Data interaction system and method for securities institutions

Abstract

The present invention discloses a data interaction system and method for a securities firm, including: a first subsystem and a second subsystem, wherein the first subsystem is used to manage external data of the securities firm, and the second subsystem is used to manage internal data of the securities firm, and the data of the first subsystem and the second subsystem are updated synchronously in real time; wherein the first subsystem includes a service information management module and a resource data management module, and the second subsystem includes a roadshow module; the service information management module is used to manage analyst information, service information and roadshow reservation information; the roadshow module is used to confirm the roadshow meeting and match the conference room according to the roadshow reservation information. The present invention constructs a data interaction system for securities firms through the first subsystem and the second subsystem, thereby effectively ensuring the structure and specification of the data.

Description

Technical Field

[0001] The present invention relates to the field of data interaction technology, and in particular to a data interaction system and method for a securities firm. Background Art

[0002] At present, the communication and data transmission between fund companies and securities institutions are generally carried out through offline telephone, WeChat, QQ, email, etc. However, as the interaction between the two parties becomes more and more frequent, and there are interest compliance requirements such as point distribution, the existing methods are far from meeting the requirements of timeliness and standardization.

[0003] Existing securities analysts or sales provide relevant data or communicate through WeChat, email, door-to-door visits, etc., and the information is scattered in various places, which is not conducive to subsequent data tracing and inspection. In particular, the door-to-door communication service of securities companies involves the reservation management of internal conference rooms, which is easy to cause management confusion and time-consuming; and the data based on offline communication or email tools is unstructured data, which needs to be manually cleaned and then entered into the system, which consumes a lot of human resources. When the amount of data is too large, it is easy to make mistakes; in addition, the data is not connected in a systematic way, and it is impossible to process the data in a timely and effective manner, and it is impossible to control the risk of the data in advance. Summary of the invention

[0004] The present invention provides a data interaction system and method for a securities firm to solve the technical problems of offline interaction data of existing securities firms, chaotic management, inability to process data in a timely and effective manner, and risk control.

[0005] In order to solve the above technical problems, the present invention provides a data interaction system of a securities firm, comprising: a first subsystem and a second subsystem, wherein the first subsystem is used to manage external data of the securities firm, and the second subsystem is used to manage internal data of the securities firm, and the data of the first subsystem and the second subsystem are updated synchronously in real time;

[0006] Wherein, the first subsystem includes a service information management module and a resource data management module, and the second subsystem includes a roadshow module;

[0007] The service information management module is used to manage analyst information, service information and roadshow reservation information;

[0008] The roadshow module is used to confirm the roadshow meeting and match the conference room according to the roadshow reservation information.

[0009] The present invention constructs a data interaction system for securities companies through the first subsystem and the second subsystem, and specifies data standards and functional modules in the first subsystem and the second subsystem according to the service type, so that data interaction with securities companies can be carried out in the system according to the standard structure. Data entry and processing, thereby effectively ensuring the structure and specification of data. In addition, the internal and external data are divided according to the first subsystem and the second subsystem to ensure that the internal and external data are relatively isolated, and the data interaction is kept as unilateral as possible to ensure the security and reliability of data and the system, and also enables the validity, sensitivity and other aspects of the data to be verified and controlled in advance at the system level.

[0010] Further, the service information management module includes an analyst information module, a service information module and a roadshow reservation module;

[0011] The service information module is used to determine the service type and the corresponding basic service information, and the service type includes analyst roadshow, company reverse roadshow, expert meeting, research and commissioned project;

[0012] The roadshow reservation module is used to determine the roadshow meeting type and initiate a roadshow meeting reservation, and generate roadshow reservation information. The roadshow meeting type includes online roadshow and offline roadshow;

[0013] The analyst information module is used to determine the analysts for the roadshow meeting.

[0014] Further, the roadshow module includes a roadshow confirmation module, a conference room matching module and a roadshow publishing module;

[0015] The roadshow confirmation module is used to approve the roadshow meeting according to the roadshow reservation information, which includes meeting information, roadshow applicant information, roadshow address information, analyst and participant information;

[0016] The conference room matching module is used to match the conference room according to the approval result of the roadshow meeting and the roadshow reservation information;

[0017] The roadshow publishing module is used to display and publish the meeting information of the roadshow meeting.

[0018] Furthermore, the resource data management module includes a brokerage resource sharing module and a research report module;

[0019] The brokerage resource sharing module is used to classify and organize brokerage resources;

[0020] The research report module is used to generate a research report for a roadshow meeting.

[0021] Furthermore, the second subsystem also includes a service feedback module; the service feedback module includes an information synchronization module, a roadshow evaluation module and a conference voice recognition module;

[0022] The information synchronization module is used to synchronize the service type and the corresponding basic service information in the first subsystem;

[0023] The roadshow evaluation module is used to search for evaluation information corresponding to the roadshow meeting.

[0024] Furthermore, the second subsystem also includes a point distribution management module, which includes a brokerage data query module, a point distribution task generation module and a point distribution analysis module;

[0025] The brokerage data query module is used to query brokerage resource data;

[0026] The dispatching point task generation module is used to generate dispatching point tasks according to the point shooting service data and the dispatching point effect assessment, and assign the dispatching point tasks to corresponding dispatching points;

[0027] The dispatch point analysis module is used to score and analyze the dispatch points according to the service effect.

[0028] In a second aspect, the present invention provides a data interaction method of a securities firm, which is applied to the data interaction system of the securities firm, and comprises:

[0029] Determine the analyst and service information of the roadshow meeting according to the first subsystem, and initiate a roadshow reservation application according to the service information;

[0030] Reviewing the roadshow reservation application according to the second subsystem, and matching the roadshow reservation application with a conference room according to the review result and the roadshow reservation information;

[0031] Synchronize the data of the first subsystem and the second subsystem, obtain roadshow feedback information, and perform service analysis and effect assessment based on the roadshow feedback information.

[0032] Further, the roadshow reservation application is reviewed according to the second subsystem, and a conference room is matched to the roadshow reservation application according to the review result and the roadshow reservation information, specifically:

[0033] Acquire roadshow reservation information, and review the roadshow reservation information according to a first review rule, wherein the first review rule includes the number of participants, the meeting location, the availability of the meeting room, and the reservation status of the meeting room;

[0034] If the review is passed, the meeting room will be matched for the roadshow reservation application, and the meeting information will be uploaded, including the meeting topic, participants, meeting time and meeting room;

[0035] If the review is not passed, the roadshow reservation application will be returned to the first subsystem.

[0036] Furthermore, the service analysis and effect assessment based on the roadshow feedback information includes:

[0037] Acquire roadshow feedback information according to the roadshow evaluation module, wherein the roadshow feedback information includes a roadshow evaluation and a roadshow score;

[0038] An assessment result is generated based on the roadshow evaluation and the roadshow score, and a service analysis is performed based on the assessment result to generate a service report.

[0039] Furthermore, after performing service analysis according to the assessment results and generating a service report, the method further includes:

[0040] The service report is synchronized to the first subsystem, and the service report is sent to the roadshow applicant. BRIEF DESCRIPTION OF THE DRAWINGS

[0041] Figure 1 A schematic diagram of a structure of a data interaction system for a securities firm provided by an embodiment of the present invention;

[0042] Figure 2 A schematic diagram of a flow chart of a data interaction method for a securities firm provided in an embodiment of the present invention;

[0043] Figure 3 Another flowchart of the data interaction method for a securities firm provided in an embodiment of the present invention. DETAILED DESCRIPTION

[0044] The following will be combined with the drawings in the embodiments of the present invention to clearly and completely describe the technical solutions in the embodiments of the present invention. Obviously, the described embodiments are only part of the embodiments of the present invention, not all of the embodiments. Based on the embodiments of the present invention, all other embodiments obtained by ordinary technicians in this field without creative work are within the scope of protection of the present invention.

[0045] Embodiment 1

[0046] Please refer to Figure 1 , Figure 1 A structural diagram of a data interaction system of a securities firm provided in an embodiment of the present invention, comprising a first subsystem and a second subsystem, wherein the first subsystem is used to manage external data of the securities firm, and the second subsystem is used to manage internal data of the securities firm, and the data of the first subsystem and the second subsystem are synchronously updated in real time;

[0047] Wherein, the first subsystem includes a service information management module and a resource data management module, and the second subsystem includes a roadshow module;

[0048] The service information management module is used to manage analyst information, service information and roadshow reservation information;

[0049] The roadshow module is used to confirm the roadshow meeting and match the conference room according to the roadshow reservation information.

[0050] In this embodiment, the service information management module includes an analyst information module, a service information module and a roadshow reservation module;

[0051] The service information module is used to determine the service type and the corresponding basic service information, and the service type includes analyst roadshow, company reverse roadshow, expert meeting, research and commissioned project;

[0052] The roadshow reservation module is used to determine the roadshow meeting type and initiate a roadshow meeting reservation, and generate roadshow reservation information. The roadshow meeting type includes online roadshow and offline roadshow;

[0053] The analyst information module is used to determine the analysts for the roadshow meeting.

[0054] In this embodiment, since there are various types of interactions with securities firms, standard data needs to be developed for each data type.

[0055] In this embodiment, the data types include roadshow meeting type, brokerage service type, external meeting type, address book information type and transfer and financing data type, and each data type is standardized.

[0056] In this embodiment, the roadshow meeting type data includes the roadshow meeting type, meeting theme, meeting time, end time, roadshow applicant, roadshow city, industry / company, analyst, contact person, attendees, attending business line, confidentiality level, number of attendees, video conference, research content and notes. The roadshow meeting types include online roadshow and offline roadshow, specifically, door-to-door roadshow-analyst roadshow, door-to-door roadshow-listed company counter-roadshow, door-to-door roadshow-expert meeting, online roadshow-analyst roadshow, online roadshow-listed company counter-roadshow, and online roadshow-expert meeting.

[0057] In this embodiment, the brokerage service types include analyst roadshows, company counter-roadshows, expert meetings, surveys, commissioned projects and mutual visits.

[0058] In this embodiment, the service data is further standardized and formulated according to the service type of the securities firm, and the basic service information is refined. The basic service information of the analyst roadshow includes time, service content type, service content, form, duration, analyst, sales, type, invitees and participants; the basic service information of the company's reverse roadshow includes time, service content type, service content, form, listed company management, duration, analyst, sales, type, invitees and participants; the basic service information of the expert meeting includes time, service content type, service content, form, expert, duration, sales, type, invitees and participants; the basic service information of the survey includes time, service content type, service content, duration, analyst, sales, type, invitees and participants; the basic service information of the commissioned topic includes time, service content type, service content, form, duration, analyst, sales, participants; the basic service information of the mutual visit includes time, location, duration, visitor, sales and participants.

[0059] In this embodiment, the external meeting type includes meeting topic, meeting type, meeting time, securities, analysts, meeting number / address and meeting link, and the meeting types include performance meetings, surveys, expert meetings and other meetings.

[0060] In this embodiment, the types of contact information include broker, name, industry, position, mobile phone number, seat number, email address and office location.

[0061] In this embodiment, the refinancing data type includes demand management, date, security, term, quantity, rate, lending type and demand target, and the lending type includes individual security demand and basket demand.

[0062] In this embodiment, by specifying data standards and functional modules in the first subsystem and the second subsystem according to the service type, data interaction with securities companies can be performed on the system according to the standard structure for data entry and processing, thereby effectively ensuring the structure and standardization of the data.

[0063] In this embodiment, the first subsystem is an external brokerage system, and brokerage users can select service types according to the service information module in the first subsystem and upload corresponding basic service information according to each service type. Thus, a roadshow meeting reservation is initiated according to the basic service information and the roadshow meeting type, and roadshow reservation information is generated.

[0064] In this embodiment, the analyst information module is used to display analyst information, which includes name, age, roadshow project information, etc. Brokerage users can select analysts for the roadshow in the analyst information module.

[0065] In this embodiment, the roadshow module includes a roadshow confirmation module, a conference room matching module and a roadshow publishing module;

[0066] The roadshow confirmation module is used to approve the roadshow meeting according to the roadshow reservation information, which includes meeting information, roadshow applicant information, roadshow address information, analyst and participant information;

[0067] The conference room matching module is used to match the conference room according to the approval result of the roadshow meeting and the roadshow reservation information;

[0068] The roadshow publishing module is used to display and publish the meeting information of the roadshow meeting.

[0069] In this embodiment, the roadshow confirmation module in the second subsystem receives the roadshow reservation information uploaded in the first subsystem, and approves and matches the conference room according to the automatic approval rules. The roadshow publishing module displays and publishes the meeting information of the approved roadshow meeting.

[0070] In this embodiment, the resource data management module includes a brokerage resource sharing module and a research report module;

[0071] The brokerage resource sharing module is used to classify and organize brokerage resources;

[0072] The research report module is used to generate a research report for a roadshow meeting.

[0073] In this embodiment, the first subsystem also provides a resource data management module so that brokerage users can query and download resource data and research reports in this module.

[0074] In this embodiment, the second subsystem further includes a service feedback module; the service feedback module includes an information synchronization module, a roadshow evaluation module and a conference voice recognition module;

[0075] The information synchronization module is used to synchronize the service type and the corresponding basic service information in the first subsystem;

[0076] The roadshow evaluation module is used to search for evaluation information corresponding to the roadshow meeting.

[0077] In this embodiment, the second subsystem further includes a point distribution management module, which includes a brokerage data query module, a point distribution task generation module and a point distribution analysis module;

[0078] The brokerage data query module is used to query brokerage resource data;

[0079] The dispatching point task generation module is used to generate dispatching point tasks according to the point shooting service data and the dispatching point effect assessment, and assign the dispatching point tasks to corresponding dispatching points;

[0080] The dispatch point analysis module is used to score and analyze the dispatch points according to the service effect.

[0081] In this embodiment, by formulating standard data, the data pipelines of internal and external systems are opened up. According to the internal and external dual systems, all data interaction needs with securities companies, such as roadshow appointments, meeting information, service records, and transfer and financing needs, are all online, allowing data to flow quickly to the internal investment research system to improve efficiency.

[0082] Please refer to Figure 2 , Figure 2 A flow chart of a data interaction method for a securities firm provided by an embodiment of the present invention includes steps 201 to 203, which are as follows:

[0083] Step 201: determining the analyst and service information of the roadshow meeting according to the first subsystem, and initiating a roadshow reservation application according to the service information;

[0084] In this embodiment, the brokerage user can select the service type according to the service information module in the first subsystem, upload the corresponding basic service information according to each service type, and query the expertise, project experience, etc. of each analyst according to the analyst information displayed in the analyst module, so as to determine the roadshow analyst. Thus, a roadshow meeting reservation is initiated according to the basic service information and the roadshow meeting type, and the roadshow reservation information is generated.

[0085] Step 202: reviewing the roadshow reservation application according to the second subsystem, and matching the roadshow reservation application with a conference room according to the review result and the roadshow reservation information;

[0086] In this embodiment, the second subsystem reviews the roadshow reservation application, and matches the roadshow reservation application with a conference room according to the review result and the roadshow reservation information, specifically:

[0087] Acquire roadshow reservation information, and review the roadshow reservation information according to a first review rule, wherein the first review rule includes the number of participants, the meeting location, the availability of the meeting room, and the reservation status of the meeting room;

[0088] If the review is passed, the meeting room will be matched for the roadshow reservation application, and the meeting information will be uploaded, including the meeting topic, participants, meeting time and meeting room;

[0089] If the review is not passed, the roadshow reservation application will be returned to the first subsystem.

[0090] In this embodiment, the second subsystem receives the roadshow reservation application and reviews the roadshow reservation information according to the first review rule.

[0091] In this embodiment, the second subsystem receives the roadshow appointment application to generate an approval task, and automatically reviews the task regularly, determines the four conditions of the roadshow appointment application, namely the number of participants, the meeting location requirements, whether the meeting room is free, and whether the meeting room can be booked, and automatically matches the company's internal meeting room. If there is a meeting that meets the conditions, the review is passed, and the interface of the conference management system is called to upload information such as the meeting topic, participants, meeting time, and conference room, match the conference room, and notify the roadshow applicant of the review results by email or text message.

[0092] In this embodiment, if the review is not passed, the roadshow reservation application is returned to the first subsystem, and the roadshow applicant is notified to modify the reservation information.

[0093] In this embodiment, the second subsystem can support secondary manual review to improve fault tolerance.

[0094] In this embodiment, after the roadshow reservation is successful, the second subsystem will record the roadshow information, generate point assignment tasks according to the roadshow meeting information, and allocate the point assignment tasks according to the point assignment effect assessment.

[0095] In this embodiment, after the staff conducts the roadshow according to the assigned task, the roadshow conference service is automatically converted into a service record.

[0096] Step 203: Synchronize the data of the first subsystem and the second subsystem, obtain roadshow feedback information, and perform service analysis and effect assessment based on the roadshow feedback information.

[0097] In this embodiment, the service analysis and effect assessment based on the roadshow feedback information includes:

[0098] Acquire roadshow feedback information according to the roadshow evaluation module, wherein the roadshow feedback information includes a roadshow evaluation and a roadshow score;

[0099] An assessment result is generated based on the roadshow evaluation and the roadshow score, and a service analysis is performed based on the assessment result to generate a service report.

[0100] In this embodiment, after the service ends, the brokerage user can evaluate and score in the first subsystem. After the data of the first subsystem and the second subsystem are synchronized, the roadshow evaluation module receives the evaluation and score corresponding to the roadshow, and the staff can search for the evaluation information corresponding to the roadshow meeting in the roadshow evaluation module.

[0101] In this embodiment, the dispatch point analysis module scores and analyzes the dispatch points according to the evaluation and scoring corresponding to the roadshow and the service effect. The points of the dispatch points are used for performance appraisal of the dispatch points and are associated with the dispatch point task allocation.

[0102] Please refer to Figure 3 , Figure 3 Another flowchart of the data interaction method for a securities firm provided in an embodiment of the present invention.

[0103] In this embodiment, the securities dealer personnel input relevant information of the roadshow meeting in the first subsystem according to the data standard and initiate a roadshow reservation application.

[0104] In this embodiment, the system provides global search and calendar layout. Users can find application records by conference topic, broker, analyst, or participant, or directly select a specific date on the calendar panel to quickly search. After finding the original application record, you can choose to initiate a withdrawal.

[0105] In this embodiment, after receiving the request, the second subsystem will generate an audit task according to the first audit rule, and execute it automatically every few minutes. It will automatically match the company's internal conference room based on the four conditions of the number of participants, the meeting location requirements, whether the conference room is free, and whether the conference room can be booked. If any of the conditions are met, the interface of the conference management system will be called to upload information such as the meeting topic, participants, meeting time, and conference room, and automatically reserve a conference room.

[0106] In this embodiment, the audit result is sent to the first subsystem. If the audit result is not passed, re-communication and application are made; if the audit result is passed, door-to-door service is arranged.

[0107] In this embodiment, the roadshow conference service provided by the staff is automatically converted into a service record.

[0108] In this embodiment, the staff can generate a point dispatching task based on the point dispatching service data, where the point dispatching service data includes historical roadshow projects, service effects, service scores, and the like.

[0109] In this embodiment, the staff can query their respective service records on the system and perform dispatch work according to the service records.

[0110] In this embodiment, the points distribution analysis module can be used to perform scoring and effect analysis on the points distribution, and internal compliance checks can be performed, including system data detection.

[0111] In this embodiment, a data interaction system for brokerage institutions is jointly constructed by the first subsystem and the second subsystem, which is directly connected to the brokerage end. Through this platform, the data of both parties can be directly connected through the system, reducing manual links and improving efficiency.

[0112] In this embodiment, data standards and functional modules are specified in the first subsystem and the second subsystem according to the service type, so that data interaction with securities companies can be carried out in the system according to the standard structure for data entry and processing, thereby effectively ensuring the structure and standardization of data. In addition, the internal and external data are divided according to the first subsystem and the second subsystem to ensure that the internal and external data are relatively isolated, and the data interaction is kept unilateral as much as possible to ensure the security and reliability of data and the system, and also enable the verification and control of the validity and sensitivity of the data in advance at the system level.

[0113] The specific embodiments described above further illustrate the purpose, technical solutions and beneficial effects of the present invention. It should be understood that the above description is only a specific embodiment of the present invention and is not intended to limit the scope of protection of the present invention. It is particularly pointed out that for those skilled in the art, any modification, equivalent replacement, improvement, etc. made within the spirit and principle of the present invention should be included in the scope of protection of the present invention.

Claims

1. A data interaction system for a securities firm, characterized in that: include: A first subsystem and a second subsystem, wherein the first subsystem is used to manage external data of a securities firm, and the second subsystem is used to manage internal data of the securities firm, and the data of the first subsystem and the second subsystem are updated synchronously in real time; Wherein, the first subsystem includes a service information management module and a resource data management module, and the second subsystem includes a roadshow module; The service information management module is used to manage analyst information, service information and roadshow reservation information; the service information management module includes an analyst information module, a service information module and a roadshow reservation module; the service information module is used to determine the service type and the corresponding basic service information, and the service types include analyst roadshows, company reverse roadshows, expert meetings, surveys and commissioned projects; the roadshow reservation module is used to determine the roadshow meeting type and initiate roadshow meeting reservations, and generate roadshow reservation information, and the roadshow meeting types include online roadshows and offline roadshows; the analyst information module is used to determine the analysts for the roadshow meeting; The resource data management module includes a brokerage resource sharing module and a research report module; the brokerage resource sharing module is used to classify and organize brokerage resources; the research report module is used to generate a research report for a roadshow meeting; The roadshow module is used to confirm and match the conference room for the roadshow meeting according to the roadshow reservation information; the roadshow module includes a roadshow confirmation module, a conference room matching module and a roadshow publishing module; the roadshow confirmation module is used to approve the roadshow meeting according to the roadshow reservation information, and the roadshow reservation information includes meeting information, roadshow applicant information, roadshow address information, analyst and participant information; the conference room matching module is used to match the conference room according to the approval result of the roadshow meeting and the roadshow reservation information; the roadshow publishing module is used to display and publish the meeting information of the roadshow meeting; The second subsystem further includes a service feedback module; the service feedback module includes an information synchronization module, a roadshow evaluation module and a conference voice recognition module; the information synchronization module is used to synchronize the service type and the corresponding basic service information in the first subsystem; the roadshow evaluation module is used to find the evaluation information corresponding to the roadshow meeting; The second subsystem also includes a point dispatching management module, which includes a brokerage data query module, a point dispatching task generation module and a point dispatching analysis module; the brokerage data query module is used to query brokerage resource data; the point dispatching task generation module is used to generate point dispatching tasks based on point dispatching service data and point dispatching effect assessment, and assign the point dispatching tasks to corresponding points; the point dispatching analysis module is used to score and analyze the points according to the service effect.

2. A data interaction method for a securities firm, characterized in that: The data interaction system applied to the securities firm as claimed in claim 1 comprises: Determine the analyst and service information of the roadshow meeting according to the first subsystem, and initiate a roadshow reservation application according to the service information; Reviewing the roadshow reservation application according to the second subsystem, and matching the roadshow reservation application with a conference room according to the review result and the roadshow reservation information; Synchronize the data of the first subsystem and the second subsystem, and obtain roadshow feedback information, and perform service analysis and effect assessment based on the roadshow feedback information, including: obtaining roadshow feedback information according to the roadshow evaluation module, the roadshow feedback information including a roadshow evaluation and a roadshow score; generating an assessment result based on the roadshow evaluation and the roadshow score, and performing service analysis based on the assessment result to generate a service report.

3. The data interaction method of a securities firm as claimed in claim 2, characterized in that: The second subsystem is used to review the roadshow reservation application, and the roadshow reservation application is matched with a conference room according to the review result and the roadshow reservation information, specifically: Acquire roadshow reservation information, and review the roadshow reservation information according to a first review rule, wherein the first review rule includes the number of participants, the meeting location, the availability of the meeting room, and the reservation status of the meeting room; If the review is passed, the meeting room will be matched for the roadshow reservation application, and the meeting information will be uploaded, including the meeting topic, participants, meeting time and meeting room; If the review is not passed, the roadshow reservation application will be returned to the first subsystem.

4. The data interaction method of a securities firm as claimed in claim 2, characterized in that: After performing service analysis according to the assessment results and generating a service report, the method further includes: The service report is synchronized to the first subsystem, and the service report is sent to the roadshow applicant.

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