WO2001011529A1 - Systeme de gestion des informations relatives aux evenements d'investissement - Google Patents

Systeme de gestion des informations relatives aux evenements d'investissement Download PDF

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Publication number
WO2001011529A1
WO2001011529A1 PCT/US2000/021870 US0021870W WO0111529A1 WO 2001011529 A1 WO2001011529 A1 WO 2001011529A1 US 0021870 W US0021870 W US 0021870W WO 0111529 A1 WO0111529 A1 WO 0111529A1
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WO
WIPO (PCT)
Prior art keywords
investment
event
items
information
sponsor
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PCT/US2000/021870
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English (en)
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WO2001011529A9 (fr
Inventor
Alexis Kopikis
Paul Walborsky
David Marcus
Zenobia Moochhala
Paul Jaminet
Original Assignee
Worldstreet Corporation
Priority date (The priority date is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the date listed.)
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Publication date
Application filed by Worldstreet Corporation filed Critical Worldstreet Corporation
Priority to AU65361/00A priority Critical patent/AU6536100A/en
Publication of WO2001011529A1 publication Critical patent/WO2001011529A1/fr
Publication of WO2001011529A9 publication Critical patent/WO2001011529A9/fr

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    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q30/00—Commerce
    • G06Q30/02—Marketing; Price estimation or determination; Fundraising

Definitions

  • the invention is directed to methods and apparatus for managing information relating to the subject matter of events, such as systems, terminals, and methods for managing information related to events promoting the sale of financial services, products, and information to individuals such as investors.
  • the investment industry includes two broad sectors, an institutional sector and an individual sector.
  • the institutional sector is made up of broker/dealers of securities, such as the large Wall Street banks, brokers, and securities dealers, as well as investment firms, such as mutual fund companies, pension funds, endowments and foundations. Because of their usual respective roles in selling and buying securities, broker/dealers are generally referred to as the "sell-side" of the industry and investment firms are generally referred to as the "buy-side.”
  • a comparable split between brokers and investors exists on the retail side of the industry, except that investors are typically individuals rather than firms.
  • a key function of the sell-side firms is the creation and dissemination of investment information relating to the securities that they offer for sale.
  • Sell-side firms employ one group of employees, typically referred to as research analysts, to generate investment information, and another group of employees, typically referred to as salespersons, to disseminate that information to investors.
  • One manner in which sell-side firms generate investment information and/or disseminate it to investors is to organize events.
  • Event organizers typically extend invitations to an event by telephone, mail, or electronic mail.
  • the recipients typically respond via the same kinds of channels. These communications may be initiated or tracked using general-purpose personal information management software.
  • the invention features an investment event information management system that includes a number of investment event sponsor publishing interfaces located at a number of different sponsor sites. These each include entry areas for investment event items and anticipated times for the investment event items.
  • a number of investor interfaces are responsive to the investment event sponsor publishing interfaces and are located at at least one investor site. Each of them includes display areas for the investment event items associated with the anticipated times for the investment event items.
  • the system can include a communication interface to allow users to create communication items related to the investment event items.
  • the system can include an indexing system for storing and indexing the communication items as relating to the investment event items, and a retrieval system for retrieving the communication items for one or more of the investment items.
  • the communication interface can be operative to create communications to be sent and delivered within a same sponsoring location, and these communications can relate to sub- event items that are unavailable to the investor interfaces.
  • the communication interface can include a squawk box.
  • the system can also include number of investment event access control interfaces located at at least some of the different sponsor sites and each including controls for setting investor access levels associated with the investment event items, with the display areas of at least some particular ones of the investment interfaces being operative to display only an authorized subset of information items about the investment event items based on the access control entry for the investors using the particular ones of the investment interfaces.
  • the user access control interfaces can be operative to allow selection from a different access levels for each of a plurality of the sponsor sites.
  • the system can also include a report generator operative to collect information relating to investor usage of the investor interfaces.
  • the event sponsor publishing interfaces can be operative to publish a plurality of event types including conference calls, analyst meetings, roadshows, and conferences.
  • the events sponsor publishing interfaces can be operative to publish information about trips to be made by analysts, including sub-events on those trips.
  • the system can include an attachment management system to relate additional material to the investment event items.
  • the system can also include a selection profile entry interface that comprises selection profile generation controls for generating stored selection profiles including selection criteria for the investment event items.
  • the selection profile entry interface can allow for sharing of a selection profile created by a user of one of the investment interfaces with one or more users at at least one of the publisher sites.
  • the investor interfaces can include investor interfaces located at a plurality of different investor sites.
  • the system can also include an administration interface responsive to the investment event sponsor publishing interfaces and located at one or more administrative entity sites, with the investor interfaces being responsive to the investment event sponsor publishing interfaces through the administration interface.
  • the investor interfaces can be accessible through a public hypertext network.
  • the invention features an investment event information management method that includes receiving investment event items and anticipated times for the investment event items from investment event sponsor publishing interfaces located at different sponsor sites, and sending the investment event items to investor interfaces that each include display areas for the investment event items associated with the anticipated times for the investment event items.
  • the method can also include the step of categorizing and indexing the investment event items received in the step of receiving and associating by subject matter.
  • the method can further include the step of identifying featured ones of the event items for more prominent display.
  • the invention features an investment event information management system that includes data inputs from a plurality of investment event sponsor publishing interfaces located at a plurality of different sponsor sites.
  • An event database is responsive to the data inputs and includes event entries for storing event identifiers and anticipated event times for events from the plurality of investment event sponsor interfaces.
  • the system also includes data outputs to a plurality of investor interfaces each responsive to event entries from a plurality of the sponsor sites.
  • the event entries can store information about corresponding events or links to information about the corresponding events.
  • the event entries can also store subject matter categorization information for the events.
  • the subject matter categorization information can include geographic and sector categories.
  • the invention features an investment event information management system that includes means for receiving investment event items and anticipated times for the investment event items from investment event sponsor publishing interfaces located at different sponsor sites, means for indexing the investment event items received by the means for receiving, and means for sending the investment event items to investor interfaces that each include display areas for the investment event items associated with the anticipated times for the investment event items.
  • the invention features an investment event information management system that includes an investment event interface including display areas for investment event items associated with anticipated times for those events.
  • a communication interface is operative to allow users to create communication items related to the investment event items.
  • the system also includes an indexing system for indexing the communication items as relating to the investment event items, and a retrieval system for retrieving the communication items for one or more of the investment items based on indexing information from the indexing system.
  • the indexing system can be operative to also index the communication items according to subject matter categories.
  • the communication interface can comprise event-related response controls included in the investor interfaces.
  • the event-related response controls can include an RSNP control, an information request control, and a withdraw control.
  • a report generator can be operative to collect information relating usage of the event- related response controls to sponsor sites that sponsor events for which the event controls are used, and the report generator can be operative to break the usage information down according to subject matter categories.
  • the communication interface can be operative to issue alerts relating to the investment event items, and the alerts can include alerts for a plurality of the following occurrence types: newly published events, user-selected events due to occur in a predetermined amount of time, modified/rescheduled/cancelled events, and financial information related to user-selected events.
  • the invention features an investment event information management system that includes means for presenting event items associated with anticipated times for those events to a plurality of users, means for receiving communication items relating to the event items from the users, means for indexing the communication items as relating to the event items, and means for retrieving selected ones of the communication items based on indexing information from the means for indexing.
  • the invention features an investment event information management method that includes presenting event items associated with anticipated times for those events to a plurality of users, receiving communication items relating to the event items from the users, indexing the communication items as relating to the event items, and retrieving selected ones of the communication items based on indexing information from the step of indexing.
  • the invention features a data memory that includes an investment event information database including investment event entries from sponsoring organizations, and a user communication database linked to the investment event information database and including user communication entries for storing user communications linked to the investment event information items.
  • a background information item database can be linked to the investment event information database and includes background information entries linked to the event entries.
  • the invention features an investment information management system that includes data inputs from investment information sponsor publishing interfaces located at different sponsor sites, data outputs to investor interfaces each responsive to event records from a plurality of the sponsor sites, and a user access system including an access database that includes access entries for storing user identifiers and sponsor access identifiers, the access identifiers expressing an access level to which a corresponding user at one of the investor interfaces is entitled for information items from one or more of the plurality of investment information sponsor publishing interfaces.
  • the user access entries can express one of a plurality of different access levels for at least one of the plurality of investment information sponsor publishing interfaces.
  • the investment information can include investment event information
  • the system can include an event database responsive to the data inputs and including event entries for storing event identifiers and anticipated event times for events from the plurality of investment event sponsor interfaces.
  • the access control system can be operative to prevent particular investment interfaces from displaying any information about particular events.
  • the access control system can include timeliness controls to determine when particular investors will be able to access particular investment event items.
  • the access control system can also include investor group controls to control access for groups of investors.
  • the invention features an investment information management method that includes receiving investment information items from sponsor publishing interfaces located at different sponsor sites, storing sponsor access identifiers expressing an access level to which corresponding users are entitled for information items from one or more of the investment information sponsor publishing interfaces, verifying access rights of the users to the information items based on the access identifiers stored in the step of storing, and determining whether to allow users access to ones of the investment event items based on the step of verifying.
  • the invention features an investment information management method that includes means for receiving investment information items from sponsor publishing interfaces located at different sponsor sites, means for storing sponsor access identifiers expressing an access level to which corresponding users are entitled for information items from one or more of the investment information sponsor publishing interfaces, and means for verifying the access rights of the users to the information items and for determining whether to allow users access to the investment event items based on the access identifiers stored in the step of storing.
  • the invention features a data memory that includes an investment information database including investment information entries from sponsoring organizations, and a user access database linked to the investment information database and including user access entries for storing user identifiers and sponsor access identifiers, with the access identifiers expressing an access level to which a corresponding user at one of a plurality of investor interfaces is entitled for information items from one or more of the investment information sponsor publishing interfaces.
  • the user access entries can express one of a plurality of different access levels for each of the plurality of investment information sponsor publishing interfaces.
  • the system can include a background information item database linked to the investment event information database and including background information entries linked to the event entries.
  • the investment information entries can be investment event information entries for event identifiers and corresponding event times.
  • the system can include a user communication database linked to the investment event information database that includes user communication entries for storing user communications linked to the investment event information items.
  • the invention features an investment event information management terminal that includes an investment information interface including display areas for investment information items extracted from one or more information sources based on search criteria, an investment event interface including display areas for investment event items associated with anticipated times for those events, and a selection profile entry interface including selection profile generation controls for generating stored selection profiles including selection criteria for both the investment information items and the investment event items.
  • the selection profile entry interface can include user profile generation controls that use common selection criteria for the investment information items and the investment event items.
  • the selection profile entry interface can be a search profile interface and with the terminal including one or more search initiation controls to initiate searches for ones of the investment information items and ones of the investment event items.
  • the selection profile entry interface can be a user profile for use in extracting and displaying ones of the investment information items in the display areas of the investment information interface and for use in extracting and displaying ones of the investment event items in the display areas of the investment interface.
  • the invention features an investment event information management terminal that includes a market interface including display areas for market event items obtained from data feeds and anticipated times for those events, and a sponsor interface including display areas for sponsor event items received from sponsors and anticipated times for those events.
  • the terminal can include a common selection profile entry interface including user controls for generating profiles that include common selection criteria for the market event items and the sponsor event items.
  • the terminal can also include a user profile generation interface for use in generating user profiles to extract and display ones of the investment information items in both the market interface display areas and the sponsor interface display areas.
  • the invention features an investment event information management terminal that includes an investment event interface including display areas for investment event items associated with anticipated times for those events, and a selection profile entry interface including user profile generation controls that employ a plurality of selection criteria to select the investment event items.
  • the selection criteria can comprise subject matter categorization information, which can include geographic and sector categories.
  • Systems according to the invention may be advantageous in that they permit publishing users to organize and disseminate information about conferences efficiently. This is because publishing users need only interact with a single tool to announce and disseminate information about a variety of different event types. And because this single tool allows the announcements and information to be disseminated both within an organization and outside the organization, a number of communications and other subtasks related to an event can be simplified and tracked.
  • Systems according to the invention may also allow investors to efficiently manage their time. Because events from multiple sponsoring entities are viewable using the same tool, the user can quickly and easily choose between them. The user can then sign up for the event, retrieve more information about the event, or otherwise communicate about the event from within the same tool.
  • An integrated system also allows investors to restrict their scheduling activities to defined periods, instead of responding to a variety of calls, mailings, and/or e-mails at different times of the day.
  • Systems according to the invention may also enhance the value of event follow-up and other background materials. This is because these materials are available through the same system that is used to plan event attendance, and they can even be associated with or linked to other related research. With the materials easily accessible and in context, investors will be more likely to take advantage of them while they are focussed on their research activities. They will not need to make a mental note to review newly-received material later as they sift through the day's mail or e-mail, nor will they later need to sort through their desks or computers to find the materials when they need them.
  • Systems according to the invention may further be advantageous in that they provide general feedback to the sponsoring organizations about investor interest levels. This allows the publishing organizations to efficiently tailor the types of events they sponsor and the pitches they use to advertise them to their intended audience. This tailoring should result in investors being able to choose from events that will be more likely to be of interest to them.
  • publishing organizations can also tailor the types of information available to different users and the time at which this information becomes available. This can allow publishers to reward higher volume customers with more extensive and timely access to investment information. It can also can help to ensure that limited-attendance events will be attended by highly interested or otherwise preferred investors.
  • Fig. 1 is a block diagram of an event information management system according to the invention.
  • Fig. 2 is a flowchart illustrating operations of the system of Fig. 1 for a typical event
  • Fig. 3 A is a block diagram illustrating a broad breakdown of information sources for the system of Fig. 1;
  • Fig. 3B is a block diagram illustrating information provided by sponsors for events for the system of Fig. 1;
  • Fig. 4 is a block diagram illustrating publication of a user profile to publisher firms in the system of Fig. 1;
  • Fig. 5 is a block diagram illustrating report generation in the system of Fig. 1;
  • Fig. 6 is a block diagram illustrating search capabilities of the system of Fig. 1 ;
  • Fig. 7 is an update page for a first embodiment of the system of Fig. 1;
  • Fig. 8 is a event description text box for the first embodiment of the system of Fig. 1;
  • Fig. 9 is a top portion of a broker events page for the first embodiment of the system of Fig. i;
  • Fig. 10 is a top portion of a my events page for the first embodiment of the system of Fig. 1;
  • Fig. 11 is a top portion of a company page for the first embodiment of the system of Fig. 1;
  • Fig. 12 is a search page for the first embodiment of the system of Fig. 1;
  • Fig. 13 is a user entitlements page for the first embodiment of the system of Fig. 1;
  • Fig. 14 is an administrator entitlements dialog box for the first embodiment of the system of Fig. 1;
  • Fig. 15 is a home snapshot page for a second embodiment of the system of Fig. 1;
  • Fig. 16 is a viewing page for the second embodiment of the system of Fig. 1 showing the top of an article
  • Fig. 17 is the viewing page of Fig. 16 showing the bottom of the article shown in Fig. 16;
  • Fig. 18 is an edit watch list page for the second embodiment of the system of Fig. 1;
  • Fig. 19 is an equity snapshot page for the second embodiment of the system of Fig. 1;
  • Fig. 20 is an edit interests page for the second embodiment of the system of Fig. 1;
  • Fig. 21 is an add alert page for the second embodiment of the system of Fig. 1;
  • Fig. 22 is a search page for the second embodiment of the system of Fig. 1;
  • Fig. 23 is an equity search and view page for the second embodiment of the system of Fig. 1.
  • an event management system 10 can be made up of a number of sponsor firms systems 12, a number of investor firm systems 14, and an investment event management server 16.
  • each sponsor firm system is made up of a series of sponsor terminals 20 A ... 20N networked together and to a firewall 22.
  • each investor firm system is made up of a series of investor terminals 24 A ... 24N networked together and to a firewall 26.
  • the investment event management server can be located at one of the sponsor or investor sites, it is preferably operated by another organization.
  • the event management system can employ a web-based design, although other types of implementations are also possible.
  • the user terminals are personal computers that each run a standard operating system and a standard web browser.
  • a web browser presents Hypertext Markup Language (HTML) pages to its user. These pages include graphical elements such as text, images and video, as well as controls, such as hyperlinks, radio buttons and text boxes, which the user can interact with using his or her user input devices.
  • HTML Hypertext Markup Language
  • the event management server is a web server that is connected to the terminals via a public or private network. Web-based implementation is advantageous in that it allows for efficient deployment and upgrading of a system within an organization. When deployed on the World-Wide
  • the event management system can take the form of a private or public portal site.
  • operations for a typical event begin with the publication of the event by a publisher (step 100).
  • a publisher is a user who contributes information about events to the portal, and may be the sponsor or creator of the event, or an associate of the sponsor or creator.
  • publishers work on behalf of sell-side firms or corporations. Most often, publishers either specialize in the organization of events (e.g., a roadshow organizer at a syndicate desk) or create events as a regular part of their jobs (e.g., an analyst who conducts conference calls with corporate executives).
  • Publication of an event includes providing event-related information to the event management system as well as setting up entitlements for the event. Publication can also include the sending of a broadcast message, such as by email. The event publisher can also contribute publisher information.
  • Publisher information can include event details, such as itineraries, "things to do", and descriptions of local hotels and restaurants. Publisher information may also include investment information contributed by the publisher, such as information about companies concerned with the event. It may also include research reports, corporate financials, and analyst information, such as recommendations or earnings estimates or valuation models. This information can be provided by relating arbitrary files, including executable programs, to an event, such as by HTML linking. This gives entitled users access to archives of information about past and future events.
  • Publishers also categorize each event by investor interest categorization information.
  • Investor interest categorization information is an important part of the system, enabling the system to identify the investor interests to which an event or market information is related.
  • Categorization information includes, but is not limited to:
  • a conference call by an analyst with a Microsoft executive would be categorized by company Microsoft, and possibly by other companies. For instance, if the Microsoft executive mentioned that Microsoft was considering a joint venture with IBM, the conference call would be categorized as belonging to the IBM category as well.
  • These users can include employees of the publishing firm as well as clients, although access to information about the event may be different for different "tiers" of clients, who can be scheduled to obtain access to different amounts of information at different times. Investors are invited to register interest in the event, or accept the invitation (RSNP) if they want to attend.
  • RSNP invitation
  • coordinators perform a number of pre-event tasks.
  • Coordinators are users who work at a publishing firm and specialize in dealing with investors. Typically, coordinators are brokerage firm salespeople, but they can also be secretaries, public relations experts, or other types of employees.
  • a list of coordinators is generated dynamically from sell-side personnel interest profiles and the interest categorization of the event, and the list is then edited by the publisher.
  • Pre-event tasks include the coordination of event-related activity within the sponsor firm (step 102), dissemination of event- related information to investors (step 104), contacts with investors (step 106), registration of investors (step 108), and confirmation of registration.
  • Coordination of event-related activity within the sponsor firm can include communication by the publisher about the event to other coordinators within his or her firm (step 102).
  • This communication may take the form of initial sub-events, such as a teach-in. It can also take the form of an electronic communication placed through one of various mechanisms, such as a squawk interface, a notes system, or e-mail distribution list that can be derived from user profiles.
  • the coordinators will also contact investors (i.e., their clients) about the event (steps 104, 106). These contacts can be made by telephone or electronic mail, or by any other suitable method. They may be made as part of a routine sales call or they may be made in response to requests made by investors using the system for further information. Contacts may also be made in response to knowledge that the targeted investor is interested in a particular geographic area, sector, or company, and this information can be derived from the investor's profile if he or she has chosen to share it with the publishing organization. A central record of contacts relating to the event may be kept, as can be a database of invitees who have accepted, invitees who have declined, and invitees who have not responded. These can be accessed by publishers and coordinators.
  • the response is stored in the central database of attendees.
  • the RSNP also triggers an alert to both the publisher and the coordinator for the investor.
  • invitations are issued to some investors and others are denied invitations (step 110). These final invitations may be called “confirmations.” If an investor is denied an invitation, the coordinator for the investor can contact them. Managers or coordinators personally decide who receives invitations and who doesn't. Registered investors may also withdraw from events. In such cases, both the coordinator and publisher are notified.
  • Publishers may also cancel or reschedule events. In such cases, registered and/or confirmed investors will be notified. For rescheduled events, a broadcast message to the originally-used broad list of investors is generally best repeated, so that investors who could't attend previously may now have the option of attending.
  • Communications between the various users consist primarily of alerts (where synchronous notification is preferred) and squawks or notes (where asynchronous communication is preferred). Communications generally proceed from one user to others at the same firm, from publishers to investors, or from publishers to event attendees.
  • event-related information may be communicated to attendees or other investors who could not attend but requested information.
  • These can include copies of conference presentations, videotapes of meetings, and/or recordings of conference calls. These materials can also be added to the system database, allowing users to search them.
  • information stored in the system database is derived from three sources: publishers, market sources, and users.
  • Publishers contribute information relating to events, including event entitlements and access privileges, event-related information, as well as investor interest categorization information. They also contribute investment information, such as analyst reports and research notes, categorized according to the investor interest categorization information.
  • Market sources include market events and market investment information.
  • Market events can have entitlements and access privileges, event-related information, and they can be categorized according to the investor interest categorization information.
  • Market investment information can also be categorized according to the investor interest categorization information.
  • User profiles consist of some or all of the following:
  • Fig. 4 Investors may share their user profiles with one or more publishers, enabling them to offer better support (see Fig. 4). This can be accomplished with special-purpose controls within the application or by another suitable method, such as an e-mail transfer of a profile file.
  • event sponsors provide a number of items of investment information to the system database for each event.
  • the database stores these items in fields in a record for the event.
  • the fields include access privilege and entitlements, details and attachments, and investor interest categorization information.
  • the database can be a single database, or it can be made up of a number of related databases, which can be distributed across machines.
  • systems according to the invention can include report generators to enable generating reports to publishers or investors.
  • a report generator may be a software module that accesses the system database and/or its web server logs and that generates a number of reports from those sources. Reports can include global reports, firm-specific reports, and user-specific reports to be provided to publisher firms, and investor reports to be provided to investor firms.
  • reports to be provided to publisher firms include figures and statistics on events such as: hit rates (what events are investors looking at), acceptance rates on invitations (by event type, by publisher, by investor, by sector, company, analyst, or specific event), status reports for specific investors, history of activities by client, and comparisons of statistics for their own events versus events from other publishing firms.
  • Reports to be provided to investor firms include lists of events in which investors at the firm are interested, and lists of invitations that were accepted. Reports can be generated by the administering organization and sent to the buy-side and sell-side firms, or they can be automatically generated as web pages upon request by interested buy- side or sell-side users.
  • the system has two general types of search capabilities: ad hoc searching and automatic filtering.
  • Automatic filters are defined by user profiles, and are based on the investor interest categorization information. They are generally used to filter the data displayed on a web page served by the system.
  • Ad hoc searches are user-entered or prerecorded expressions that can be used to search sponsor-supplied data and market-supplied data, and may be based on the investor interest categorization information and/or a number of keywords, as discussed below. Both types of searching enforce user access rights.
  • a first embodiment of an investment event management system includes six primary viewable areas, screens, or pages that are accessible to the user through a tab control interface. These include an update page, a broker events page, a my events page, a company page, a search page, and a user entitlements page. While this embodiment employs a tab-based user interface and underlined links to allow navigation between a particular set of pages that display both data and controls in different ways, embodiments that incorporate features of the invention can be implemented in a variety of ways. Referring to Fig. 7, the update page displays a list of all events of all types posted in the last 24 hours to the system by sell side firms.
  • Each list entry includes an event-type icon, a headline field, a date field, a time field, a location field, and a sponsoring firm field.
  • the event-type icon and the headline field are active links that both bring the user to a pop-up box containing specific information about the event.
  • the event pop-up box includes fields for the event type, a title, date and time, a sponsor, one or more locations, participants, analysts, description, and attachments.
  • the attachments include categories (e.g., sector and ticker symbol, if applicable) and contact information.
  • the attachments can also include links to background and/or follow-up material.
  • the contact's email address is an active e-mail link to the person designated as a contact for the project.
  • a list of sub-events or event particulars may also be included.
  • the event pop-up box also includes an "add to my events" link. Actuating this link allows a user to accept the invitation to attend, which initiates two actions. The first is to convey an acceptance message to the publisher (e.g., an RSVP e-mail), and the second is to cause the event to appear in the "my events" page (see Fig. 10 and accompanying text).
  • the publisher e.g., an RSVP e-mail
  • the second is to cause the event to appear in the "my events" page (see Fig. 10 and accompanying text).
  • broker events There are three broad types of investment events: broker events, user events, and market events. Publishers contribute broker events to the system. There are many varieties of broker event, including:
  • Conference Calls These are typically a telephone conference call with a corporate executive scheduled by an analyst. After the analyst publishes notice of the upcoming conference call in the system and categorizes it (e.g., by company, sector, and region), investors can request to participate. Immediately after the call, the analyst compiles information and distributes it to interested investors.
  • Roadshows These are events scheduled by a syndicate desk in support of a security offering. Roadshows may have many sub-events called Roadshow_Events within the system. Roadshows may be co-sponsored by several publishing firms.
  • Teach-ins These are events internal to a publishing firm, in which analysts or publishers teach coordinators about an event. Teach-ins typically precede publication of the event to clients.
  • Market events are typically unsponsored market-related public events that may be mandated by law. Market events include the release of economic data by government agencies, corporate press releases, upcoming initial public offerings, earnings report dates, and major economic events. Information about market events is typically obtained from commercial feeds, rather than publishers. Sources of market event information include the CNBC Schedule of Events, CCBN's calendar of conference calls by companies, First Call, Zack's, and others.
  • User events are personal events contributed by coordinators and investors. These can include meetings between the coordinators and/or investors, or dates of interest to the investor, such as sporting events, charity events, or club meetings.
  • the broker events page contains event listings contributed by sell side firms, for viewing by portfolio managers.
  • Portfolio managers can see events from as many sell side firms as they are entitled to view. They can click on the event type icon and the headline for more specific information, which appears in a pop-up box, as described above.
  • the broker events page also includes an interval drop-down list control and date scroll controls.
  • the interval drop-down list control allows the user to adjust the interval for which events are displayed (e.g., daily, weekly, or monthly).
  • the date scroll controls allow the user to move forward and backward from interval to interval.
  • the my events page is similar to the broker events page except that it displays all the broker events that the user has entered into his or her personal calendar for the selected period.
  • the user can obtain more information about the events by clicking on event type icons and headlines, and can select different interval views using a drop-down list control and a scroll control.
  • the company page allows users to search for all events pertaining to one company within a given time frame.
  • the user enters an equity symbol in a text box and enters start/end dates for the search in a series of drop-down list controls. After clicking a go button, a list of all events involving this equity appears. The user can then click on the event type icon or headline of the event for more specific information.
  • the search page allows users to create multi -variable searches to filter out events of particular interest.
  • Each search parameter is selected from a drop-down list control. Possible search parameters include: region, location, country, analyst, sector, firm, and date range.
  • the user entitlements page allows users to view their entitlements and to request new entitlements. It includes of a list of sponsoring entity entries, which each include a firm name, status, action and firm logo fields.
  • the status field can list the user as “entitled,” “not entitled,” or “entitlement requested.” If a user is not entitled to view a firm's events, an "entitle me” link will be presented in the action field of the entry. Actuating the icon submits an application for entitlement to the firm and changes the status from “not entitled” to "entitlement requested.” If a user is already entitled to view a particular firm's events, the action column remains blank.
  • a simple administrator entitlements dialog box can be used to administer relationships between investors and access control lists.
  • This page includes a name selection control, and a two-part entitlement control.
  • the entitlement control includes a list of requested firms, a list of entitled firms, and a transfer control to move firm names from one list to the other.
  • Items managed by this entitlements page need not be restricted to firm names, but can also include tiers of event information for each firm. For example, a user might receive a US Equities Tier 1 access level, a US Fixed Income Tier 2 access level, and a Latin American Equities Tier 3 access level from the same firm.
  • the administrator entitlements dialog box includes dedicated controls for access level assignment.
  • Systems according to the invention can also employ sell-side administrator entitlements pages for each sell-side firm. These allow salespersons to provide access to clients that request it without involving an administrator, although they may need to request approval from within the firm. Controls for of this type of entitlement page need only allow users to control access levels.
  • the system can enable different types of access restrictions, as well. These can include access levels, which allow some users to see all the information relating to an event, allow others to see only partial information, and may not even divulge the existence of the event to unentitled users. Access may also be staggered in time, with preferred users having immediate access and other users obtaining access at a later time or date. Access rights may be granted either on an individual basis or a group-by-group basis. Any combination of privileges may be granted (e.g. no access before a first point in time, partial access up to a second point in time, and full access after that).
  • Integrated functions for the system can include the ability to monitor a list of equities, the ability to filter and search news and research feeds, and the ability to set alerts based on equities or news and research feeds.
  • the information feeds are buffered and formatted by a modularized part of the system described in the above-referenced application.
  • the system may also allow users to manage to do items, and publishers and coordinators may have access to client management tools.
  • Market information is obtained from commercial data feeds and includes:
  • Securities information such as the securities issued by a particular company, the reference data for these securities, the exchanges they trade on, and real-time and historical price quotes and market data relating to these securities.
  • Non-financial information such as directories of industry personnel.
  • Each piece of market information is categorized with investor interest categorization information. This allows it to be linked to events that share the same categorization, and to be retrieved by users via their user profiles.
  • Investor information is typically entered by the investor users. It may be shared with publishers & coordinators, at the investors discretion. It consists mainly of user profiles, but also includes contact information and other data about the investor.
  • the home snapshot page can be reached by default upon login or by actuating a home control link that can be viewed in one or more of the various event views. It includes three main panels: an action item panel, a watch list panel, and a news and research panel.
  • the action item panel is divided into a to do section for to do items and an alerts section for alert items. These items are shown as underlined hypertext links, and clicking on them allows the user to modify their parameters.
  • a my events section could also be included, which would include information similar to that shown in the my events page (see Fig. 10).
  • a drop-down list control which allows the user to select one of several watch lists. These display a list of equity items, which each include an equity symbol as well as a price value and a change value for the equity for which the symbol is shown. Actuating one of the equity symbols takes the user to the equity snapshot page for that equity (see Fig. 19).
  • the news and research panel includes a list of news and research items.
  • Each news and research item includes a date field, an article format icon, a title, a source acronym, and a client icon.
  • Actuating the text of the title or the article format icon retrieves the text of the news or research entry and displays it in a viewing page (see Figs. 16-17).
  • the bottom of the article contains links to the website containing the original article text and to snapshots of all equities mentioned within the article.
  • actuating the client icon takes the user to the an interested client window.
  • actuating comparable links would take the user either to an interested user window, which displays other interested users within the same buy-side firm, or to a relevant portfolios window, which displays portfolios or funds that are relevant to the news story. Note that while placing the icon next to the name of a news story creates a clear association between the two, there are other ways to indicate such an association, and this association can even be implicit from context or proximity.
  • Full-page versions of each of the panels can also be accessed using the tabs at the top of the home page. These full-page versions are largely similar to the panel versions, and typically also include links to customizing controls to tailor the material to be viewed in that particular page or panel. Customization controls can include watch list controls, user interest profile controls, and alert controls, which will be described below in more detail.
  • Sell-side and/or buy-side pages can also include a ticker panel and/or a squawk box.
  • a ticker panel is displayed on the top right portion of every page, and this panel displays three scrolling lines.
  • the top line lists real-time pricing for all morning meeting equities. The user can add equities to his or her morning meeting watch list to add more items to this ticker line.
  • the middle line lists real-time news and research items based upon morning meeting equities. Adding equities to a user's morning meeting watch list will also add more items to this ticker line.
  • the user can actuate a quote button located next to the squawk box panel.
  • the bottom line lists triggered alerts for all contacts. Alerts are displayed on the Ticker for 24 hours on business days. Alerts triggered on the weekend are displayed on Monday (until 11 a.m.).
  • Users can also interact with the ticker. They can click on any item and view a close-up view of the data in that line. They can also stop a line from scrolling by placing their mouse pointer on a ticker line. And they can drag the ticker line back or forward by placing their mouse pointer on a ticker line and pressing the right mouse button.
  • a squawk box is displayed on the top left portion of every window. This panel permits team members to send quick messages. These are displayed on every user's page within a selected group, alongside the sender's initials in brackets. It is a scrolling chat-room style text box that permits everyone in the group to communicate with each other. Groups can include users in one or more sell-side or buy-side firms.
  • a button located next to the squawk box This opens a squawk dialog box, which includes a message area and destination controls.
  • the destination controls include a group control, which allows the user to send a message to the members of a group, and a user control, which allows the user to send a message to individual users.
  • the user first types his or her message into the message area, selects recipients and clicks on a send button.
  • the system is designed to allow the squawk box to operate in real time (i.e., with a guaranteed maximum latency).
  • the latency is well below a minute, such as every at 15 seconds, although the system may have some value in some circumstances with a latency of a few minutes.
  • the maximum latency can be adjustable.
  • alerts can be public, personal, or they can be shared with specific users or groups of users. Their titles can be displayed in a panel on the home snapshot page, and the title can be actuated to access the full text of the note. Notes and e-mail messages can contain direct hyperlinks to event information.
  • the system maintains a database of notes and other transactions for an event. Notes are typically indexed by client user, client firm, security, event, author, recipients, subject(s), and according to the investor categorization information. This database allows users to track all interaction between an investor and a publishing firm about an event, and to include notes relating to an event when searches are performed for categories for that event.
  • the system maintains a database of users. Users wishing to communicate with another user within their firm or at other firms can access this database to address their messages.
  • the database includes user access control information to allow users to communicate only with other users for which they are authorized.
  • the database may also be tailored to permit targeted communications of different types, such as advertising, to be sent to users of different groups.
  • user watch lists summarize pricing and volume information for groups of equities in the watch list panel.
  • User watch lists can also act as part of a user profile to retrieve news and research information items for the my news and research panel.
  • To add a user watch list the user actuates an add watch list link in the a watch list page. The user is then prompted for a name for the user watch list and a list of equities to include in the user watch list.
  • Watch lists can be set up to monitor portfolios or parts of portfolios that are managed separately. Each of these portfolio lists includes a quantity held entry and a value held entry for each equity in the watch list panel, in addition to the summarized pricing and volume information. A grand total for the portfolio can also be displayed.
  • This equity snapshot page includes a news and research panel, a company profile panel, a recommendations panel, and a quote/chart panel.
  • the news and research panel is similar to the news and research panel in the home snapshot page, and includes a list of news and research entries related to the equity for which the page is displayed.
  • the company profile panel includes an indication of the sector and country (both searchable categories) for the equity, located above a fixed watch list for competitors of the company.
  • the recommendations panel displays internal and consensus recommendations for the equity for which the page is displayed.
  • the quote/chart panel includes live quote information and customized charts for the equity for which the page is displayed.
  • the system can also contain a securities reference information database.
  • This database includes a complete list of companies and their securities, as well as categorization information about each company and security, descriptions of the countries, regions, and sectors associated with them.
  • interest profiles drive how news and information is displayed in the news and research panel, and how events can be added to the my events page.
  • An interest profile may include a region (e.g., Europe, Africa, Middle East), country, and sector (e.g., Advertising, Banking, Computers), or combinations.
  • an interest profile can include the United States as a country and both computers and information technology as sectors. The profile is used to filter news and research to be displayed in the news and research panel and to filter events events of specific interest, which will automatically be added to the my events page.
  • the user can select an edit interests link in the my news and research page. This causes the system to display an edit interests page.
  • This page includes a series of drop-down list boxes for each of the region, country, and sector categories. Next to the list boxes is an interest profile text box to which the user can add or remove any combination of categories. It is not necessary to complete all three fields.
  • alerts allow users to track market events such as price and volume changes or when a news or research report is released.
  • User alerts are distinguished from global alerts which are automatically created and not associated with specific clients.
  • Global alerts notify users when any company in any of the watch lists of their contacts meets a particular criteria. They are automatically created based upon equities in any user watch list or client watch list. Users do not create global alerts directly, and global alerts do not display on the ticker.
  • a global alert is automatically created for watch list equities if one of the following conditions occurs today:
  • Alerts Individual users create user alerts. These alerts are private; only the user who created them can view them. Users can create alerts that are associated with news and research and equity pricing/activity events related to his or her contacts' interests.
  • News and research alerts cause the system to trigger an alert if a news or research item is released that pertains to a company, a news category, a country or sector.
  • Equity pricing/activity events alerts cause the system to trigger an alert based upon pricing changes, earnings estimate, or trading and volume activity.
  • Triggered alerts display on the bottom line of the ticker and on the home snapshot page.
  • client alerts If a user's client likes a particular analyst, he or she can set an alert any time the analyst generates a report. The user can also set alerts for news items regarding particular stocks, and then use the holdings information to find other clients who are already holding the stock. The user can set multiple alerts for a client who likes a particular stock, and the sector, but thinks that a particular company is too expensive. This can be accomplished by setting a research alert that is triggered if the company meets its earnings, setting an instrument alert that is triggered if there is a 10% change in the price, or setting an alert based upon news from a particular sector. A user may also set a news alert to get information on a particular country's political situation.
  • alert creation pages are each divided into an alert trigger specification panel and a contact specification panel.
  • the alert trigger specification panel includes one or more trigger specification controls and a selection criteria box. The user adds criteria to the box until the combined triggering conditions have been specified.
  • the fields that are available for the different types of alerts are listed in Tables 1-4. Alerts can also be set up to trigger to do items and other system collaboration features.
  • alerts are triggered if there is any news that matches the partial name.
  • Instrument reporting alerts are triggered if the company provides updated information that corresponds to the alert conditions. Companies provide updates annually, quarterly, daily, or anytime, depending on the category or field. For example, if an alert is based upon one year earnings per share, it will be triggered when the company releases quarterly information.
  • the user specifies a list of clients to contact when the alert is triggered, by selecting a call list from the drop down box and then selecting names from the box. Multiple names can be selected by dragging the mouse or by holding the control key while clicking on names.
  • the system does not automatically remove or reset triggered alerts.
  • Users may create, remove, or reset alerts by navigating to the home snapshot or action items pages. To remove or reset an alert, the user visits the snapshot or action items pages, clicks on the item, and clicks on a delete or reset button. Alerts also let investors be alerted for: (a) newly published events matching their user profiles; (b) upcoming events on their calendar; (c) rescheduled, cancelled, or modified events on their calendar; (d) financial information or news relevant to events on their calendar. Publishers can also be alerted when investors take action on an event, such as signing up for it or canceling it.
  • the system also offers its users a rich variety of search strategies. These include news and research searches, instruments searches, contacts searches, and holdings searches. To start a search, the user first navigates to one of four search pages for the desired search type.
  • Each search page includes search criteria selection controls and a selected criteria box, and operates in a similar manner to the add alert pages. Search fields for the different types of searches are listed in tables 4-15.
  • the date range field can be used to cause the system to find items older than today's.
  • a user can enter the company name to find news or research items pertaining to a specific equity. Note: to use the company's Ticker symbol, use the Symbol field.
  • a user can select a country from the drop down list. Use this field in conjunction with other fields to focus the search results. For example, to search for U.S. news or research items in the Advertising sector add two parameters: Specify "United States" for country and Advertising for sector.
  • a user can select a date range from the drop down list to find news or research published in this range. Make sure to use other fields to focus the search results. For example, to find news or research on XYZ company, published in the last 2 days, select "last 2 days" from the date range dropdown list, and XYZ for the company name.
  • This field lets a user find news or research that contains specific words anywhere in the article.
  • the user may use multiple words separated by a space. For example, to find today's items that have the words Computers and Modems, enter "Computers Modems" Region
  • the user can select from the dropdown list.
  • the user can select from the dropdown list to limit the search to articles that are specific to markets.
  • a user can enter its ticker symbol.
  • Ex-Date Expiration Date The last day on which an option may be exercised.
  • the user can specify: "Pricing, 4 week change, ⁇ -50" in the field choices below.
  • This field is available only for contacts who are set up in the system with a role field.
  • This field is available only for contacts who are set up in the system with a region field. Select from the dropdown list to find holders who are located in a particular region.
  • the user can enter the ticker symbol.
  • Negative numbers can be used in this field to find holders who have reduced holdings.
  • the system maps index information from different suppliers to the system's uniform categorization system. For example, one information vendor might only tag a news story by country. The system would translate this tag into a region category and store it in the database in association with the text of the story. The indexer independently indexes stories and events for full-text searching.
  • Event to Users From an event, display all interested users. For example, if an event is categorized under the Microsoft and computer software categories, User 1 has Interest Computer Software, User 2 has Microsoft in a Watch List, and User 3 has Microsoft in a Portfolio, all three will be considered interested in the event.)
  • Event to Market Information From an event, find all related items of Market Information. For example, if the event is categorized in the by Microsoft category, all news stories about Microsoft will be considered related.
  • an administrative organization provides a public or private portal site that sell-side and buy-side firms can access.
  • the administrative organization handles the transfer of data between systems operating within buy-side and sell-side firms.
  • the administrative organization may also provide system development services to the buy-side and/or sell-side firms.
  • portions of the system can be deployed for internal use only (e.g., an internal calendaring system).
  • users may need to log onto the system with a user ID and password before they can access any part of the system.
  • the system is operated by the administrative organization as a pubic internet portal site.
  • fees are collected from sell-side firms for listing events.
  • the administrative organization can also charge for advertisements posted on the screen.
  • the number (and possibly more specific information) of new buy-side users in a given time period is sent to sell-side users.
  • Sell-side users can be notified of which calendar events received the most interest (or "clicks") from buy side users.
  • Firms can also co-host events presented in the calendar views, which can include multiple time zones.
  • This embodiment also provides for a featured events section.
  • a featured events section when users search for events related to a particular equity by entering a ticker symbol in a text box in an equity event search page, the first displayed events are featured events.
  • An all events panel follows, which is broken into sub-panels for different event types. Featured events can be events that sell- side firms pay the administrating organization an additional fee to promote.
  • the embodiment described can run in an Internet Data Center that is accessed via private (leased) lines.
  • the web servers use Java Webserver 1.2 running on Solaris 2.6 HW 5/98 (with patch cluster 24356) and using JDK 1.2 and 1.1.6 with native threads installed, and Sybase JConnect for JDBC v4.0.
  • the application servers use Solaris 2.6 HW 5/98 (with patch cluster 24356) and JDK 1.2 and 1.1.6 with native threads installed.
  • the database server uses Solaris 2.6 HW 5/98 (with patch cluster 24356) and JDK 1.2 and 1.1.6 with native threads installed, Sybase Adaptive Server 11.5, with text indexing capabilities from Verity.
  • the web browsers supported are Internet Explorer 4.01 (with service pack 1) or Netscape 4.04 (or higher). Unauthorized access to the network is prevented by using a router for packet filtering and allowing only HTTP connections to port 80 on the web server. FTP connections to the database server from data vendors are permitted for nightly or intraday downloads of financial data.

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Abstract

L'invention concerne un système de gestion des informations relatives à des événements sur l'investissement (voir Fig. 1). Le système comprend un certain nombre d'interfaces publiant des informations sur des sponsors, ces interfaces étant placées sur un certain nombre de différents sites de sponsors. Sur chacune de ces interfaces, on peut trouver des zones d'entrée de données pour des articles relatifs aux événements d'investissement, ainsi que les dates anticipées concernant ces articles. Un certain nombre d'interfaces d'investisseurs peuvent être adaptées aux interfaces publiant des informations sur des sponsors et peuvent être placées sur au moins un site d'investisseurs. Chacune d'entre elles comprend des zones d'affichage pour présenter les articles relatifs aux événements d'investissement, ainsi que les dates anticipées concernant ces produits.
PCT/US2000/021870 1999-08-09 2000-08-09 Systeme de gestion des informations relatives aux evenements d'investissement WO2001011529A1 (fr)

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AU65361/00A AU6536100A (en) 1999-08-09 2000-08-09 Event information management system

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US37067199A 1999-08-09 1999-08-09
US09/370,671 1999-08-09

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Cited By (2)

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US10783583B1 (en) 2016-05-04 2020-09-22 Wells Fargo Bank, N.A. Monitored alerts
CN118172030A (zh) * 2024-02-07 2024-06-11 广州易效能教育科技有限公司 一种时间管理方法及装置

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US5864828A (en) * 1987-04-15 1999-01-26 Proprietary Financial Products, Inc. Personal financial management system for creation of a client portfolio of investment and credit facilities where funds are distributed based on a preferred allocation
US6021397A (en) * 1997-12-02 2000-02-01 Financial Engines, Inc. Financial advisory system

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Publication number Priority date Publication date Assignee Title
US5864828A (en) * 1987-04-15 1999-01-26 Proprietary Financial Products, Inc. Personal financial management system for creation of a client portfolio of investment and credit facilities where funds are distributed based on a preferred allocation
US6021397A (en) * 1997-12-02 2000-02-01 Financial Engines, Inc. Financial advisory system

Cited By (4)

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Publication number Priority date Publication date Assignee Title
US10783583B1 (en) 2016-05-04 2020-09-22 Wells Fargo Bank, N.A. Monitored alerts
US11562433B1 (en) 2016-05-04 2023-01-24 Wells Fargo Bank, N.A. Monitored alerts
US11989784B1 (en) 2016-05-04 2024-05-21 Wells Fargo Bank, N.A. Monitored alerts
CN118172030A (zh) * 2024-02-07 2024-06-11 广州易效能教育科技有限公司 一种时间管理方法及装置

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