TWM656265U - Securities Dealer Screening System - Google Patents

Abstract

A securities broker screening system is applicable to an investment unit of a bank and a computer device of the investment unit, and includes a processing device, a communication device electrically connected to the processing device, a management database, and a stock database. When the processing device receives an order instruction from the computer device via the communication device, the processing device performs calculation and screening based on a plurality of order rules stored in the management database, a plurality of stock stock data stored in the stock database, and the order instruction, and determines an order recommendation decision, and generates a report form based on the order recommendation decision, and returns the report form to the computer device via the communication device, so as to provide the investment unit with a suitable and compliant order decision.

Description

Securities Dealer Screening System

The present invention relates to a securities broker selection system, and more particularly to a securities broker selection system that automatically determines appropriate and compliant order placement decisions.

For general financial institutions (such as banks), their investment units or departments generally cooperate with many securities firms, so when the investment units or departments decide to buy or sell stocks, how to choose the securities firm to place the transaction order is obviously an important issue. In other words, whether there is a securities firm screening system to realize the order decision has become a problem to be solved.

Therefore, the purpose of the present invention is to provide a securities broker screening system that can automatically determine appropriate and compliant order placement decisions.

Therefore, the present invention provides a securities dealer screening system, which is applicable to an investment unit of a bank and a computer device of the investment unit, and includes a communication device, a management database, a stock database, and a processing device.

The communication device is used to provide network connection. The management database stores a plurality of order rules. The inventory database stores a plurality of stock codes and a plurality of stock holdings respectively corresponding to the investment unit of the bank, and a plurality of stock inventory data respectively in a plurality of securities firms.

The processing device is electrically connected to the communication device, the management database, and the inventory database. When the processing device receives an order instruction from the computer device via the communication device, the processing device performs calculation and screening based on the order rules stored in the management database, the stock inventory data stored in the inventory database, and the order instruction, and determines an order suggestion decision, generates a report form based on the order suggestion decision, and transmits the report form back to the computer device via the communication device.

In some implementations, the order rules correspond to multiple trading rules of the securities firms, multiple trading regulations of the securities firms, or multiple trading regulations of the securities firms.

In some embodiments, each of the stock inventory data includes at least one of the stock codes and at least one stock inventory quantity corresponding to at least one of the stock codes. The sum of the stock inventory quantities of each of the stock inventory data corresponding to the same stock code is equal to the stock holding quantity.

In some embodiments, the order instruction includes a buy instruction or a sell instruction, and a trading stock code, a total trading stock quantity, and a trading stock price. The order suggestion decision includes the buy instruction or the sell instruction and the trading stock code, a trading stock quantity, and the trading stock price to be executed by each of the at least one securities firm. The sum of each trading stock quantity is equal to the total trading stock quantity.

In some embodiments, the notification form includes the buy order or the sell order to be executed by each of the at least one securities dealer, the trading stock code, the trading stock quantity, the trading stock price, whether a stock transfer is required, and the update of the stock codes, the stock holdings, and the stock inventory data after the execution of the buy order or the sell order.

The function of the present invention is that the processing device can generate the notification form by calculating and screening according to the order rules, the stock inventory data, and the order instructions to answer whether it is necessary to process stock transfers, update the stock inventory data of each securities firm after buying or selling, the number of individual stocks that can be ordered, and other statistical information, so as to provide the investment unit with appropriate and compliant order decisions.

Before the present invention is described in detail, it should be noted that similar components are represented by the same reference numerals in the following description.

Referring to FIG. 1 , an embodiment of the novel securities broker screening system is applicable to an investment unit of a bank and a computer device 5 of the investment unit, and includes a communication device 4, a management database 2, an inventory database 3, and a processing device 1.

The communication device 4 is, for example, a chip or device that supports wired network technology (such as Ethernet) or wireless network technology (such as Wi-Fi), and is used to provide network connection. The management database 2 stores multiple order rules. The inventory database 3 stores multiple stock codes and multiple stock holdings held by the investment unit of the bank and corresponding to each other, and multiple stock inventory data of multiple securities firms. In this embodiment, the management database 2 and the inventory database 3 are, for example, one or more hard disks, and in other embodiments, the management database 2 and the inventory database 3 can also be storage servers.

In more detail, the order placement rules correspond to multiple trading rules, multiple trading regulations, or multiple trading laws of the securities firms. For example, the order placement rule is that the order ratio (such as the proportion relative to the total amount) at each securities firm each year or quarter cannot exceed a predetermined value, or that the stock must have a sufficient inventory quantity at the securities firm to execute the sale. Each of the stock inventory data includes at least one of the stock codes and at least one stock inventory quantity corresponding to at least one of the stock codes. The sum of the stock inventory quantities of each of the stock inventory data corresponding to the same stock code is equal to the stock holding. In other words, the same stock may be in a single securities firm or may be scattered among multiple securities firms.

When the investment unit wants to execute a transaction, an order instruction is sent to the securities dealer screening system through the computer device 5. More specifically, the order instruction includes a buy instruction or a sell instruction, a trading stock code, a total trading stock quantity, and a trading stock price.

When the processing device 1 receives the order instruction from the computer device 5 via the communication device 4, the processing device 1 performs calculation and screening according to the order rules stored in the management database 2, the stock inventory data stored in the inventory database 3, and the order instruction, and determines an order suggestion decision. More specifically, the order suggestion decision includes the buy instruction or the sell instruction to be executed by each of the at least one securities firm and the trading stock code, a trading stock quantity, and the trading stock price. The sum of each trading stock quantity is equal to the total trading stock quantity, that is, the sum of the trading stock quantities to be bought or sold by a single securities firm or multiple securities firms is equal to the total trading stock quantity of the order instruction.

The processing device 1 also generates a report form according to the order suggestion decision, and transmits the report form back to the computer device 5 via the communication device 4. More specifically, the report form includes the buy order or the sell order to be executed by each of the at least one securities dealer, the transaction stock code, the transaction stock quantity, and the transaction stock price, whether stock remittance is required, and the update of the stock codes, the stock holdings, and the stock inventory data after the execution of the buy order or the sell order.

In summary, the processing device 1 can generate the notification form by calculating and screening according to the order rules, the stock inventory data, and the order instructions to answer whether it is necessary to process stock transfers, update the stock inventory data of each securities firm after buying or selling, and the statistical information such as the number of individual stocks that can be ordered, so as to provide the investment unit with appropriate and compliant order decisions. Therefore, the purpose of this novel technology can be achieved.

However, the above is only an example of the implementation of the present invention, and it cannot be used to limit the scope of the implementation of the present invention. All simple equivalent changes and modifications made according to the scope of the patent application of the present invention and the content of the patent specification are still within the scope of the present patent.

1: Processing device 2: Management database 3: Inventory database 4: Communication device 5: Computer equipment

Other features and functions of the present invention will be clearly presented in the implementation method of the reference diagram, in which: Figure 1 is a block diagram illustrating an implementation example of the present invention's securities broker screening system.

1: Processing device

2: Manage database

3: Inventory database

4: Communication device

5: Computer equipment

Claims (5)

A securities broker screening system is applicable to an investment unit of a bank and a computer device of the investment unit, and includes: A communication device for providing network connection; A management database for storing multiple order rules; A stock database for storing multiple stock codes and multiple stock holdings held by the investment unit of the bank and corresponding to each other, and multiple stock stock data of multiple securities brokers; and A processing device is electrically connected to the communication device, the management database, and the inventory database, wherein when the processing device receives an order instruction from the computer device via the communication device, the processing device performs calculations and screening based on the order rules stored in the management database, the stock inventory data stored in the inventory database, and the order instruction, and determines an order suggestion decision, generates a report form based on the order suggestion decision, and transmits the report form back to the computer device via the communication device. A securities broker screening system as described in claim 1, wherein the order rules correspond to multiple trading rules, multiple trading regulations, or multiple trading regulations of the securities brokers, respectively. A securities broker screening system as described in claim 2, wherein each of the stock inventory data includes at least one of the stock codes and at least one stock inventory quantity corresponding to at least one of the stock codes, and the sum of the stock inventory quantities of each of the stock inventory data corresponding to the same stock code is equal to the stock holding quantity. A securities broker screening system as described in claim 3, wherein the order instruction includes a buy instruction or a sell instruction, and a trading stock code, a total trading stock quantity, and a trading stock price, and the order recommendation decision includes the buy instruction or the sell instruction and the trading stock code, a trading stock quantity, and the trading stock price to be executed by each of the at least one securities broker, and the sum of each trading stock quantity is equal to the total trading stock quantity. A securities broker screening system as described in claim 4, wherein the notification form includes the buy order or the sell order to be executed by each of the at least one securities broker, the trading stock code, the trading stock quantity, the trading stock price, whether a stock transfer is required, and the update of the stock codes, the stock holdings, and the stock inventory data after the execution of the buy order or the sell order.

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