An investment bank electronic manuscript management method and device and a storage medium

Abstract

This invention discloses a method, apparatus, and storage medium for managing electronic project documentation in investment banking. First, it manages the project documentation directory template based on configurable and version management; then, it binds each stage of the project documentation directory; next, it maintains or rebuilds the project documentation directory; it stores project documentation files; it locks the project documentation directory; and finally, it submits the project documentation for verification. This invention not only enables standardized and customized flexible changes to the project documentation directory but also effectively assists in controlling the correctness and integrity of the project execution process. The coordinated operation of directory locking, documentation storage, and documentation submission effectively controls the execution process, ensuring its correctness and integrity. This invention guarantees the flexibility of investment banking project documentation to adapt to internal and external changes and the standardization of documentation file maintenance, thereby improving the efficiency of investment banking operations and the ability to control risks.

Description

Technical Field

[0001] This invention belongs to the field of electronic information technology, and in particular relates to a method, device and storage medium for managing electronic documents in investment banking. Background Technology

[0002] As the financial industry undergoes digital transformation, investment banks are shifting towards electronic management of their working papers to achieve goals such as risk control, standardized management, and greater convenience and efficiency. However, there is no unified industry standard for the execution of investment banking projects, and the management of electronic working papers is tied to the specific project processes of each investment bank, resulting in varying practices.

[0003] Currently available publicly available methods for managing electronic working papers in investment banking mainly focus on the management of working paper catalog templates and the management of electronic working papers for specific projects. There is no method for managing electronic working papers throughout the entire project execution process; it only targets the management of electronic working papers for a certain aspect (such as regulatory inspection) or a partial process.

[0004] The existing technology still has the following problems: 1. The project working paper catalog is not static: On the one hand, some internal and external factors may cause changes to the working paper catalog template, requiring a quick response to changes and adjustments to the working paper catalog structure, affecting both incremental and existing projects in progress; on the other hand, some projects may have customized working paper catalog requirements during execution, which can be dynamically adjusted as needed during project execution. 2. Misalignment between working paper versions and project phases: Project execution is phased, such as the project initiation phase, core review phase, application phase, and issuance phase. When the content of documents overlaps between different phases, version confusion can easily occur. Incorrect document operations can lead to risk control and compliance issues. How to effectively manage working paper documents at each stage and ensure the traceability of the working paper change history is also an important issue in investment banking electronic working paper management.

[0005] Therefore, how to efficiently respond to changes in working paper standards caused by internal and external factors, and how to use standardized working paper operations to assist in controlling project processes and ensure the correctness and integrity of the processes, is an urgent problem to be solved. Summary of the Invention

[0006] Purpose of the Invention: The purpose of this invention is to provide an investment banking electronic document management method based on multi-level configuration of the document catalog and standardized document operations. This not only enables standardized and flexible customization of the document catalog, but also effectively assists in controlling the correctness and completeness of the project execution process.

[0007] Technical solution: The present invention provides a method for managing electronic documents in investment banking, comprising the following steps: Step 1: Manage the draft catalog template based on configurable and version management; Step 2: Bind the various stages of the draft catalog; Step 3: Maintain or rebuild the project working paper catalog; Step 4: Save the project working files; Step 5: Lock in the project working paper directory; Step 6: Submit the project working papers for verification.

[0008] Furthermore, step 1 specifically involves: Configurable management is divided into two levels. The first level of configuration is the configuration of the standard template, which varies depending on the project type. Templates are imported via Excel or modified through a graphical interface. The second level of configuration is the customized configuration for specific project working papers, which involves adding customized directories. Customized directories can be added, deleted, and modified for maintenance, while all directories inherited from the standardized template cannot be maintained. Version management records the history of template changes, identifying each change with a unique version number and recording the incremental difference for each change.

[0009] Furthermore, step 2 specifically involves dividing the project execution process into different stages. The first-level directory of the design draft template directory is bound to each execution stage of the project, including the project initiation stage, the core stage, the application stage, and the release stage. Different stages fill in and improve all the content under a certain first-level directory; or the necessary processes of a certain stage are marked by configuration, such as due diligence and regulatory reporting.

[0010] Furthermore, step 3 specifically involves: when creating a new project working paper, providing the latest working paper directory template corresponding to the project type, inheriting all directories from the template, and adding necessary directories as needed according to project requirements. Deletion and modification can only be performed on customized directories; directories based on the template cannot be modified. Rebuilding the project working paper directory involves retrieving the latest version of the template corresponding to the current project type and improving the execution content of each stage.

[0011] Furthermore, step 4 specifically involves setting permissions and access controls to manage the reading and writing of working papers, and ensuring the secure and efficient storage and retrieval of files through a distributed file storage service.

[0012] Furthermore, step 5 specifically involves: locking the directory. If any subdirectory is not successfully locked, the directory containing the reporting process will be blocked, and a message will be displayed indicating that the directory was not successfully locked. The status of the directory not containing the reporting process cannot be updated to "success".

[0013] Furthermore, step 6 specifically involves: uniquely identifying a submission by using the hash value of the project, stage, and period number, as well as the submission ID; submitting a snapshot of the working document directory for this stage; and recording the mapping relationship between the submission ID, the directory snapshot, and the working document ID to preserve the submission history.

[0014] The present invention also discloses a computer device, including a memory, a processor, and a computer program stored in the memory, wherein the processor executes the computer program to implement the steps of the method of the present invention.

[0015] The present invention also discloses a computer-readable storage medium having a computer program / instructions stored thereon, which, when executed by a processor, implements the steps of the method of the present invention.

[0016] The present invention also discloses a computer program product, including a computer program / instructions that, when executed by a processor, implement the steps of the method of the present invention.

[0017] Beneficial effects: Compared with the prior art, the present invention has the following significant advantages: 1) Multi-level directory configuration: The first-level configuration enhances the flexibility of upgrading and replacing project working paper templates of various types, enabling rapid response to changes caused by internal and external factors; the second-level configuration solves the personalized expression of specific project working papers, which is suitable for situations where additional operations need to be added due to the special nature of the project being executed.

[0018] 2) Full retention of project execution working papers: The project directory is bound to the execution phase and serves as the first-level directory of the working papers, which forces the working paper content to be saved in stages. When the next stage is executed, the working paper content of the previous stage cannot be modified, which effectively ensures that the working paper history is fully retained during the project execution process.

[0019] 3) Directory Combination Operations to Assist in Project Flow Control: At the end of a certain phase of project execution, the directory for that phase needs to be locked. Once locked, the content cannot be modified. Only after successful locking can subsequent operations such as document storage and document submission be performed. The submission operation must maintain the mapping relationship between this submission and the document directory snapshot and document file snapshot, allowing for rapid restoration of the document state at the time of submission during project document verification and supervision. The coordinated operation of directory locking, document storage, and document submission effectively controls the execution flow, ensuring its correctness and completeness. Attached Figure Description

[0020] Figure 1 This is the process of the present invention. Detailed Implementation

[0021] The technical solution of the present invention will be further described below with reference to the accompanying drawings.

[0022] This invention designs an investment banking electronic working paper management method based on multi-level configuration of the working paper catalog and standardized working paper operations. This method not only enables standardized and customized flexible changes to the working paper catalog, but also effectively assists in controlling the correctness and completeness of the project execution process. The flowchart is as follows: Figure 1 As shown: 1. Working Paper Template Management: This module includes configurable and version management of templates. Configurable management is divided into two levels. Level 1 configuration is the configuration of standard templates, which differ for different project types. As laws, regulations, industry standards, and regulatory requirements evolve, templates for the same project type may also change. Templates can be imported via Excel or modified through a graphical interface. Level 2 configuration is the customized configuration for specific project working papers. Due to the specific nature of the projects being executed, some customized directories need to be added. Customized directories can be added, deleted, and modified for maintenance, while all directories inherited from the standardized template are not maintainable. Version management records the history of template changes, identifying each change with a unique (incrementing) version number and recording the increment difference for each change.

[0023] 2. Project Draft Directory Stage Binding: The project execution process is divided into different stages. The top-level directory of the design draft template is bound to each execution stage of the project. Different stages fill in and complete all the content under a certain top-level directory. It is also possible to configure and annotate the necessary processes of a certain stage, such as due diligence and regulatory reporting.

[0024] 3. Project working paper directory maintenance: When creating a new project working paper, the latest working paper directory template corresponding to the project type must be provided, and all directories of the template must be inherited. At the same time, necessary directories can be added according to project needs. Deletion and modification can only be applied to customized directories. Directories based on the template cannot be modified.

[0025] 4. Project working paper catalog reconstruction (optional): Due to the long duration of a project, the template version will be upgraded multiple times during the process. If necessary, all old versions of the working paper can be discarded, and the latest version of the template corresponding to the current project type can be retrieved, and the execution content of each stage can be improved.

[0026] 5. Project Working Paper Storage: Working papers are crucial evidence of the execution process and the quality of execution during project execution. Therefore, secure and stable storage of these papers is of paramount importance. Access control and permission settings are implemented to manage the reading and writing of working papers. Distributed file storage services are used to ensure secure and efficient storage and retrieval of these papers.

[0027] 6. Project Working Document Directory Locking: When a certain stage is completed during project execution, that is, the project working document stage is finalized, the entire directory of that stage needs to be locked, and no modifications are allowed. A version snapshot of the finalized version should be stored.

[0028] 7. Project working paper catalog submission: When the project is executed to each key node (refer to the necessary process configured in (2)), the relevant working paper catalog should be submitted in accordance with regulatory requirements. A snapshot of the working paper catalog and working paper files at the time of submission should be retained. The mapping relationship between each submission and the working paper catalog and working paper files should be maintained so as to facilitate subsequent historical traceability and regulatory supervision. The submitted content should be encrypted to ensure security.

[0029] 8. Project working paper submission: For projects that have already submitted the working paper catalog, there may be further regulatory verification. In this case, the working paper must be submitted. Based on the mapping relationship between submission and working paper maintained in step (7), find the file ID of the working paper snapshot version, and obtain the file from the file storage service according to the file ID and submit it in encrypted form. Example

[0030] When investment banks execute financial bond financing projects, ① they configure the working paper directory template 1-1 on the investment banking cloud platform (either by importing an Excel template file or manually configuring it via a graphical interface); ② they bind the template directory to the execution stage. Financial bonds include four stages: project initiation, internal review, application, and issuance (executed sequentially). After successful binding, these four stages become the first-level directory of the working paper, with the issuance stage involving the reporting process; ③ For a financial bond issuance project by Bank A, the financial bond template 1-1 is directly retrieved. If there are customized directory requirements for the project, they can be configured as needed. After configuration, the project can be executed according to the stage sequence; ④ In the project... If the content of the working papers changes during execution, the project working paper file storage module will be used to efficiently store the files; ⑤ When each stage is completed, the relevant directories of that stage will be locked to prevent subsequent modifications; ⑥ When the release stage is completed, after locking the directory, a reporting process is also involved. The reporting module will maintain the mapping relationship between this reporting and the project working paper directory snapshot and the project working paper file snapshot, and encrypt the directory snapshot for reporting; ⑦ When the project is selected for a lottery, the corresponding working paper file ID for this reporting will be found according to the mapping relationship maintained in ⑥. The working paper snapshot file will be obtained through the file ID and encrypted for reporting.

[0031] This invention provides an effective electronic document management method for investment banking. It not only enables standardized and customized change responses to documents through multi-level directory configuration, but also assists in controlling project processes through binding phases and directory combination operations, ensuring the correctness and completeness of the process and the full historical record of documents.

[0032] The key design features of this invention are as follows: 1) Hierarchical Directory Configuration Management: The first-level configuration maintains the working document template directories for different types of projects. These directories are stored in a multi-level tree structure in the database, storing the full directory for each version and recording the version numbers of the main and subdirectories, with version numbers incrementing. The second-level configuration maintains the customized directories for each project. Directories inherited from the templates are tagged and cannot be modified, while customized directories are maintainable and only retain the latest version information. This two-level directory configuration management enables flexibility in directory changes. 2) Document Directory Binding Stage: The first-level document directory is bound to the project execution stage. Project stages are numbered from smallest to largest, with smaller stages appearing first and larger stages appearing later. When a project progresses to the next stage, the document files of the previous stage can be deeply copied. Subsequent modifications will not affect the document files of the previous stage, only the document files of the current stage. Necessary processes such as due diligence and regulatory reporting are configured at each stage. After the necessary processes are completed, the stage status is updated to "success," and the document directory can then proceed to the next stage. This method effectively ensures that the entire document history is fully recorded during project execution. 3) Directory locking: When a stage is completed, the directory of that stage must be locked. If any subdirectory is not successfully locked, the directory containing the reporting process will be blocked and a message will be displayed indicating that the directory was not successfully locked. The status of the directory not containing the reporting process cannot be updated to success. 4) Submission verification: A project may involve multiple submissions during execution. Each submission is uniquely identified by the hash value (submission ID) of the project, stage, and period. The submission includes a snapshot of the working document directory for this stage, and the mapping relationship between the submission ID, the directory snapshot, and the working document ID is recorded to retain the submission history.

Claims

1. A method for managing electronic working papers in investment banking, characterized in that, Includes the following steps: Step 1: Manage the draft catalog template based on configurable and version management; Step 2: Bind the various stages of the draft catalog; Step 3: Maintain or rebuild the project working paper catalog; Step 4: Save the project working files; Step 5: Lock in the project working paper directory; Step 6: Submit the project working papers for verification.

2. The investment banking electronic document management method according to claim 1, characterized in that, Step 1 specifically involves: Configurable management is divided into two levels. The first level is the configuration of the standard template, which varies depending on the project type. Templates are imported via Excel or modified through a graphical interface. The second level is the customized configuration for specific project working papers, which involves adding customized directories. Customized directories can be added, deleted, and modified for maintenance, while all directories inherited from the standardized template cannot be maintained. Version management records the history of template changes, identifying each change with a unique version number and recording the incremental difference for each change.

3. The investment banking electronic document management method according to claim 1, characterized in that, Step 2 specifically involves dividing the project execution process into different stages, including the project initiation stage, the core stage, the application stage, and the release stage. The first-level directory of the design draft template is bound to each execution stage of the project. Different stages fill in and improve all the content under a certain first-level directory; or the necessary processes of a certain stage are marked by configuration, such as due diligence and regulatory reporting.

4. The investment banking electronic document management method according to claim 1, characterized in that, Step 3 specifically involves: when creating a new project working paper, providing the latest working paper directory template corresponding to the project type, inheriting all directories from the template, and adding necessary directories according to project needs. Deletion and modification can only be done for customized directories; directories based on the template cannot be modified. Rebuilding the project working document catalog involves retrieving the latest version template corresponding to the current project type and improving the execution content for each stage.

5. The investment banking electronic document management method according to claim 1, characterized in that, Step 4 specifically involves setting permissions and access control to manage the reading and writing of working papers, and ensuring the secure and efficient storage and retrieval of files through distributed file storage services.

6. The investment banking electronic document management method according to claim 1, characterized in that, Step 5 specifically involves: locking the directory. If any subdirectories are not successfully locked, those containing the reporting process will be blocked, and a message will be displayed indicating that the directory was not successfully locked. The status of subdirectories not containing the reporting process cannot be updated to "success".

7. The investment banking electronic document management method according to claim 1, characterized in that, Step 6 specifically involves: uniquely identifying a submission by using the hash value of the project, stage, and period number, as well as the submission ID; submitting a snapshot of the working document directory for this stage; and recording the mapping relationship between the submission ID, the directory snapshot, and the working document ID, thus preserving the submission history.

8. A computer device comprising a memory, a processor, and a computer program stored in the memory, characterized in that, The processor executes the computer program to implement the steps of the method of claim 1.

9. A computer-readable storage medium having a computer program / instructions stored thereon, characterized in that, When the computer program / instructions are executed by the processor, they implement the steps of the method of claim 1.

10. A computer program product comprising a computer program / instructions, characterized in that, When the computer program / instructions are executed by the processor, they implement the steps of the method of claim 1.

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