embodiment having the above-mentioned configuration, when a stock sale occurs, the affiliated company information table (relation table) BT _{2 of the} database DB from the terminal device TD.
When a customer code (customer affiliation company name) C and trading information (trading stocks, etc.) A are sent to a specific search data item key, in this case, a customer name key and trading stocks key,
The database management software refers to the related tables AT and BT ₂ corresponding to the customer code, extracts the corresponding customer data, and transmits the response to the terminal device TD. At this time, it is automatically referred whether the relationship between the customer affiliated company data in the customer attribute data and the trading stock issue is in the preset affiliated company list (data). , In other words, the customer code C and the codes C ₁ , C ₂ ... Of the affiliated company information table BT ₂ are automatically collated, and if they are present (when they match), the insider is immediately notified. When it is determined that the transaction corresponds to a transaction, the trading process is stopped. When they do not exist (when they do not match), the customer code C and the trading information A are added to the stock trading information table AT.
Will be stored.

According to the second embodiment, (1) there is a relationship between the customer and the trading stock issue corresponding to the preset affiliated company data when performing the search and input processing in the database DB. It is possible to automatically determine on the system whether or not to perform, that is, whether or not it corresponds to insider trading. (2) The corresponding judgment time of (1) can also be shortened because it is a check in computer processing as compared with the conventional insider transaction collation work on a paper list. (3) If the affiliated company data in the database is corrected and newly entered, there is no need to copy and distribute the affiliated company list, which was changed in the conventional way, each time, and search from multiple terminals at the same time. Even when the database is searched and expanded by processing operations, it is possible to always perform automatic matching with the latest affiliated company list.

[0014]

As described above, according to the present invention, when a transaction occurs, the customer and the caution customer data, the customer affiliated company and the data that records the affiliated company system, etc. are automatically collated. It is possible to quickly and automatically determine whether the customer is a caution customer or a customer who corresponds to insider trading.

[Brief description of drawings]

FIG. 1 is an explanatory diagram showing a configuration of a first embodiment of a system of the present invention.

FIG. 2 is a processing flow chart when a transaction occurs according to the first embodiment.

FIG. 3 is an explanatory diagram showing a configuration of a second embodiment.

FIG. 4 is a processing flow chart when a transaction occurs according to the second embodiment.

FIG. 5 is a configuration explanatory diagram of a first example of a conventional system.

FIG. 6 is a process flow chart when a transaction occurs according to the first conventional example.

FIG. 7 is an explanatory diagram of a configuration of a second example of the conventional system.

FIG. 8 is a processing flow chart when a transaction occurs according to the second conventional example.

[Explanation of symbols]

A, A ₁ , A ₂ , A ₃ Trading information AT Stock trading information table B ₁₁ , B ₁₂ , B ₁₃ Caution customer information BT ₁ Caution customer information table DB database C, C ₁ , C ₂ , C ₃ Customer code TD terminal Equipment B ₂₁ , B ₂₂ , B ₂₃ affiliated company information BT ₂ affiliated company information table

Claims (1)

[Claims] 1. A security comprising a table having several types of information retrieval keys for each customer, a database comprising a data group corresponding to the values of the respective retrieval keys, and a terminal device accessing the database via the table. In the business support system, by inputting and setting a data group in which attention customers, affiliated company systems, etc. are recorded, when a transaction with a customer occurs thereafter, the attention customer data, Securities with an accident prevention function characterized by automatically matching with the data that records the customer's affiliated company / affiliated company system, and if the customer is a customer listed in the list, the transaction is canceled in advance. Business support system.