JPH1153450A - Custody supporting system - Google Patents

Abstract

PROBLEM TO BE SOLVED: To provide a supporting system by a computer for keeping securities (stocks and bonds, etc.), owned by a company in a bank or the like and managing the keeping securities instead of the company. SOLUTION: The investor of a report object is extracted (S602) by using the table of the kind of a report and the necessity of the report. Then, by using a hierarchy constitution table, report information to a higher hierarchy is prepared (S604). Thus, the result of report investor information is obtained. Report object data are extracted (S606) from the file by the kind of the report to be prepared and used, report data are edited (S608) like changing code data to Japanese by a Japanese master and the report data are prepared.

Description

DETAILED DESCRIPTION OF THE INVENTION

[0001]

[0001] The present invention provides a support system for depositing and managing securities and the like of a company (corporation) at a bank or the like.

[0002]

BACKGROUND OF THE INVENTION In many companies, securities management is carried out such that securities held are held in-house or partly in-house and partly held in securities companies or the like. Although the purpose of holding securities is various, such as in connection with strengthening business relationships and establishing subsidiaries and sub-subsidiaries, the holdings of securities are not small at each company and constitute an important factor in the settlement of accounts. Security management is required daily, monthly, and at the time of settlement of accounts, and the burden of management operations such as market valuation is increasing.

[0003] This management is also a complicated business because of the divisional division, the entire company, and the consolidated settlement of company groups. In addition, management of market value evaluation and dividend management of each security is a big problem in the administrative burden. In addition, managing expensive securities in a company poses a problem in terms of safety such as disasters such as fires and earthquakes and theft.

[0004] For this reason, there is a need for a bank or the like to perform a business of depositing and managing securities held by a company or a group of companies.

[0005]

SUMMARY OF THE INVENTION An object of the present invention is to provide a computer for managing securities (stocks, bonds, etc.) held by a company at a bank or the like and managing the securities held on behalf of the company. The purpose is to provide a custody support system.

[0006] It is also an object of the custody support system of the present invention that management is performed in multiple hierarchies, such as business units, the entire company, and corporate groups for consolidated settlement of accounts.

[0007]

In order to achieve the above object, the present invention provides a custody support system for storing and managing securities received from a customer. And data for designating a destination based on the management data, and the destination of the management data is determined using the data.

In order to manage this hierarchy, when it is designated as a lower hierarchy, it has customer data of a corresponding upper hierarchy.

[0009] Further, it also has data for designating the type of the management data to be sent for each customer.

[0010] The management data includes aggregated data of the deposited securities, and may have data for specifying that the aggregated data of the deposited securities is to be performed for each customer by hierarchy.

[0011] The management data also includes the valuation value of the securities deposited, and the feature of the present invention is that the valuation value of the securities deposited from the customer is updated with market value data. This market value data is obtained from an external database.

[0012] The management data may be sent using a recording medium or sent using communication.

In addition, a recording medium storing a program for realizing a custody support system in a computer system is also the present invention.

According to the above-mentioned invention, related customers can be hierarchically managed in managing the deposit securities.

When sending management data to a customer,
The type of management data to be sent for each customer can be specified.

[0016] Aggregation and reporting of data on securities in custody,
Aggregation and reporting can be performed according to hierarchy.

The management data to be sent includes the market value data of the security in custody, and the customer can always know the latest market value of the security in custody.

The transmission data can be transmitted not only as print data but also as communication or electronic data such as a floppy disk.

[0019] A customer can also make a purchase / sell request for securities by communication.

As described above, by using this support system, the customer deposits the security, and the deposited security is safe from disasters such as fires and earthquakes.
You can receive various management services.

[0021]

Embodiments of the present invention will be described in detail with reference to the drawings.

FIG. 1 is a system configuration diagram for implementing a custody support system. In FIG. 1, the custody support system 110 is connected to an external database 130. This external database has market value data of securities, and sends market value data of securities to the custody support system 110 at a fixed time of day. The current price data is taken into the database of the custody support system 110 and used.

Further, the custody support system may be connected to the customer's system 140 for a desired customer out of customers who have requested to store securities. Custody support system 110 and customer system 1
Various forms are possible for the connection with 40. For example, s
It can also be connected via a network between banks such as wift or personal computer communication. Also, the custody support system 110 and the customer system can be connected via a dedicated line. If the security problem is solved, it is possible to connect via the Internet.

The custody support system shown in FIG. 1 provides various services to customers. The main services provided by this custody support system are listed below.

(1) Management service by business unit / group (2) Market value renewal service for securities in custody (3) Reporting of various reports (4) Reporting service by electronic data (5) Instruction of buying and selling by e-mail These services are described in detail below.

<Management service by business unit / group>
Many customers have adopted a division company system based on business units and holding company initiatives. In such companies, securities are also held at the discretion of divisions and divisions, so securities management is also performed for each division or division and integrated into the securities holding balance of the entire company. Management and three-level management are required. There are also requests for management of securities held, not by business unit, but by holding purpose.

In this custody support system, hierarchical management for realizing the above-mentioned needs is possible. Using this hierarchical management, this system manages report destinations and balances. How this is realized in the present system will be described in detail with reference to FIGS.

FIG. 2 shows a control table 200 that enables three-level management used in the present system. The system refers to the control table 200 and mainly performs reporting services and the like based on the hierarchical management shown in the control table 200.

In FIG. 2, each investor (customer) code 2
Flag 21 indicating report type and report necessity definition for each 10
2, report destination 214, report section 216, layer section 21
8, parent investor 220 and child investor 222. The meaning of each column will be described below.

Flag 2 indicating definition of report type and necessity of report
Numeral 12 indicates a type to be reported to the investor. If this flag is set (if it is "1"), processing is performed to send that type of report to the corresponding investor. As a type of this report, for example, there is a report as shown in FIG.

In the list of FIG. 3, "Delivery execution details"
310 is to report details of the result of receiving a security with a new storage request or returning the security to the customer. The “Deposit / Sell-in Details” 312 is a detailed report of the deposit and withdrawal of securities as a result of a capital increase or the purchase or sale of securities.

The “notice of securities balance” 314 is a report of the total balance as a result of the evaluation based on the market value of the security in custody. The process of evaluating the deposit security at the market price will be described later. When these reports are made every day, the daily flag becomes “1”. If you are going to do it weekly, enter 3 letters in the weekly column
Indicates the day of the week to report. When performing monthly, "1" is set monthly.

The “payment of dividend (planned)” 316 is a report of a scheduled payment of a dividend to the stock requested to be stored. This report is provided to inform customers when dividends will be paid. This report allows the customer to plan the funding more closely. It will be reported when the unit price of the dividend is fixed. When the payout is actually paid, a report is made if the “payout (fixed)” 318 is “1”.

Similarly, “stock increase (planned)” 320 and “stock increase (determined)” 322 are the schedule and results of the stock increase for the stock for which storage is requested. A scheduled report will be made on the capital increase allocation date, and a final report will be made when the goods are actually received.

The “interest payment (planned)” 324 and the “interest payment (determined)” 326, the “redemption payment (planned)” 328 and the “redemption payment (determined)” 330 are the same as the interest on the deposited bond as described above. Report on gold and redemption. The deposit schedule for the bond is 20
A report is made on a fixed day like a day. Confirmation will be reported on the date of payment.

The “name transfer not yet completed” 332 is a report of a list of securities whose name has not yet been rewritten, which is not a customer to whom the holder of the deposit security has requested storage. If the rewriting of the name is not completed, the dividend and interest will be paid to the holder.

Returning to FIG. 2, the control table 2 shown therein
In 00, a report destination 214 indicates an address or the like when reporting via a line or the like.

The report section 216 and the hierarchical section 2 in FIG.
18 and the balance tally 224 will be described with reference to FIG.

FIG. 4A is an explanation of the hierarchical division 218. In FIG. 4A, the hierarchical division “100”
Is assigned to the investor code 10100 in FIG. 2, which means "single hierarchy", that is, one having no children or grandchildren. “110” is given to the investor code 500000 in FIG.
This is a code indicating a parent hierarchy, that is, a parent-child hierarchy, that is, two hierarchies. As shown in FIG. 2, “010” is assigned to the two child layers, and the parent code (500000) corresponding to the parent investor column 220 is added to the two child layers. The relationship is specified.

"111" is given to the parent of the three descendants (510000 in FIG. 2), the child is "011" (520000, 530000 in FIG. 2), and the grandchild is "001".
(521000 and 531000 in FIG. 2). The parent and child codes are stored in the column of parent investor 220 and child investor 222 in order to clearly show the corresponding relationship.

Therefore, the hierarchical relationship in FIG. 2 is represented as follows when represented by an investor code according to the code in the column of the hierarchical division 218.

[0042] The report to each investor described with reference to FIG.
In particular, if the investor is at the child or grandchild level,
How to report to the upper layer is determined by the code in the column of the report section 216 in FIG. The meaning of this code is shown in FIG. FIG.
In (b), "100" is reported only to the parent. Also, "1
"10" is sent to the parent and child, and "111" is sent to the parent, child and grandchild. Also, "010" is only for children,
“011” is a child and grandchild, and “001” is only a grandchild.

The last designation in the hierarchical relationship is the balance totaling section 224. This will be described with reference to FIG. In the hierarchy management, it is possible to specify up to which hierarchy the totaling is performed by using the balance totaling category. This tabulation is not only the management of each department in the company, but also the management that is particularly important after the consolidated settlement is required. For example, in FIG.
For 0 (child in the hierarchy), the balance totaling code is “1”.
"0" indicates that the data is collected by the parent and reported to the parent.
In addition, it can be seen that the investor code 521000 (grandchild in the hierarchy) is totaled by the parent and child with the balance totaling code “11” and is reported to the parent and child.

Now, using the specification of these hierarchical relationships,
How the report destination is determined when reporting is described with reference to FIG.

In FIG. 2, the investor code 210 is read, and the corresponding hierarchical section 218 and report section 216 are read. At this time, the report destination is determined based on the hierarchical section code and the report section code as shown in FIG.
That is, if the hierarchical division code is “1xx” (x is 0 but 1
(Or parent), and the report classification code is “100”
If it is (parent), a report is created by applying to the report destination address described in the report table 214 of the parent investor.

If the hierarchical division code is "01x" (child) and the report division code is "1x0" (parent), the report destination of the parent investor code described in the parent investor column 220 is indicated. Report to Next, the report classification code is "x10"
If it is a (child), send it to the child's report destination.

In the case of the hierarchical division "001" (grandchild),
Parents with a report category code of "1" as above,
Send the prepared report to the child and grandchild.

The report classification is “x00”, “0x”
In the case of “0” or “00x”, processing is performed so that the data is not transmitted to at least the upper layer such as the parent and the child.

The report processing including the above-described hierarchical processing will be described in detail with reference to FIG. First, if you report one day,
First, an investor to be reported is extracted (S602) using the report type and report necessity table 212 in the control table 200 of FIG. Next, using the hierarchical configuration table, that is, the hierarchical section 216 and the report section 218, report information to the upper layer is created by the processing described with reference to FIGS. 4 and 5 (S604). As a result, a result (result) of the reported investor information is obtained. Then, data to be reported is extracted from the file according to the type of report to be created and used (S606).
The report data is edited (S608) by, for example, converting the code data into the corresponding Japanese language, and the report data is created.

As a result of the reporting investor, for example, FIG.
As shown in FIG. 7 (a), only the parent investor is shown in FIG. 7 (b), and the child and parent investors are shown in FIG. 7 (c).
For example, it can be sent to all three levels of investors: parents, children and grandchildren.

The control table has not only columns shown in FIG. 2 but also columns necessary for other processes.
For example, it is a flag indicating whether to provide a report service using a letter or a recording medium (floppy disk or the like). Further, the types of reports are not limited to those shown in FIG.
The hierarchy may be two layers instead of three layers as described above.
Also, four or more hierarchies can be similarly managed as needed.

<Market security rewriting service for custody securities> A description will be given of the market value renewal service for custody securities performed by the present system.

Returning to the configuration of the system shown in FIG. 1, the current price data is taken into the custody support system 110 from the external database 130. This is done at a fixed time after the closing price of the day is fixed. The stored market value data is updated using the taken market value data. This process is performed, for example, as shown in the flowchart of FIG.

In FIG. 8, first, a file of a customer list is opened (S802), and an account number (investor code) of the customer is read (S804). Then, the balance file corresponding to the read customer is opened (S80).
6), the code of the security included in the balance file is read (S808). The market value information corresponding to the read security code is obtained (S810), and the market value data in the balance file is updated (S812). This process is repeated until the security data is completed in the customer's balance file (S814). When all the updating of the market value data for the read customer's securities data is completed, the file of the customer is closed (S818), and the processing for the next customer is started. When the update process is completed for all customers (S820), the customer list file is closed (S822), and the process ends.

An example of a report on the balance is shown in FIG. This report is a balance report for a certain customer.
This shows the base date of the market price, and the market price data of each security is updated with the closing price on the base date.

In the next column from the rightmost side of this report, there is data of “market unit price”, which has been updated by the above processing. By multiplying the updated data by the data in the securities balance, the market value (the rightmost) of each security is obtained. The reason why the output is performed in this manner is to perform the editing process (S608) in FIG.

The updating process of the current price is performed at a regular time every day.
Reports to customers will be reflected from the next day. This report not only covers such printed materials,
It can be transmitted to a customer through communication such as e-mail or recording on a recording medium such as a floppy disk.

As described above, in this custody support system, since the market value data is always obtained, not only the mere storage of the securities and the data of the stored securities,
You can also obtain data necessary for settlement of accounts.

If the hierarchical management for the totalization of the balance described with reference to FIG. 4C is used, the totalization by department or group can be obtained.

It is necessary to set the hierarchical management data when starting a custody service for a certain customer or when starting a service with a customer related to an existing customer.

The data from the external database can obtain not only the above-mentioned market value data but also data such as capital increase, dividend, and interest.

<Instruction for Trading by Electronic Mail> In this custody support system, securities can be bought and sold directly via the electronic mail or the like via the system. The securities to be traded are the securities in custody and the securities in custody. That is, the object to be sold is the security under custody, and the security purchased is automatically turned into the security under custody according to the contract.

FIG. 10 shows an example of the data to be communicated. The investor code is different from the above-mentioned code, and uses a separately contacted code. Investor names may be abbreviated. The trade date is specified in the year (YYYYMMDD). The delivery destination and the destination account are also internal codes. In the case of manual ("M"), automatic / manual is a case where there is a separate individual instruction. Usually automatic ("A").

The sale and purchase category is "S" for a sell transaction and "B" for a buy transaction. The delivery date is also specified in the Christian era. The reference number is a reference number assigned by the customer. Contract price, number of shares, etc. are also sent. Since a plurality of these data are sent, "END" is sent to the last data as identification data. Then, the number of transmitted data is added to the last data.

The received custody support system is
After checking and confirming with the investor code and the securities in custody, it is possible to place a trading order according to the data sent. The result is sent to the orderer and the higher order customer in the hierarchy management by the above-mentioned report processing.

The part of the program according to the present invention that performs its function can be implemented by storing it on a recording medium and reading it out by a computer system. The recording medium includes a floppy disk, a CD-ROM, a magnetic tape, a ROM cassette, and the like.

[0067]

As described above, the custody support system according to the present invention can manage related customers in a hierarchical manner in order to manage custody securities.

When sending management data to a customer,
The type of management data to be sent for each customer can be specified.

[0086] The tallying of the data of the securities in custody and the report thereof are also performed.
Aggregation and reporting can be performed according to hierarchy.

The management data to be sent includes the market value data of the security in custody, and the customer can always know the latest market value of the security in custody.

The transmission data can be transmitted not only as print data but also as communication or electronic data such as a floppy disk.

[0086] A request for trading of securities can also be made by communication from the customer side.

As described above, by using this support system, the customer deposits the security, and the deposited security is safe from disasters such as fires and earthquakes.
You can receive various management services.

[Brief description of the drawings]

FIG. 1 is a system configuration diagram for implementing a custody support system.

FIG. 2 is a diagram showing a control table for implementing hierarchical management and the like in the present system.

FIG. 3 is a partial detailed diagram for specifying a destination in a control table.

FIG. 4 is a diagram for explaining the meaning of a code for specifying a hierarchy.

FIG. 5 is a diagram illustrating a process based on layer designation.

FIG. 6 is a diagram illustrating a report creation process by hierarchical management.

FIG. 7 is a diagram illustrating destinations by hierarchical management.

FIG. 8 is a flowchart illustrating a data update process using market value data.

FIG. 9 is a diagram showing a report of a security balance to which market value evaluation data is added.

FIG. 10 is a diagram illustrating electronic data for instructing buying and selling of securities.

[Explanation of symbols]

 110 Custody support system 120 Recording device (database etc.) 130 External database system 140 Customer system

Claims (10)

[Claims] 1. A custody support system for storing and managing securities received from a customer, comprising: data for designating a hierarchy for each customer; and data for designating a destination based on the hierarchy. A custody support system for determining a destination of management data by using the system. 2. The custody support system according to claim 1, wherein when a lower hierarchy is designated, customer data of a corresponding upper hierarchy is provided. 3. The custody support system according to claim 1, wherein the custody support system has data for designating a type of the management data to be sent for each customer. 4. The custody support system according to any one of claims 1 to 3, wherein the management data includes aggregated data of the deposited securities, and the aggregated data of the deposited securities is classified by hierarchy for each customer. A custody support system having data designating what to do. 5. The custody support system according to claim 1, wherein the management data also includes a valuation value of a security deposited, and updates a valuation value of the security deposited from the customer with market value data. A custody support system characterized by: 6. The custody support system according to claim 5, wherein the current price data is obtained from an external database. 7. The custody support system according to claim 1, wherein the management data is sent using a recording medium. 8. The custody support system according to claim 1, wherein the management data is transmitted using communication. 9. The custody support system according to claim 8, wherein trading data of securities can be transmitted from the customer side. 10. A recording medium storing a program for causing a computer system to implement the custody support system according to claim 1.