KR20000072297A - Securities settlement system using network and method thereof - Google Patents

Abstract

PURPOSE: A method for securities settlement using network is provided to create operating server that mutually connected each other by using an investment organization server, a securities firm server, and a trust bank server and to efficiently exchange the securities payment data between the above servers. CONSTITUTION: A method for securities settlement using network is composed of reception, transmission, and settlement. A securities firm server receives securities settlement information from a securities firm's main computation device(S10). The securities firm server transmits the securities settlement information to an operating server(S12). The operating server receives operation command data and standard price information that have been sent from investment organizations(S28). The operating server sends the operation command data and the standard price information to the securities firm server and the trust bank server(S30). The securities firm server and the trust bank server receive the transmitted data and information(S32). The trust bank server loads the received operation command data on the trust bank's main computation device(S34). The trust bank server and the securities firm server send and receive the fund and securities settlement information through the operating server(S36). The trust bank server and the securities firm server print the fund and securities settlement information for settlement purposes(S38).

Description

Securities settlement system using network and method

The present invention relates to a system and method for computerizing business for securities settlement by trading securities between investment institutions, securities companies, and trust banks using a network. More particularly, the present invention relates to a system and a method for performing securities settlement while a securities company server, an investment institution server, and a trust bank server each having a transmission / reception message queue, transmit and receive securities payment data via an operator server.

In the current securities settlement system, after securities trading, the securities company sends the trading report to FAX for the settlement, and the investment agency manually distributes the trading volume to the FUND. The operating instructions are sent by FAX, etc. for the purpose of settlement of funds for real money with the securities company and management of FUND trust. Since the securities company does not know the settlement bank after the transaction report is sent, the next day investment institution asks the settlement partner bank information by wire currency method and finally negotiates the settlement method by making a wire call with the trust bank on the settlement date.

When trading securities, cash is settled with the bank, but securities are processed manually by entering payment information into the SAFE terminal of the Securities Depository. As mentioned above, the domestic securities trading settlement business is extremely low level due to overall manual labor, productivity decrease, and errors caused by manual labor. In other words, even in the B2B transactions of securities, the actual settlement part remains manual, which leads to errors and inefficiencies when the workload increases.

The present invention is to solve the problem of the securities settlement method between the conventional investment institution, the securities company and the trust bank, the object of the present invention is interconnected by using the network with the investment server server, the securities company server and the trust bank server. It is provided with an operator server, and provides a system and a method for allowing the operator server to exchange the securities settlement data between the investment institution server, the securities company server and the trust bank server efficiently.

As a technical idea for achieving the object of the present invention, the analysis of the workflow of the work, rather than the functional integration of the existing delivery media (FAX, E-Mail, Telex) should be premised. Do not keep company data in a database on the operator server. That is, after the data is delivered to the receiver, no data should remain on the operator server. The present invention includes an investment server server, a securities company server, and an operator server connected to a trust bank server through a network. Generating the conclusion data in the company server and transmitting the conclusion data to the operator server; transferring the conclusion data received from the operator server to an investment institution server and a trust bank (foreign person) server; Allocating each management fund and generating management instruction data to send to the operator server for transmission to the trustee bank and securities company; transmitting the received management instruction data from the operator server to the trust bank server and the securities company server; Based on the operational instruction data, the trust bank specifies how to settle the funds. Over the securities company server this step, the received payment instructions with the network comprises the step of transmitting the data to the securities company server securities settlement system and method for transmitting to an operator server is provided to transmit the payment instruction data to.

1 is a schematic diagram of an embodiment of a system of the present invention.

2 is a schematic flowchart of an embodiment of a securities settlement method of the present invention.

3 is a flowchart illustrating a process of transmitting data from a securities company server among the embodiments of the securities settlement method of the present invention.

Figure 4 is a flow chart for the process of receiving data from the investment server server of the embodiment of the securities settlement method of the present invention.

5 is a flowchart illustrating a process of transmitting data from an investment server in an embodiment of a security settlement method of the present invention.

6 is a flowchart illustrating a process of receiving data from a trust bank server in an embodiment of a securities settlement method of the present invention.

7 is a flowchart illustrating a process of transmitting data from a trust bank server in an embodiment of a securities settlement method of the present invention.

8 is a flowchart illustrating a process of receiving data from a server of a securities company in an embodiment of a securities settlement method of the present invention.

<Description of Major Symbols in Drawing>

10; Operator Server 20: Securities Company Server

30: investment server server 40: trust bank server

24, 34, 44: transmission and reception medium means

11, 21, 31, 41: Application 12, 22. 32, 42: Database

13, 23, 33, 43: Message Queuing

Hereinafter will be described in detail with reference to the accompanying drawings for the configuration and operation of the embodiment of the present invention.

1 is a schematic configuration diagram of an embodiment of a securities settlement system of the present invention.

As shown in Fig. 1, an application program 11 for system operation such as data generation, data transmission and reception, a database 12 for storing various data, and an internet including a message queue 13 are provided. An operator server 10 having network communication means;

A securities company server 20 having an application program 21, a database 22, a message queue 23, and a FAX / TELEX / EMail 24 transmitting / receiving medium means and connected to the operator server via a network; ;

An investment institution server (30) having an application program (31), a database (32), a message queue (33), a FAX / TELEX / EMail (34) transmission and reception function, and connected to the operator server via a network;

The application 41, the database 42, the message queue 43, the FAX / TELEX / EMail 44 is configured to include a trust bank server 40 having a transmission and reception function and connected to the operator server via a network. .

The message queue 13 of the operator server 10 includes a transmission queue, a reception queue and an acknowledgment queue, and a message queue engine, and the database 12 includes a user database, a code database, and an address book.

Also, the message queue of the securities company server 20 includes a transaction data transmission queue, an operation instruction reception queue, and a payment instruction reception queue.

In addition, the message queue 33 of the investment institution server 30 includes a transaction data reception queue and an operation instruction transmission queue.

In addition, the message queue 43 of the trust bank server 40 includes an operation instruction reception queue and a payment instruction transmission queue.

The securities company server 20, the investment institution server 30 and the trust bank server 40 are all provided with transmission and reception means such as FAX, Telex, E-mail.

The securities company server 20 receives the trading data from the securities company main computer and transmits it to the investment institution server 30 through the operator server 10, and the investment authority server 30 receives the trading data. After allocating to the fund, the payment data for each fund is transmitted to the securities company server 20 and the trust bank server 40 through the operator server 10, and the settlement bank server receiving the payment data from the operator server 10 ( 40 and the securities company server 30 is a system for completing payment while transmitting and receiving payment information.

2 is a schematic flowchart of an embodiment of a securities settlement method of the present invention.

Receiving the securities trading data from the securities company main computer in the securities company server (S10),

Transmitting, by the securities company server, the securities trading data to an operator server (S12);

Receiving the sales data transmitted from the securities company server in the operator server (S14),

Transmitting the transaction data from the operator server to an investment institution server (S16);

Receiving the sales data sent from the operator server in the investment institution server (S18),

Distributing trading data received from the investment server server to each fund (S20);

Uploading fund distribution data and trading data to the investment computer main computer in the investment institution server (S22);

Receiving the operation instruction data for each fund from the host computer in the investment institution server (S24),

Transmitting operation instruction data and reference price information to the operator server at the investment institution server (S26);

Receiving operation instruction data and reference price information transmitted from an investment server at the operator server (S28);

Transmitting the operation instruction data and reference price information from the operator server to the securities company server and the trust bank server (S30);

Receiving operation instruction data transmitted from an operator server at the trust bank server and a securities company server (S32);

Loading the received operation instruction data from the trust bank server to the trust bank main computer (S34);

Transmitting and receiving payment and securities payment information through the operator server in the trust bank server and the securities company server (S36);

And extracting funds and securities information for settlement in the trust bank server and the securities company server (S38).

Since the operator server does not store the data transmitted from each server, the received data is transmitted to the corresponding server, and then the transmitted data does not remain in the operator server.

As can be seen in the embodiment of Fig. 2, the securities company server generates the sales data and transmits the data to the operator server, and transfers the sales data received from the operator server to the investment institution server and the trust bank (foreign person) server. By allocating the securities sold by the investment institution server for each operation fund, generating the operation instruction data and sending it to the operator server for transmission to the trust bank and the securities company, and the received operation instruction data from the operator server to the trust bank server. And to the securities company server, and on the basis of the operation instruction data, the trust bank specifies the payment method of the funds and sends it to the operator server to transmit the payment instruction data to the securities company server, and transmits the received payment instruction data. The embodiment of the present invention is completed by sending to the securities company server.

The embodiment of FIG. 2 is an embodiment of a state where an operator server, a securities company server, an investment institution server, and a trust bank server are connected to a network to transmit and receive data. However, it further includes data transmission / reception means such as fax / telex / email or the like regardless of the network connection status. That is, in the state where the network connection is completed, as shown in the embodiment of FIG. 2, data transmission or reception may be used together with the following transmission / reception medium means.

When utilizing the transmission and reception medium means,

Transmitting, by the securities company, the securities trading data to FAX / TELEX / EMail of an investment institution and a consignment bank (foreigner);

Transmitting, at the investment institution, the operation instruction data to FAX / TELEX / EMail of a trust bank and a securities company;

And transmitting and receiving by FAX / TELEX / Email between the trust bank and the securities company.

3 to 8 are detailed flowcharts for each step of FIG. 2 which is an embodiment of the securities settlement method of the present invention. In other words, the procedure implemented by the application program provided in the securities company server, the investment server server and the trust bank server.

3 is a flowchart illustrating a process of transmitting trading data data generated by a securities company server to an operator server and transmitting the same from the operator server to the server in the embodiment of the securities settlement method of the present invention.

In step S100, when a SAM file is created in a host system of a securities company in accordance with a file of a specific data format set as a standard on the operator server side, the end user of the securities company prepares to load it into a transmission database of the securities company server;

(S105) loading the SAM file downloaded from the securities company host into a transmission database of the securities company server while verifying data consistency;

Storing the loaded SAM file in a securities company's transmission database (S110);

Modifying the loaded SAM file or adding data (S115);

Step (S120) of confirming the data to be transmitted for each destination before transmission of the data loaded from the transmission / reception manager screen of the client terminal that is dependent on the securities company server (S120);

In step S125, a transmission key is input on the transmission / reception manager screen to collectively or individually transmit data and FAX / TELEX / EMail.

Determining, by the securities company server, a receiving medium (means) of a destination after the transmitting command (S130);

Judging the receiving medium, creating and transmitting a data type suitable for the medium (S135);

Confirming the transmission result (S155);

Outputting a normal processing message on the transmission and reception manager screen when the transmission result is confirmed in the transmission result checking step, and ending; outputting an error message on the transmission and reception manager screen when a transmission error occurs (S160). It includes.

The destination receiving medium determination step (S130) is a step of checking the destination equipment for each destination registered in the destination database of the operator server.

The step of transmitting for each receiving medium (S135) includes the step of editing and transmitting a notification report in the form of a fax / telex medium when the receiving medium is a fax / telex (S140);

Transmitting using the message queue transmission queue when the reception medium is data (S145);

If the receiving medium is an e-mail, a step of creating a report as an e-mail attachment and transmitting the e-mail is included.

Figure 4 is a flow chart for the process of receiving data from the investment server server of the embodiment of the securities settlement method of the present invention.

(S200) receiving the transaction data transmitted from the securities company server from the operator server to the message queue of the investment institution server;

A receiving message processing step of storing the received data in a receiving database and simultaneously transmitting a receiving status message to a transmission / reception manager screen which is a terminal dependent on the investment institution server;

Outputting a reception status message on a screen of the transmission / reception manager terminal (S220);

Storing data in a reception data storage device of the investment institution server (S230);

The automatic distribution step for each fund (S260) is a step of the fund manager of the investment institution to distribute the number of conclusions for each item managed by the securities company (S240) and storing the distributed data in the distribution database ( S250), and an automatic distribution program is a step of automatically allocating the amount of payment by fund using the distribution database (quantity distribution for each fund) and the reception database (sales details).

And generating the SAM file as a SAM file and uploading it to the host system of the investment institution (S270).

5 is a flowchart illustrating a process of transmitting data generated by an investment server to an operator server and transmitting from the operator server to a trust bank / securities company server in the embodiment of the security settlement method of the present invention.

When the SAM file is created in the host system of the investment institution in accordance with a file of a specific data format set as a standard on the operator server side, the end user of the investment institution prepares to load the transmission database of the investment institution server (S300),

Loading the SAM file downloaded from the investment institution host into a transmission database of the investment institution server while verifying data consistency (S305);

Storing the loaded SAM file in a transmission database of an investment institution (S310);

Modifying the loaded SAM file or adding data (S315);

(S320) final checking before transmission while inquiring by the destination the data loaded on the transmission and reception manager screen of the investment institution server,

(S325) performing a command to transmit data collectively or individually by inputting a transmission key on the transmission and reception manager screen;

Determining, by the investment institution server, a receiving medium (means) of a destination after the transmission command (S330);

Determining the receiving medium, creating and transmitting a format suitable for the medium (S335);

Confirming the transmission result (S355),

Outputting a message on the transmission / reception manager screen when the transmission result is confirmed to be normally transmitted in the transmission result checking step, and outputting the message on the transmission / reception manager screen when the transmission error is confirmed, and performing retransmission (S360). .

The destination receiving medium determination step 330 is a step of checking the receiving device for each destination registered in the destination database of the investment institution server.

The step of transmitting for each receiving medium (S335) comprises the steps of editing and transmitting a notification report in the form of a fax / Telex medium when the receiving medium is a fax / Telex (S340),

Transmitting using the message queue transmission queue when the reception medium is data (S345);

If the receiving medium is an e-mail, a report is created as an e-mail attachment and a step of transmitting by e-mail is included.

6 is a flowchart illustrating a process of receiving data from a trust bank server in an embodiment of a securities settlement method of the present invention.

Receiving the operation instruction data sent from the investment server server to the message queue of the trust bank server through the operator server (S400),

A receiving message processing step of storing the received data in a receiving database and simultaneously transmitting a receiving status message to a transmission and reception manager screen (S410);

Outputting a reception status message on a screen of the transmission / reception manager terminal (S420);

Receive data storage device (S430) of the investment institution server,

Checking the received data of the operation instruction of the investment institution based on the stored data and outputting a report (S440);

And generating the operation instruction data as a SAM file and uploading it to the host system of the trust bank (S450).

7 is a flowchart illustrating a process of transmitting data generated by a trust bank server to an operator server and transmitting the data generated by the trust bank server to the corresponding server in the embodiment of the security settlement method of the present invention.

If the SAM file is created in the host system of the trust bank according to the file of the specific data format set as standard on the operator server side, the end user of the trust bank prepares to load the transmission database of the trust bank server (S500),

Loading the SAM file downloaded from the trust bank server into a transmission database of the trust bank server while verifying data integrity (S505);

Storing the loaded SAM file in a transmission database of a trust bank server (S510);

Modifying the loaded SAM file or adding data (S515);

(S520) final checking before transmission while inquiring by the destination the data loaded on the transmission and reception manager screen of the trust bank server (S520);

In step S525, a transmission key is input in the transmission and reception manager screen to collectively or individually transmit data.

Determining, by the trust bank server, a receiving medium (means) of a destination after receiving the transmitting command (S530);

Determining the receiving medium, creating and transmitting the received medium (S535);

Confirming the transmission result (S555),

Outputting a message on the transmission and reception manager screen when the transmission result is confirmed to be normally transmitted in the transmission result checking step, and outputting the message on the transmission and reception manager screen when the transmission error is confirmed, and performing retransmission (S560). .

The destination receiving medium determination step (S530) is a step of checking the receiving device for each destination registered in the destination database of the trust bank server.

The step of transmitting for each receiving medium (S535) includes the step of editing and transmitting a notification report in the form of a fax / telex medium when the receiving medium is a fax / telex (S540);

Transmitting using a message queue transmission queue when the reception medium is data (S545);

If the receiving medium is an e-mail, a step of creating a report as an e-mail attachment and transmitting the e-mail is included.

8 is a flowchart illustrating a process of receiving data from a server of a securities company in an embodiment of a security payment method of the present invention.

Receiving a message queue provided in the securities company server when the data sent from the operator server in the securities company server (S600),

A received data processing step (S610) of transmitting the received data to the reception database of the securities company server and transmitting the reception status to the screen of the receiver terminal;

Outputting a reception status message received at the receiver terminal (S620);

Storing the received data in a reception database of a securities company server (S630);

Outputting a report to process a water settlement business with a trust bank based on the stored data (S640);

And generating a SAM file for securities settlement using the Securities Depository terminal based on the stored data (S650).

The protection scope of the present invention is not limited to the embodiments related to the securities settlement system and method using the network of the present invention described above, and includes various embodiments included in the technical idea of the present invention.

As described above, in the present invention, the trading company data is generated from the securities company server and transmitted to the operator server, and the trading data received from the operator server is transferred to an investment institution server and a trust bank (foreign person) server, The investment institution server allocates the traded securities for each operation fund, generates operation instruction data, and sends it to the operator server for transmission to the trust bank and the securities company. The received operation instruction data is transmitted from the operator server to the trust bank server and the securities company. And transmits the received payment instruction data to the operator server in order to transmit the payment instruction data to the securities company server, specifying the method of payment of funds based on the operation instruction data. Securities settlement business between investment institution and securities company by sending to server Is made in real time, there is an effect to improve the inconvenience and inefficient work by manual work.

Claims (17)

A securities settlement method using a network system having a securities company server, an investment institution server, and an operator server connected to a trust bank server through a network, Receiving securities company sales data from the securities company main computer at the securities company server; Transmitting, by the securities company, the securities trading data to an investment institution; Receiving transaction data sent from a securities company at the investment institution; Distributing the received sales data to each fund at an investment server; Uploading fund distribution data and trading data to the investment computer main computer at the investment server; Receiving the fund-specific operation instruction data from the host computer at the investment institution server; Transmitting investment instruction data and reference price information of each fund to the securities company and the trust bank; Receiving operation instruction data transmitted from an investment institution at the trust bank and securities company; Loading the received management instruction data from the trust bank server to the trust bank main computer; Transmitting and receiving money payment information at the trust bank and securities company; Securities settlement method using the network comprising the step of extracting the payment information and securities settlement information for the settlement bank server and securities company server. The method according to claim 1, Receiving the sales data at the securities company server, Downloading a SAM file of a securities company's host system from a securities company server, which has been created in a specific data format defined by the operator server as a standard; Loading the SAM file downloaded from the securities company host system into a transmission database of the securities company server while verifying data consistency; Modifying the loaded SAM file or adding data; Securities settlement method using the network comprising the step of confirming the final data before the transmission while inquiring by the destination, the data loaded on the transmission and reception manager screen of the server. The method according to claim 1, Transmitting, by the securities company, the securities trading data to an investment institution; Performing a command for transmitting data collectively or individually by inputting a transmission key on a transmission / reception manager screen of the securities company server; Determining, by the securities company server, the reception medium (means) of the destination after the transmission command; Determining the receiving medium, creating and transmitting the corresponding medium; Confirming the transmission result; Outputting a message on the transmission / reception manager screen when the transmission result is confirmed to be normal in the transmission result checking step, and outputting the message on the transmission / reception manager screen when the transmission error is confirmed, and retransmitting the message. Securities settlement method using a network. The method according to claim 3, The reception medium (means) of the destination determined by the securities company server is Securities settlement method using a network, characterized in that data, fax / telex or e-mail. The method according to claim 4, When the receiving medium (means) is data, the transmission queue is used to transmit to the reception queue of the operator server, and in case of fax / telex or e-mail, the transmission medium is sent by fax / telex or e-mail. Securities settlement method using a network characterized by. The method according to claim 1, Receiving the sales data at the investment institution, Receiving data sent by the securities company via fax / telex or e-mail, or receiving the data through the operator server into the message queue of the investment institution server; A reception message processing step of storing the received data in a reception database and simultaneously transmitting a reception status message to a transmission / reception manager screen; Outputting a reception status message on a screen of the transmission / reception manager terminal; Storing the transmitted data in a reception database of an investment institution server; Automatically allocating transaction details by securities company based on the stored data; Securing the securities using the network, characterized in that for generating the SAM file automatically distributed by the fund to upload to the host system of the investment institution. The method according to claim 6, The fund automatic distribution step, The fund manager of the investment institution distributes the quantity of each item concluded by the securities company for each managed fund, and storing the distributed data in a distribution database, the distribution database (fund) A method of settlement of securities using a network, characterized in that the step of automatically allocating the amount of execution by fund using the distribution of quantity per each) and the reception database (decision details). The method according to claim 1, The step of transmitting data from the investment institution, Downloading the SAM file of the host system of the investor institution written in the specific data format set as standard on the operator server side to the investor institution server; Loading the SAM file downloaded to the investment institution server into a transmission database of the investment institution server while verifying data consistency; Storing the loaded SAM file in an investment institution transmission database; Modifying the loaded SAM file or adding data; Securing the securities using the network comprising the step of confirming before the transmission while the data loaded on the transmission and reception manager screen of the investment institution server for each destination. In the data transmission step of claim 8, Performing a command for transmitting data collectively or individually by inputting a transmission key on a transmission / reception manager screen of the investment institution server; Determining, by the investment institution server, a receiving medium (means) of the destination after the transmission command; Determining the receiving medium, creating and transmitting the corresponding medium; Confirming the transmission result; Outputting a message on the transmission / reception manager screen when the transmission result is confirmed to be normal in the transmission result checking step, and outputting the message on the transmission / reception manager screen when the transmission error is confirmed, and retransmitting the message. Securities settlement method using a network. The method according to claim 9, The receiving medium (means) of the destination determined by the investment institution server is Securities settlement method using a network, characterized in that data, fax / telex or e-mail. The method according to claim 10, If the receiving medium (means) is data, the transmission queue is used to transmit to the reception queue of the operator server. If the reception medium (means) is fax / telex or e-mail, it is sent by fax or telex or e-mail of a securities company or a consignment bank. Securities settlement method using a network, characterized in that for transmitting. The method according to claim 11, Receiving data at the trust bank, Receiving operation instruction data sent by the investment institution through fax / telex or e-mail, or via the operator server to the message queue of the trust bank server; A reception message processing step of storing the received data in a reception database and simultaneously transmitting a reception status message to a transmission / reception manager screen; Outputting a reception status message on a screen of the transmission / reception manager terminal; Checking the received data of the operation instruction of the investor based on the stored data and outputting a report; And generating the operation instruction data as a SAM file and uploading the data to a host system of a trust bank. The method according to claim 1, The step of processing a payment service in the trust bank server, Downloading the SAM file of the trustee's host system to the trustee bank server in the specific data format defined as standard on the operator server side; Loading the SAM file downloaded from the trust bank server into a transmission database of the trust bank server while verifying data integrity; Storing the loaded SAM file in a trust bank transmission database; Modifying the loaded SAM file or adding data; A step of final checking before transmission while inquiring by the destination the data loaded in the transmission / reception manager screen of the trust bank server; Performing a command for transmitting data collectively or individually by inputting a transmission key on the transmission and reception manager screen; Determining a receiving medium (means) of a destination after receiving the transmission command at the trust bank server; Determining the receiving medium, creating and transmitting the corresponding medium; Confirming the transmission result; Outputting a message on the transmission and reception manager screen when the transmission result is confirmed to be normally transmitted in the transmission result checking step, and outputting the message on the transmission and reception manager screen when the transmission error is confirmed, and performing retransmission. Securities settlement method using a network comprising a. The method according to claim 9, The receiving medium (means) of the destination determined by the trust bank server is Securities settlement method using a network, characterized in that data, fax / telex or e-mail. The method according to claim 14, When the receiving medium (means) is data, the transmission queue is used to transmit to the reception queue of the operator server, and in case of fax / telex or e-mail, the transmission medium is sent by fax / telex or e-mail. Securities settlement method using a network characterized by. An operator server including application programs for system operation such as data generation, data transmission and reception, a database for storing various data, and network communication means such as the Internet having a message queue; A securities company server having an application program, a database, and a message queue and connected to said operator server via a network; An investment institute server having an application, a database, and a message queue and connected to said operator server via a network; A trust bank server having an application, a database and a message queue and connected via a network with the operator server, The trading company data is generated from the securities company server and transmitted to the operator server. When the trading server data is received from the operator server and transmitted to the investment institution server, the investment institution server sends the money management instruction data to the trust bank server. Securities settlement system using a network, characterized in that for transmitting. The method according to claim 16, The securities settlement system using a network, characterized in that further comprising a fax / telex or e-mail means as a data transmission and reception medium (means) of the securities companies, investment companies and trust banks.