Investment transaction management system and method

Abstract

The invention discloses an investment transaction management system and method, and relates to the fund field, and the system comprises an off-site open-end fund account opening process management subsystem; the off-site open-end fund account opening process management subsystem comprises an instruction issuing module and an account opening execution module. The instruction issuing module is used for inputting account opening instruction information by an investment manager to issue an account opening instruction to a target trader and uploading account opening materials; the account opening execution module is used for the target trader to execute returning operation to return an account opening process to the investment manager and feed back materials missing in account opening to the investment manager; or the target trader executes account opening confirmation operation and submits the account opening material to the fund company or the fund consignment sales company for off-site open-end fund account opening. According to the application, the execution efficiency of off-site open-end fund account opening can be improved.

Description

Technical Field

[0001] The present application relates to the field of funds, and in particular to an investment transaction management system and method. Background Art

[0002] With the development of trust companies' standard product business, the business scale of over-the-counter open-end funds has been greatly improved. Direct sales of over-the-counter open-end funds require the opening of a fund account first. Generally, after the investment manager submits various materials and related information required for account opening, the trader contacts the fund company for offline account opening. In practice, this model often encounters problems such as incomplete submitted materials or related information, requiring traders to communicate offline with investment managers to complete the information and re-open the account, which leads to low execution efficiency. Summary of the invention

[0003] The purpose of this application is to provide an investment transaction management system and method that can improve the execution efficiency of over-the-counter open-end fund account opening.

[0004] To achieve the above objectives, this application provides the following solutions:

[0005] In a first aspect, the present application provides an investment transaction management system, comprising:

[0006] An account opening process management subsystem for over-the-counter open-end funds; the account opening process management subsystem for over-the-counter open-end funds includes: an instruction issuing module and an account opening execution module;

[0007] The instruction issuing module is used for the investment manager to input the account opening instruction information, issue the account opening instruction to the target trader and upload the account opening materials;

[0008] The account opening execution module is used for the target trader to perform a return operation to return the account opening process to the investment manager and feedback the missing materials for account opening to the investment manager; or the target trader to perform an account opening confirmation operation and submit the account opening materials to the fund company or fund sales company to open an over-the-counter open-end fund account.

[0009] Optionally, the investment transaction management system further comprises: an account opening confirmation module;

[0010] When the account opening of an over-the-counter open-end fund is an open-end fund direct sales account opening, the target trader submits the account opening materials to the fund company offline. After the fund company completes the account opening, it returns the account opening result offline. The account opening confirmation module is used for the target trader to perform the account opening confirmation operation and enter the account opening result;

[0011] When the opening of an over-the-counter open-end fund account is an open-end fund agency account opening, the target trader submits the account opening materials to the fund agency company online. After the fund agency company completes the account opening, it returns the account opening result online. The account opening confirmation module is used to perform the account opening confirmation operation according to the account opening result and store the account opening result.

[0012] Optionally, the instruction issuing module is further used to update the account opening instruction status after the investment manager issues the account opening instruction to the target trader, and store the account opening instruction record and the updated account opening instruction status in the open-end fund account opening instruction information table; the account opening instruction record includes account opening instruction information, account opening material upload time, account opening material file name, business date, account opening instruction sequence number, issuer, account opening material file path and account opening instruction status; the account opening instruction status is issued, revoked, opening an account, instruction returned or completed;

[0013] The account opening execution module is also used to update the account opening instruction status after the target trader executes the return operation or the confirmation operation, and store the account opening instruction execution information and the updated account opening instruction status in the open-end fund account opening instruction execution information table; the account opening instruction execution information includes the business date, the account opening instruction execution record number, the account opening instruction number and the account opening instruction execution status; the account opening instruction execution status is not executed or executed;

[0014] The account opening confirmation module is also used to update the account opening instruction status after the target trader executes the account opening confirmation operation, and store the account opening instruction result information and the updated account opening instruction status in the open-end fund account opening execution result table; the account opening instruction result information includes the business date, account opening instruction serial number, product name, fund company code, agency sales platform, account opening type, self-built TA account, self-built TA account name, Shanghai TA account, Shanghai TA account name, Shenzhen TA account and Shenzhen TA account name.

[0015] Optionally, the investment transaction management system further comprises: an information storage module for storing an open-end fund account opening instruction information table, an open-end fund account opening instruction execution information table and an open-end fund account opening execution result table.

[0016] Optionally, the investment transaction management system further includes: an instruction information display module, used to display the open-end fund account opening instruction information table.

[0017] Optionally, the investment transaction management system further includes: an instruction execution information display module, which is used to display the open-end fund account opening instruction execution information table.

[0018] Optionally, the investment transaction management system further includes: an instruction result display module, which is used to display the open-end fund account opening execution result table.

[0019] Optionally, the account opening instruction information includes: product name, account opening type, fund company code, agency sales platform, beneficiary name, beneficiary address, beneficiary ID type, beneficiary ID number, beneficiary ID validity period, whether the ID is valid for a long time, trader, remarks and TA account type.

[0020] Optionally, the investment transaction management system also includes: an instruction management module, which is used to query the business date of the account opening instruction, the account opening instruction serial number, the instruction status, the product name, the account opening type, the fund company, the agency sales platform, the beneficiary name, the beneficiary address, the beneficiary ID type, the beneficiary ID number, the beneficiary ID validity period, whether the ID is valid for a long time, the trader, the remarks, the TA account type, the account opening material file name, the account opening material upload time and the attachment remarks and display the query results.

[0021] In a second aspect, the present application provides an investment transaction management method, which is applied to the above-mentioned investment transaction management system, and the investment transaction management method includes:

[0022] The investment manager issues an account opening instruction to the target trader through the instruction issuing module and enters the account opening instruction information and uploads the account opening materials;

[0023] The target trader determines whether the account opening materials meet the requirements based on the account opening instruction information entered by the investment manager and the account opening materials uploaded;

[0024] If the requirements are not met, the target trader will feedback the missing materials for account opening in the account opening execution module, and then perform a return operation to return the account opening process to the investment manager, and send the feedback missing materials for account opening to the investment manager;

[0025] If the requirements are met, the target trader will confirm the account opening operation in the account opening execution module and submit the account opening materials to the fund company or fund sales company to open an over-the-counter open-end fund account.

[0026] According to the specific embodiments provided in this application, this application has the following technical effects:

[0027] This application provides an investment transaction management system and method. Trust companies usually build professional investment transaction management systems to manage the investment transaction flows of standard products such as over-the-counter open-end funds, stocks, and bonds. However, the current common investment transaction management systems can only input the results of fund account opening, and cannot manage the account opening process. Therefore, the account opening process management function of over-the-counter open-end funds is built in the investment transaction management system. When materials are missing, the missing materials for account opening can be directly fed back through the system, reducing the additional execution costs of offline communication to supplement materials and information, saving time, and improving the execution efficiency of over-the-counter open-end fund account opening. BRIEF DESCRIPTION OF THE DRAWINGS

[0028] In order to more clearly illustrate the embodiments of the present application or the technical solutions in the prior art, the drawings required for use in the embodiments will be briefly introduced below. Obviously, the drawings described below are only some embodiments of the present application. For ordinary technicians in this field, other drawings can be obtained based on these drawings without paying creative work.

[0029] Figure 1 A block diagram of an account opening process management subsystem for an over-the-counter open-end fund provided in an embodiment of the present application;

[0030] Figure 2 The account opening process diagram of the over-the-counter open-end fund provided for this application is the account opening process diagram of the open-end fund direct sales account opening;

[0031] Figure 3 The over-the-counter open-end fund account opening provided for this application is a schematic diagram of the account opening process when opening an open-end fund agency account. DETAILED DESCRIPTION

[0032] The following will be combined with the drawings in the embodiments of the present application to clearly and completely describe the technical solutions in the embodiments of the present application. Obviously, the described embodiments are only part of the embodiments of the present application, not all of the embodiments. Based on the embodiments in the present application, all other embodiments obtained by ordinary technicians in this field without creative work are within the scope of protection of this application.

[0033] In order to make the above-mentioned objects, features and advantages of the present application more obvious and easy to understand, the present application is further described in detail below with reference to the accompanying drawings and specific implementation methods.

[0034] In an exemplary embodiment, the present application provides an investment transaction management system, including:

[0035] The account opening process management subsystem of over-the-counter open-end funds; Figure 1As shown, the account opening process management subsystem of the over-the-counter open-end fund includes: an instruction issuing module and an account opening execution module.

[0036] The instruction issuing module has the functions of entering account opening instruction information and uploading material attachments. The instruction issuing module is used for the investment manager to enter the account opening instruction information, issue the account opening instruction to the target trader, and upload the account opening materials through the attachment uploading function. Furthermore, the instruction issuing module also includes the functions of attachment deletion, account opening material file name display, account opening material upload time generation, attachment remarks, etc.

[0037] The account opening execution module is used for the target trader to perform a return operation to return the account opening process to the investment manager and feedback the missing materials for account opening to the investment manager; or the target trader to perform an account opening confirmation operation and submit the account opening materials to the fund company or fund sales company to open an over-the-counter open-end fund account.

[0038] In an exemplary embodiment, the investment transaction management system further includes: an account opening confirmation module;

[0039] When the account opening of an OTC open-end fund is an open-end fund direct sales account opening, the target trader submits the account opening materials to the fund company offline. After the fund company completes the account opening, it returns the account opening result offline. The account opening confirmation module is used for the target trader to perform the account opening confirmation operation and enter the account opening result. When the account opening of an OTC open-end fund is an open-end fund agency sales account opening, the target trader submits the account opening materials to the fund agency sales company online. After the fund agency sales company completes the account opening, it returns the account opening result online. The account opening confirmation module is used to perform the account opening confirmation operation according to the account opening result and store the account opening result. The account opening result specifically includes: the actual account opening content, such as the Shanghai TA account and its name, etc.

[0040] In an exemplary embodiment, the instruction issuing module is also used to update the account opening instruction status after the investment manager issues an account opening instruction to the target trader, and store the account opening instruction record and the updated account opening instruction status in the open-end fund account opening instruction information table; the account opening instruction record includes account opening instruction information, account opening material upload time, account opening material file name, business date, account opening instruction serial number, issuer, account opening material file path and account opening instruction status; the account opening instruction status is issued, revoked, opening an account, instruction returned or completed. Among them, the account opening materials upload time refers to the time of uploading the account opening materials, the account opening materials file name refers to the name of the uploaded account opening materials, the business date is the date when the instruction is entered, the account opening instruction serial number is a number automatically generated by the system according to the instruction serial number generation logic, the issuer is the user who entered the instruction, the account opening materials file path is the absolute path of the selected uploaded attachment (account opening materials) (the account opening materials upload time, account opening materials file name, business date, account opening instruction serial number, issuer and account opening materials file path can all be generated by themselves), and the business date combined with the account opening instruction serial number is the only constraint.

[0041] The account opening execution module is also used to update the account opening instruction status after the target trader performs a return operation or performs an account opening confirmation operation, and store the account opening instruction execution information and the updated account opening instruction status in the open-end fund account opening instruction execution information table; the account opening instruction execution information includes the business date, the account opening instruction execution record number, the account opening instruction number and the account opening instruction execution status; the account opening instruction execution status is not executed or executed. In the account opening execution module, if the trader performs a return operation, the account opening instruction execution status is not executed, and if the trader performs an account opening confirmation operation, the account opening instruction execution status is executed.

[0042] The account opening confirmation module is also used to update the account opening instruction status after the target trader executes the account opening confirmation operation, and store the account opening instruction result information and the updated account opening instruction status in the open-end fund account opening execution result table; the account opening instruction result information includes the business date, account opening instruction serial number, product name, fund company code, agency sales platform, account opening type, self-built TA account, self-built TA account name, Shanghai TA account, Shanghai TA account name, Shenzhen TA account and Shenzhen TA account name.

[0043] The specific operation process of the account opening confirmation module is as follows: after selecting a record with an instruction status of account opening and clicking the account opening confirmation button, the account opening confirmation maintenance interface pops up. The interface includes product name, account opening type, fund company, agency platform, self-built TA account, self-built TA account name, Shanghai TA account, Shanghai TA account name, Shenzhen TA account, Shenzhen TA account name fields, as well as account opening confirmation button and cancel button. Among them, the data of the product name, account opening type, fund company, and agency platform fields are all derived from the account opening instruction information of the selected record; the self-built TA account, self-built TA account name, Shanghai TA account, Shanghai TA account name, Shenzhen TA account, Shenzhen TA account name fields will be displayed according to the TA account type checked in the account opening instruction. For unchecked account types such as self-built TA, the self-built TA account and self-built TA account name text filling boxes are grayed out and cannot be filled in. After completing the content filling, click the account opening confirmation button to submit the account opening information and update the account opening instruction status to completed. Click the cancel button to exit the account opening confirmation pop-up window.

[0044] In an exemplary embodiment, the investment transaction management system further includes: an information storage module for storing an open-end fund account opening instruction information table, an open-end fund account opening instruction execution information table, and an open-end fund account opening execution result table.

[0045] In an exemplary embodiment, the investment transaction management system further includes: an instruction information display module for displaying the open-end fund account opening instruction information table.

[0046] In an exemplary embodiment, the investment transaction management system further includes: an instruction execution information display module, which is used to display the open-end fund account opening instruction execution information table.

[0047] In an exemplary embodiment, the investment transaction management system further includes: an instruction result display module for displaying the open-end fund account opening execution result table.

[0048] In an exemplary embodiment, the account opening instruction information includes: product name, account opening type, fund company code, agency sales platform, beneficiary name, beneficiary address, beneficiary ID type, beneficiary ID number, beneficiary ID validity period, whether the ID is long-term valid, trader, remarks and TA account type. TA account types include self-built TA account, Shanghai TA account, Shenzhen TA account; account opening types include direct sales account opening and agency sales account opening. The account opening instruction of direct sales account opening corresponds to the open-end fund direct sales account opening instruction management process, and the account opening instruction of agency sales account opening corresponds to the open-end fund agency sales account opening instruction management process. Specifically, the account opening instruction information entry can search the product information table according to the entered product code or product name, and return the search results in real time. The search results are displayed as product code + product name; the fund company is based on the entered fund company name to retrieve the standard institutional data accessed by the system. The institutional data is first filtered and only the data of the financial institution type of securities investment fund company is provided for retrieval. Any data in the manual search results can be used as the input result of the fund company; the agency platform is displayed when the account opening type is selected as agency account opening, and it supports the selection of the agency platform name manually maintained in the system; the beneficiary name, beneficiary address, beneficiary ID number, beneficiary ID validity period, whether the ID is long-term valid, and trader are all filled in text content; the beneficiary ID types include identity card, organization code certificate, business license, etc.; the remarks can be filled in with the remarks content of the account opening instruction; the TA account type can be selected according to the account opening instruction.

[0049] In an exemplary embodiment, the investment transaction management system also includes: an instruction management module, which is used to query the business date of the account opening instruction, the account opening instruction serial number, the instruction status, the product name, the account opening type, the fund company, the agency sales platform, the beneficiary name, the beneficiary address, the beneficiary ID type, the beneficiary ID number, the beneficiary ID validity period, whether the ID is valid for a long time, the trader, the remarks, the TA account type, the account opening material file name, the account opening material upload time and the attachment remarks and display the query results. Specifically, the instruction management module includes an account opening instruction query function and an account opening instruction query result display function; the account opening instruction query function includes querying through information such as business date, account opening instruction serial number, instruction status, product name, account opening type, fund company, agency sales platform and TA account type; the instruction query display function is used to display the business date, account opening instruction serial number, instruction status, product name, account opening type, fund company, agency sales platform, beneficiary name, beneficiary address, beneficiary ID type, beneficiary ID number, beneficiary ID validity period, whether the ID is valid for a long time, trader, remarks, TA account type, account opening material file name, account opening material upload time and attachment remarks of the queried account opening instruction.

[0050] In another exemplary embodiment of the present application, the account opening execution module also includes a query function and an existing account opening information display function; the query function is used to check the query conditions in the list of pending account opening instructions, and the list of pending account opening instructions includes business date, account opening instruction serial number, instruction status, product name, account opening type, fund company, agency sales platform, TA account type, etc. The default display instruction status is the issued data, and it supports checking the instruction status to filter the query instruction data (for example, you can check completed and revoked to filter whether the instructions contain these two types of instruction status). The existing account opening information display function is used to display the product history of the instruction data selected in the list of pending account opening instructions. The return operation of the account opening execution module is to submit the instruction information selected in the list of account opening instructions to be executed to the instruction return interface, and the instruction status of the instruction is updated to instruction return; to confirm the account opening operation, if it is an agency account opening, the instruction information will be submitted to the agency account opening interface after the operation, and the instruction status will be updated to account opening; if it is a direct sales account opening, since direct sales usually do not provide an account opening interface, the instruction status will be manually updated to account opening after the operation.

[0051] In another exemplary embodiment of the present application, the account opening confirmation module includes an account opening instruction query condition configuration function and an account opening information display function; the account opening instruction query condition configuration function is consistent with the instruction query function of the instruction management module, that is, according to the business date, account opening instruction serial number, instruction status, product name, account opening type, fund company, agency sales platform, TA account type and other information, according to the instruction query function of the instruction management module, after entering the relevant attribute fields, the account opening instructions that meet the conditions can be queried, such as account opening instructions whose status is in progress or completed. The account opening information display function includes displaying the account opening instruction number, business date, instruction status, product name, account opening type, fund company, agency sales platform, self-built TA account, self-built TA account name, Shanghai TA account, Shanghai TA account name, Shenzhen TA account, Shenzhen TA account name (all the displayed information comes from the account opening instruction and account opening information); specifically, for records that have not completed the account opening confirmation, the fields of self-built TA account, self-built TA account name, Shanghai TA account, Shanghai TA account name, Shenzhen TA account, Shenzhen TA account name are all displayed as empty.

[0052] In an exemplary embodiment, the investment transaction management system also includes an investment transaction management module for managing the investment transaction process of standard products such as over-the-counter open-end funds, stocks, bonds, etc.

[0053] By adding the OTC open-end fund account opening process management function to the investment and trading management system, it is possible to reduce the need for repeated offline communication and supplementary account opening materials, without the need for tracking and communication. Text descriptions of missing or incorrect materials are more accurate than offline telephone communication, which improves account opening efficiency.

[0054] Unifying the investment and transaction management and account opening management of over-the-counter open-end funds into a single system platform improves the business scenario functions related to the development of over-the-counter open-end fund business and reduces business execution costs.

[0055] The workflow of the over-the-counter open-end fund account opening process management subsystem in the investment transaction management system provided in the embodiment of the present application includes an open-end fund direct sales account opening instruction management process and an open-end fund agency sales account opening instruction management process.

[0056] like Figure 2 As shown in the figure, the open-end fund direct sales account opening instruction management process starts when the investment manager issues the account opening instruction in the instruction issuance module. The workflow transfers the instruction to the trader selected in the account opening instruction. At this time, the instruction status is issued, and the account opening instruction data is recorded in the open-end fund account opening instruction information table in the information storage module. The trader confirms whether the fund company's direct sales account opening requirements are met based on the information and materials submitted by the investment manager. For account opening instructions that do not meet the conditions, the trader performs a return operation in the account opening execution module, returns the process to the investment manager, updates the instruction status to instruction return, and the account opening instruction execution status is not executed. The execution result is recorded in the open-end fund account opening instruction execution information table in the information storage module. If the conditions are met, the trader submits the account opening materials to the fund company offline based on the information and attachments provided by the instruction, and performs the account opening confirmation operation in the account opening execution module. The instruction status is updated to account opening, and the account opening instruction execution status is executed. The execution result is recorded in the open-end fund account opening instruction execution information table in the information storage module. After the fund company completes the account opening, it will return the account opening result offline. The trader will perform the account opening confirmation operation in the account opening confirmation module and manually enter the account opening result into the system. The instruction status of the account opening instruction will be updated to completed, and the data will be recorded in the open-end fund account opening execution result table in the information storage module for use by other functions.

[0057] like Figure 3As shown in the figure, the open-end fund agency account opening instruction management process starts when the investment manager issues the account opening instruction in the instruction issuance module. The workflow transfers the instruction to the trader selected in the account opening instruction. At this time, the instruction status is issued, and the account opening instruction data is recorded in the open-end fund account opening instruction information table in the information storage module. The trader confirms whether the agency account opening requirements of the agency platform are met based on the information and materials submitted by the investment manager. For account opening instructions that do not meet the conditions, the trader performs a return operation in the account opening execution module, returns the process to the investment manager, updates the instruction status to instruction return, and records the execution result in the open-end fund account opening instruction execution information table in the information storage module. If the conditions are met, the trader performs the account opening confirmation operation in the account opening execution module, and the relevant materials and information will be directly submitted to the fund agency company according to the account opening interface of the agency system. The instruction status is updated to account opening, and the execution result is recorded in the open-end fund account opening instruction execution information table in the information storage module. After the fund agency company completes the account opening, it returns the account opening result through the account opening result interface of the agency system. The instruction status of the account opening instruction in the system is updated to completed, and the received account opening result data is recorded in the open-end fund account opening instruction result table for use by other functions.

[0058] Based on the same inventive concept, an embodiment of the present application also provides an investment transaction management method for implementing the above-mentioned investment transaction management system.

[0059] The investment transaction management method comprises:

[0060] The investment manager issues an account opening instruction to the target trader through the instruction issuing module and enters the account opening instruction information and uploads the account opening materials.

[0061] The target trader determines whether the account opening materials meet the requirements based on the account opening instruction information entered by the investment manager and the account opening materials uploaded.

[0062] If the requirements are not met, the target trader will feedback the missing materials for account opening in the account opening execution module, and then perform a return operation, return the account opening process to the investment manager, and send the feedback missing materials for account opening to the investment manager.

[0063] If the requirements are met, the target trader will confirm the account opening operation in the account opening execution module and submit the account opening materials to the fund company or fund sales company to open an over-the-counter open-end fund account.

[0064] It should be noted that the user information (including but not limited to user device information, user personal information, etc.) and data (including but not limited to data used for analysis, stored data, displayed data, etc.) involved in this application are all information and data authorized by the user or fully authorized by all parties, and the collection, use and processing of relevant data must comply with relevant regulations.

[0065] In this application, all actions to obtain signals, information or data are carried out in compliance with the relevant data protection laws and policies of the country where they are located and with the authorization given by the owner of the corresponding device.

[0066] The technical features of the above embodiments may be combined arbitrarily. To make the description concise, not all possible combinations of the technical features in the above embodiments are described. However, as long as there is no contradiction in the combination of these technical features, they should be considered to be within the scope of this specification.

[0067] This article uses specific examples to illustrate the principles and implementation methods of this application. The description of the above embodiments is only used to help understand the method and core ideas of this application. At the same time, for those skilled in the art, according to the ideas of this application, there will be changes in the specific implementation methods and application scope. In summary, the content of this specification should not be understood as limiting this application.

Claims

1. An investment transaction management system, characterized in that: The investment transaction management system comprises: An account opening process management subsystem for over-the-counter open-end funds; the account opening process management subsystem for over-the-counter open-end funds includes: an instruction issuing module and an account opening execution module; The instruction issuing module is used for the investment manager to input the account opening instruction information, issue the account opening instruction to the target trader and upload the account opening materials; The account opening execution module is used for the target trader to perform a return operation to return the account opening process to the investment manager and feedback the missing materials for account opening to the investment manager; or the target trader to perform an account opening confirmation operation and submit the account opening materials to the fund company or fund sales company to open an over-the-counter open-end fund account.

2. The investment transaction management system according to claim 1, characterized in that: The investment transaction management system also includes: an account opening confirmation module; When the account opening of an over-the-counter open-end fund is an open-end fund direct sales account opening, the target trader submits the account opening materials to the fund company offline. After the fund company completes the account opening, it returns the account opening result offline. The account opening confirmation module is used for the target trader to perform the account opening confirmation operation and enter the account opening result; When the opening of an over-the-counter open-end fund account is an open-end fund agency account opening, the target trader submits the account opening materials to the fund agency company online. After the fund agency company completes the account opening, it returns the account opening result online. The account opening confirmation module is used to perform the account opening confirmation operation according to the account opening result and store the account opening result.

3. The investment transaction management system according to claim 2, characterized in that: The instruction issuing module is also used to update the account opening instruction status after the investment manager issues the account opening instruction to the target trader, and store the account opening instruction record and the updated account opening instruction status in the open-end fund account opening instruction information table; the account opening instruction record includes account opening instruction information, account opening material upload time, account opening material file name, business date, account opening instruction sequence number, issuer, account opening material file path and account opening instruction status; the account opening instruction status is issued, revoked, account opening in progress, instruction returned or completed; The account opening execution module is also used to update the account opening instruction status after the target trader executes the return operation or the confirmation operation, and store the account opening instruction execution information and the updated account opening instruction status in the open-end fund account opening instruction execution information table; the account opening instruction execution information includes the business date, the account opening instruction execution record number, the account opening instruction number and the account opening instruction execution status; the account opening instruction execution status is not executed or executed; The account opening confirmation module is also used to update the account opening instruction status after the target trader executes the account opening confirmation operation, and store the account opening instruction result information and the updated account opening instruction status in the open-end fund account opening execution result table; the account opening instruction result information includes the business date, account opening instruction serial number, product name, fund company code, agency sales platform, account opening type, self-built TA account, self-built TA account name, Shanghai TA account, Shanghai TA account name, Shenzhen TA account and Shenzhen TA account name.

4. The investment transaction management system according to claim 3, characterized in that: The investment transaction management system also includes: an information storage module for storing an open-end fund account opening instruction information table, an open-end fund account opening instruction execution information table and an open-end fund account opening execution result table.

5. The investment transaction management system according to claim 3, characterized in that: The investment transaction management system also includes: an instruction information display module, which is used to display the open-end fund account opening instruction information table.

6. The investment transaction management system according to claim 3, characterized in that: The investment transaction management system also includes: an instruction execution information display module, which is used to display the open-end fund account opening instruction execution information table.

7. The investment transaction management system according to claim 3, characterized in that: The investment transaction management system also includes: an instruction result display module, which is used to display the open-end fund account opening execution result table.

8. The investment transaction management system according to claim 3, characterized in that: The account opening instruction information includes: product name, account opening type, fund company code, agency sales platform, beneficiary name, beneficiary address, beneficiary ID type, beneficiary ID number, beneficiary ID validity period, whether the ID is long-term valid, trader, remarks and TA account type.

9. The investment transaction management system according to claim 8, characterized in that: The investment transaction management system also includes: an instruction management module, which is used to query the business date, account opening instruction serial number, instruction status, product name, account opening type, fund company, agency sales platform, beneficiary name, beneficiary address, beneficiary ID type, beneficiary ID number, beneficiary ID validity period, whether the ID is valid for a long time, trader, remarks, TA account type, account opening material file name, account opening material upload time and attachment remarks of the account opening instruction and display the query results.

10. An investment transaction management method, characterized in that: The investment transaction management method is applied to the investment transaction management system described in any one of claims 1 to 9, and the investment transaction management method comprises: The investment manager issues an account opening instruction to the target trader through the instruction issuing module and enters the account opening instruction information and uploads the account opening materials; The target trader determines whether the account opening materials meet the requirements based on the account opening instruction information entered by the investment manager and the account opening materials uploaded; If the requirements are not met, the target trader will feedback the missing materials for account opening in the account opening execution module, and then perform a return operation to return the account opening process to the investment manager, and send the feedback missing materials for account opening to the investment manager; If the requirements are met, the target trader will confirm the account opening operation in the account opening execution module and submit the account opening materials to the fund company or fund sales company to open an over-the-counter open-end fund account.

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