JP4220132B2 - Custody support method and custody support system - Google Patents

Description

[0001]
BACKGROUND OF THE INVENTION
The present invention relates to a custody support method and a custody support system for supporting a custody business.
[0002]
[Prior art]
When overseas investors such as overseas investors and securities companies trade domestic securities, they use custody services provided by banks and securities companies. For example, if a sales contract is concluded between an overseas resident investor and an overseas branch office of a domestic securities company for the purchase and sale of domestic securities, the investor will give the foreign custodian a purchase order (delivery of the securities accompanying the securities sale). Instructions). Then, the instruction is transmitted to a domestic bank or the like that performs custody work. Here, the bank receives an instruction from a business partner such as an overseas custodian via a SWIFT (The Society for Worldwide Interbank Financial Tele-communication). Based on the received instructions, the bank collates with the investor's account attributes and securities brand attributes, such as the investor's fund account or securities account. If there is no consistency, the instruction data is corrected by an operator's manual input or the like. Next, the bank determines whether or not the instructions can be verified by an instruction verification system (IRS) provided by an external organization. If verification by the order verification system is impossible, the operator performs verification by telephone. When collation by the order matching system is possible, the bank converts the order data into a communication message format suitable for the order matching system and transmits it to the order matching system. On the other hand, the overseas branch of the domestic securities company transmits the instruction to the domestic securities company, and the domestic securities company transmits the instruction to the instruction matching system in the same manner as described above. In the order matching system, the order data sent from both is collated, and the matching result is sent to a bank or the like.
[0003]
The bank that has received the result of order verification sends the data for securities transfer to the system used for the securities custodian transfer system after the funds are settled, and the balance transfer process for the securities in the system used for the securities custodian transfer system I do. Here, in the system used for the securities custody transfer system, the securities of the investor who is the customer are delivered by the balance transfer between the accounts of the participants (banks, securities companies, etc.). In other words, the balance transfer of securities is performed by the participant who delivers the securities instructing the withdrawal (transfer request) of his / her account, and the system used for the securities custody transfer system participates in the securities delivery according to the transfer request. This is done by paying out the account of the other party and putting it in the other party's account. Meanwhile, the investor holds an account with the participant. The account held by the investor participant is indirectly subjected to a balance transfer process by a system used in the securities storage transfer system by the process by the participant.
[0004]
Thus, conventionally, in securities transactions, T + 3 settlement is performed in which settlement is performed three business days after the transaction date.
[0005]
[Problems to be solved by the invention]
However, in the process of the conventional custody support system, there are many manual operations such as correction of instruction data by manual input or collation by telephone. In addition, instruction data received via a swift system from a business partner such as an overseas custodian may be received at night due to a time difference. However, in the process of the conventional custody support system, since the manual operation as described above is performed, it is difficult to perform the processing at night, and the rapid processing cannot be performed.
[0006]
In addition, the realization of T + 1 settlement, in which payment is made one business day after the transaction date, has become an international trend. Furthermore, in order to reduce settlement risk, DVP (Delivery Versus Payment) is being promoted, which simultaneously delivers securities and settles the funds that are the consideration. For this reason, it is necessary to process the instructions quickly. However, in the conventional custody work, there are many manual work processes that require human judgment, and automation is difficult.
[0007]
On the other hand, the collation process was performed using an order collation system based on the securities custody transfer system. Furthermore, a unified communication message format is used for data used in the swift system and the instruction collation system. As described above, system integration and communication message format integration are being carried out, but there was no support method or system for supporting custody work suitable for it.
[0008]
The present invention has been made in order to solve the above-described problems. The purpose of the present invention is to generate collation instruction data based on the received instruction data and transmit the collation instruction data to a system for performing collation processing. The object is to provide a custody support method and a custody support system capable of reflecting correction (cancellation and replacement) by the transmission source of the instruction data when they do not match.
[0009]
[Means for Solving the Problems]
  In order to solve the above problem, the invention according to claim 1Connected to a settlement verification system that performs verification of securities transaction instructions for settlement in securities transactions,An instruction data storage unit for recording instruction data received via an international financial network and a management computerIn the provided custody support system,A custody agency that carries out funds and / or securities settlement based on instructions for delivery of securities associated with domestic securities trading by overseas residents.IsaPort method,New data for instructing new sales transactions and instructions received earlier in the instruction data storage unit for instructions for delivery of securities associated with domestic securities trading by overseas residents via the international financial network Accepts instruction data including any of the Cancel data for invalidating the data and stores it in the instruction data storage unitInstruction data storageBased on the stage and the instruction data received through the international financial network,AboveGenerate verification instruction data to send to the payment verification systemGenerate order data for verificationStages,Generated in the verification instruction data generation stageSend the verification instruction data to the settlement verification systemSend order data for verificationAnd in the settlement verification systemSent in the verification instruction data transmission stageReceives the verification result data transmitted from the settlement verification system for the verification result of the verification instruction dataReceive verification result dataStages,Received in the verification result data reception stageThe verification result dataTSend to the sender of the instruction dataSend verification result dataStages,Received in the verification result data reception stageBased on the collation result data, it is determined whether the collation result is collation match or collation mismatchVerification result judgmentStageAnd when it is determined that the verification result data transmitted from the settlement verification system is a verification match in the verification result determination step,Determine whether the instruction data is the New data or the Cancel dataOrder data decision stage,In the order data judgment stageFrom the payment verification systemofThe instruction data is Cancel dataIt was judgedin case of,In the verification result judgment stageThe item contents of the cancel data corresponding to the verification instruction data match.It was judgedNew data, and the previously received New data stored in the instruction data storage unit is invalidated.Invalid stage and,In the order data judgment stageFrom the payment verification systemofThe instruction data is New dataIt was judgedIn the case of the matching instruction dataIt was determined that the item contents match for New data.New data, which is used to settle a securities transaction based on the instruction data stored in the instruction data storage unitWith a settlement stageThis is the gist.
[0010]
  The invention according to claim 2 is the custody support method according to claim 1,In a custody support system further comprising a payment method data storage unit for storing information relating to a payment method,SaidGenerate order data for inquiryStage isAboveBased on the information stored in the payment method data storage unit, information on the payment method is added to the instruction data.Provide information addition stageThis is the gist.
[0013]
  The invention according to claim 3 is the custody support method according to claim 1 or 2, wherein, for the instruction data, an account data storage unit for storing information related to a customer's fund account or securities accountIn the custody support system further comprising the account data storage unitAccount verification based on account data stored inAccount verificationStages,Verification was performed at the account verification stageRegarding account verification resultsAccount verification resultAnd a step of transmitting data to a transmission source of the instruction data.
[0014]
  The invention according to claim 4 is the custody support method according to any one of claims 1 to 3,In the verification result judgment stageThe collation result of the collation result data is a collation matchDeterminedIn this case, payment approval data for approval of payment is generated, and the payment approval data is sent to the payment verification system for payment of securities transaction.Settlement approval data transmissionAnd payment completion notification data for notifying payment completion from the payment verification systemReceive payment completion notification dataAnd generating settlement report data for reporting settlement completion based on the settlement completion notification data and transmitting it to the source of the instruction dataSettlement report data transmissionThe stage is further provided with a stage.
[0015]
  The invention according to claim 5 is the custody support method according to claim 4,In the custody support system further comprising a waiting data storage unit for storing waiting data associated with the instruction data,Check whether the fund account balance or the securities account balance in the account data storage unit is greater than or equal to the trading amount or quantity of the instruction data based on the instruction content of the instruction dataCheck balanceWith steps,At the balance confirmation stageThe fund account balance or securities account balance is less than the purchase amount or quantity of the order dataconfirmedThe waiting data associated with the instruction dataAboveStore in waiting data storageWait data storageAnd repeatedly confirming whether the fund account balance or the securities account balance in the account data storage unit is greater than or equal to the transaction amount or quantity of the instruction data based on the instruction data associated with the waiting dataCheck balance againAnd further comprising steps,
  The settlement approval data transmission stage is the balance confirmation stage or the balance reconfirmation stage.The fund account balance or securities account balance in the account data storage unit is greater than or equal to the purchase amount or quantity of the instruction data.ConfirmedIn this case, the payment approval data is generated based on the instruction content of the instruction data, and the payment approval data is transmitted to the payment verification system.Including stagesThis is the gist.
[0016]
  A sixth aspect of the present invention is the custody support method according to the fifth aspect,At the balance confirmation stage or the balance reconfirmation stageThe fund account balance or securities account balance in the account data storage unit is greater than or equal to the purchase amount or quantity of the instruction data.ConfirmedIn this case, prior to generating the settlement approval data, a reserve is made for the fund account balance or the securities account balance stored in the account data storage unit.ProvisionThe gist is that the method further includes steps.
[0017]
  A seventh aspect of the present invention is the custody support method according to any one of the fourth to sixth aspects, wherein a fund account balance or a securities account in the account data storage unit is based on a settlement amount of the settlement completion notification data. Update balanceupdateThe gist is that the method further includes steps.
[0018]
  The invention according to claim 8 provides:Connected to a settlement verification system that performs verification of securities transaction instructions for settlement in securities transactions,An instruction data storage unit for recording instruction data received via an international financial network and a management computerPreparation, A custody support system on behalf of funds and / or securities settlement based on instructions for delivery of securities accompanying domestic securities trading by overseas residents, where the management computer is resident overseas via the international financial network As for the delivery instruction of securities accompanying domestic securities trading by, one of New data for instructing a new trading transaction, Cancel data for invalidating the previously accepted instruction data stored in the order data storage unit Based on the instruction data storage means for receiving the instruction data including and storing the instruction data in the instruction data storage unit, and the instruction data received via the international financial network,AboveA collation instruction data generating means for generating collation instruction data to be transmitted to the payment collation system; a collation instruction data transmitting means for transmitting the collation instruction data to the settlement collation system; andSent by the verification instruction data sending meansVerification result data receiving means for receiving verification result data transmitted from the settlement verification system for the verification result of the verification instruction data; and the verification result dataTVerification result to be sent to the sender of the instruction dataFruitData transmission means and collation result judgment means for judging whether the collation result is collation match or collation mismatch based on the collation result dataAnd when the verification result determination means determines that the verification result data transmitted from the settlement verification system is a verification match,Determine whether the instruction data is the New data or the Cancel dataOrder data judgment means to,By the instruction data judging meansFrom the payment verification systemofThe instruction data is Cancel dataDeterminedIn this case, New data that matches the item contents of the Cancel data corresponding to the verification instruction data, and the previously received New data stored in the instruction data storage unit is invalidated.With invalid means to,By the instruction data judging meansThe verification result data for the verification instruction data is received from the settlement verification system, and the instruction data is New data.DeterminedIn the case of the matching instruction dataItem contents match for New dataNew data, which is used to settle a securities transaction based on the instruction data stored in the instruction data storage unitWith payment meansThis is the gist.
[0019]
  The invention according to claim 9 is the custody support system according to claim 8,A payment method data storage unit for storing information relating to the payment method;The verification instruction data transmission means includes:AbovePayment method data storagePartThe information about the payment method is added to the instruction data based on the information stored inInformation addition meansThe main point is that
[0022]
  The invention according to claim 10 is the custody support system according to claim 8 or 9, wherein for the order data, for the order data, account data storage for storing information relating to a customer's fund account or securities account.PartThe account data storagePartAccount verification means for verifying an account based on the account data stored inVerification was performed by the account verification meansThe gist of the present invention is that it further includes an account verification result data transmitting means for transmitting data relating to the account verification result to a transmission source of the instruction data.
[0023]
  The invention according to claim 11 is the payment approval data for approving the payment in the custody support system according to any one of claims 8 to 10, when the matching result of the matching result data is a matching match. And a payment approval data transmitting means for transmitting the payment approval data to the payment verification system for payment of a securities transaction, and payment completion notification data for performing a payment completion notification from the payment verification system Payment completion notification data receiving means;Received by the payment completion notification data receiving meansThe gist of the present invention is to further include settlement report data transmitting means for generating settlement report data for reporting settlement completion based on the settlement completion notification data and transmitting the settlement report data to a transmission source of the instruction data.
[0024]
  The invention according to claim 12 is the custody support system according to claim 11, further comprising a wait data storage unit for storing wait data associated with the instruction data, wherein the account is based on the instruction content of the instruction data. Balance check means for checking whether the fund account balance or the securities account balance stored in the data storage unit is greater than or equal to the trading amount or quantity of the instruction data, and the fund check balance or the securities account balance by the balance check means Is stored in the waiting data storage unit, and repeatedly, the instruction data storage associated with the waiting data is stored in the waiting data storage unit. Based on the instruction data stored in the department, the fund account balance or the securities account balance in the account data storage section is Balance reconfirmation means for confirming whether the transaction amount or quantity of the order data is equal to or greater than the order data, wherein the settlement approval data transmission means is a fund account of the account data storage unit by the balance confirmation means or the balance reconfirmation means If it is confirmed that the balance or securities account balance is equal to or greater than the purchase amount or quantity of the instruction data, the payment approval data transmission means generates the payment approval data based on the instruction content of the instruction data, Sending the payment approval data to the payment verification system.The gist.
[0025]
  The invention according to claim 13 is the custody support system according to claim 12,By the balance confirmation means or the balance reconfirmation meansAccount data storagePartThe funds account balance or securities account balance of the order data is greater than or equal to the purchase amount or quantity of the order dataConfirmedThe account data storage prior to generating the payment approval data.PartThe present invention further includes provision means for allocating the funds account balance or the securities account balance stored in.
[0026]
  The invention according to claim 14 is the custody support system according to any one of claims 11 to 13, wherein the account data storage is based on a settlement amount of the settlement completion notification data.PartThe present invention further includes update means for updating the fund account balance or the securities account balance stored in.
[0027]
  (Function)
  Claim 1 or Claim8According to the invention described inNew data for instructing new sales transactions and instructions received earlier in the instruction data storage unit for instructions for delivery of securities associated with domestic securities trading by overseas residents via the international financial network The instruction data including any of the Cancel data for invalidating the data is received and stored in the instruction data storage unit. Then, it is determined whether the instruction data is New data or Cancel data. If the instruction data is the Cancel data, the previously received instruction data stored in the instruction data storage unit is invalidated. be able to. AndBased on the instruction data, it is possible to automatically generate verification instruction data and transmit it to a settlement verification system that performs verification of securities transaction instructions. Further, the verification result data transmitted from the settlement verification system can be received, and based on this, the verification result data can be transmitted to the transmission source of the instruction data. Furthermore, it is possible to make a settlement for a case where the matching result in the settlement matching system is a matching match. As a result, with regard to verification of securities transaction instructions, necessary data editing and data transmission / reception are automated between the sender of the instruction data and the payment verification system. Can be done.
[0028]
  Claim 2 or claim9According to the invention described in the above, it is possible to generate verification instruction data by adding information related to the settlement method to the received instruction data..
[0029]
  ContractClaim3Or claim10According to the invention described in the above, it is possible to collate the account difference included in the instruction data by collating the customer's fund account or securities account, and notify the collation result to the transmission source of the instruction data.
[0030]
  Claim4Or claim11According to the invention described above, when the verification result by the payment verification system is a verification match, the execution of the payment can be instructed by transmitting the payment approval data to the payment verification system. Further, by transmitting settlement report data based on settlement completion notification data received from the settlement verification system, the completion of settlement can be notified to the transmission source of the instruction data.
[0031]
  Claim5Or claim12According to the invention described in the above, when the fund account balance or the securities account balance is less than the trading amount or quantity of the instruction data, the data associated with the instruction data is stored as waiting data, and based on this, again, You can check your balance. Thereby, even when the balance is not sufficient in the initial confirmation, if the confirmation to be performed again is sufficient, it is possible to create settlement approval data and instruct execution of the settlement.
[0032]
  Claim6Or claim13According to the invention described in the above, preparation is made for funds or securities that are scheduled to be spent for settlement by making provisions prior to instructing execution of settlement by sending settlement approval data to the settlement verification system. Can be kept.
[0033]
  Claim7Or claim14According to the invention described in the above, it is possible to update the fund account balance or the securities account balance based on the settlement amount of the settlement completion notification data, and reflect the settlement amount in the settlement verification system.
[0034]
DETAILED DESCRIPTION OF THE INVENTION
Hereinafter, an embodiment embodying the present invention will be described with reference to FIGS. In this embodiment, the bank's custody support system adds the payment information to the swift transmission instruction data received via the swift system, creates collation instruction data, and collates the contents of the instruction using the securities custody transfer system Sent to securities storage transfer system. In addition, if the match result by the securities custodian transfer system is a match, when the bank's custody support system sends the settlement approval data to the securities custodian transfer system, the securities custodian transfer system uses the information in the verification order data. To make a DVP payment.
[0035]
As shown in FIG. 1, a bank custody support system 20 is connected to a swift system 10 and a securities storage transfer system 11 of a financial network operating organization.
[0036]
The SWIFT system 10 is a data communication system of SWIFT, which is an international financial network operating organization, and performs transmission / reception of data such as SWIFT transmission instruction data with the custody support system 20. When an overseas investor issues an instruction (instruction for delivery of securities accompanying securities trading) to an overseas custodian, the instruction from the overseas custodian is sent to the custody support system 20 via the swift system 10 as swift transmission instruction data. Sent.
[0037]
The securities custody transfer system 11 is a settlement collation system that collates securities transaction orders based on the contents of the orders by the securities custody transfer system, and settles securities trading transactions by DVP settlement. The securities storage transfer system 11 is connected to the custody support system 20 through a network such as a public line, and transmits / receives each data to / from the custody support system 20.
[0038]
The custody support system 20 includes a management computer 21 as shown in FIG. The management computer 21 is a computer having a CPU, a RAM, a ROM, etc. (not shown), and executes various programs, manages data described later, and controls transmission / reception. In other words, the management computer 21 includes a verification instruction data transmission unit, a verification result data reception unit, an account difference addition verification result data transmission unit as a verification result generation data transmission unit, a verification result determination unit, an instruction data type determination unit, and instruction data. Control means such as invalidation means, settlement approval data transmission means, settlement completion notification data reception means, settlement report data transmission means, balance confirmation means, balance reconfirmation means, allocation means and update means are provided.
[0039]
The management computer 21 includes an instruction data storage unit 22 as instruction data storage means for storing instruction data, a payment method data storage unit 23 as payment method data storage means for storing payment method data, and account data for storing account data. An account data storage unit 24 as a storage unit and a waiting data storage unit 25 as a waiting data storage unit for storing waiting data are connected to each other.
[0040]
As shown in FIG. 2, the instruction data storage unit 22 stores the instruction data 220 for each instruction based on the swift transmission instruction data for performing the settlement instruction received via the swift system 10. In the present embodiment, the instruction data 220 includes a reference number, data type, securities brand, trading identifier, quantity, trading amount, securities account number, counterparty, counterparty customer, delivery date, verification result, and status. The reference number is an identifier of the instruction data 220 recorded in the instruction data storage unit 22, and is set by the management computer 21 when the received swift transmission instruction data is recorded in the instruction data storage unit 22. The data type, securities name, trading identifier, quantity, trading amount, securities account number, counterparty, counterparty customer, and delivery date are set in the swift transmission instruction data received via the swift system 10, and the received swift Transmission instruction data is set as each item of the instruction data 220.
[0041]
The data type indicates whether the swift transmission instruction data received via the swift system 10 is New data or Cancel data. New data refers to swift transmission instruction data transmitted via the swift system 10 by a new instruction from an overseas investor. On the other hand, the cancel data refers to swift transmission instruction data for invalidating the swift transmission instruction data previously transmitted via the swift system 10. The sale identifier is an identifier that indicates whether the order is sold or sold by the instruction data 220. The quantity indicates the number of shares of the securities to be bought and sold. The securities account number means, for example, a securities account number of an investor in a bank. The counterparty refers to a domestic counterparty company or Custody Bank, for example, “XX Securities Company Tokyo Branch”. The counterparty customer means an overseas counterparty securities company, Custody Bank or an investor, for example, “XX Securities Company London Branch”. The collation result refers to a collation result by the securities storage transfer system 11, and collation match or collation mismatch is set based on the collation result data received from the collation result securities storage transfer system 11. The status indicates the status of the instruction data 220, and Cancel is set for the previously input New data when the New data previously input by the Cancel data is invalidated.
[0042]
As shown in FIG. 3, the settlement method data storage unit 23 includes settlement method data 231 for each customer that identifies a settlement method for each customer, settlement method data 232 for each securities brand that identifies a settlement method for each securities brand, and each counterparty. The payment method data 233 for each partner for specifying the payment method is stored as the payment method data 230. The customer-specific settlement method data 231 includes a securities account number, a fund account number, and a settlement method. The settlement method specifies whether it is a securities book ticket settlement or a custody transfer mechanism settlement. The securities brand-specific settlement method data 232 includes securities brands and participation / non-participation of the custody transfer mechanism. The counterparty settlement method data 233 is composed of a settlement method, an account transfer organization account number, a fund settlement bank, a fund account number, and a securities receiving location. The settlement method specifies whether the ticket settlement or the storage transfer mechanism settlement. The securities receiving place specifies whether it is a counter of a bank that operates this custody support system, a counter of a counterparty, or a securities agency. The customer-specific settlement method data 231, the securities brand-specific settlement method data 232, and the counterparty-specific settlement method data 233 are set in advance prior to the processing of this embodiment.
[0043]
As shown in FIG. 4, the account data storage unit 24 stores the fund account data 241 and the securities account data 242 as account data 240 for each account. In the present embodiment, the fund account data 241 includes a customer name, a fund account number, a fund account balance, and a reserve fund, and the securities account data 242 includes a customer name, a securities account number, a securities brand, a securities balance, and an allocated security. Composed. The fund account data 241 and the securities account data 242 are set in advance prior to the processing of this embodiment.
[0044]
The waiting data storage unit 25 stores the reference number as waiting data 250 as shown in FIG. The management computer 21 stores the reference number of the instruction data 220 as the waiting data 250 when the balance inquiry result performed prior to the settlement processing by the securities custody transfer system 11 is not sufficient.
[0045]
Next, the processing procedure of the present invention will be described with reference to FIGS.
In the present embodiment, the custody support system 20 performs a process related to the custody work by an information system process for collating the instruction data 220 and a bill system process for performing a settlement process. Information processing is shown in S1-1 to S1-10 in FIG. The accounting process is shown in FIG. In the present embodiment, the information processing is performed at T (contract date) at night, and the bill processing is performed during T + 1 (one business day after the contract date).
[0046]
As shown in FIG. 6, the management computer 21 of the custody support system 20 receives the swift transmission instruction data from the swift system 10 (S1-1). In the swift transmission instruction data, the New data transmitted through the swift system 10 when a foreign investor newly makes an instruction and the swift transmission instruction data previously transmitted through the swift system 10 are invalidated. There is Cancel data for this purpose. The management computer 21 adds a reference number as attribute data to the received swift transmission instruction data (S1-2), and records it as instruction data 220 in the instruction data storage unit 22 (S1-3).
[0047]
Then, the management computer 21 sets the settlement method data 231 for each customer, settlement method data 232 for each securities brand, and settlement for each counterparty stored in the settlement method data storage unit 23 based on the securities brand and the securities account number of the instruction data 220. A settlement method and the like are extracted from the method data 233. That is, the participation / non-participation of the storage transfer mechanism for each securities issue is extracted from the securities issue settlement method data 232 based on the securities issue. Here, in the case of participation in the storage transfer mechanism, it is a target of processing in the present embodiment. In addition, the settlement method (securate securities settlement or custody transfer mechanism settlement) and the fund account number are extracted from the settlement method data 231 by customer by the securities account number. Then, the settlement method (separate securities settlement or custody transfer mechanism settlement) and the securities delivery location are extracted from the settlement method data 233 by counterparty based on the extracted fund account number. When both the payment method of the customer-specific payment method data 231 and the payment method of the counterparty-specific payment method data 233 are storage transfer mechanism payments, they are targets of the payment processing in the securities storage transfer system in this embodiment. Then, the management computer 21 adds the extracted securities delivery method (participation / non-participation in the custody transfer mechanism), the securities delivery location and the funds settlement method to the items in the swift transmission instruction data of the instruction data 220 to store the securities. The verification instruction data to be transmitted to the transfer system 11 is generated (S1-4) and transmitted to the securities storage transfer system 11 (S1-5).
[0048]
In the securities custody transfer system 11, whether the instruction content of the verification instruction data received from the custody support system 20 matches the instruction content of the partner securities company or custody bank instruction data separately transmitted from the partner securities company or custody bank Check whether or not. That is, the securities custody transfer system 11 collates the collation instruction data with the partner securities company or custody bank instruction standby data recorded for the previously received partner securities company or custody bank instruction data. On the other hand, for the counterpart securities company or custody bank instruction data, the securities custody transfer system 11 collates with the collation instruction standby data recorded for the collation instruction data received earlier. If the collation result for the collation instruction data does not match, the securities storage transfer system 11 records the collation instruction standby data based on the collation instruction data that did not match. On the other hand, if the collation result for the partner securities company or custody bank instruction data does not match, the securities custody transfer system 11 performs the partner securities company or custody bank instruction based on the partner securities company or custody bank instruction data that did not match. Record standby data.
[0049]
As shown in FIG. 7, upon receipt of verification instruction data from the custody support system 20 (S2-1), the securities custody transfer system 11 records the verification instruction data in the storage unit of the securities custody transfer system 11 ( S2-2). Then, the securities custody transfer system 11 determines whether the verification instruction data is New data or Cancel data (S2-3). When the collation instruction data received from the custody support system 20 is New data (in the case of New data in S2-3), the securities custody transfer system 11 uses the collation instruction data as the counterpart securities company or custody bank instruction standby data. (S2-4).
[0050]
When there is counterpart securities company or custody bank instruction standby data that matches the verification instruction data (YES in S2-5), the securities custody transfer system 11 performs the verification instruction data, the counterpart securities company or custody bank instruction standby data, The contents of the instruction are collated for (S2-6). If the contents of the instructions match as a result of the verification (YES in S2-7), the securities custody transfer system 11 transmits the verification match result as verification result data to the custody support system 20 and the partner securities company or Custody Bank system. (S2-8). In this case, the corresponding counterparty securities company or custody bank instruction standby data is deleted. As a result of the collation, if the order contents do not match (NO in S2-7), the securities storage transfer system 11 transmits the collation mismatch result as collation result data to the custody support system 20 (S2-9). Further, when there is no counterpart securities company or custody bank instruction standby data that matches the verification instruction data (NO in S2-5), the securities storage transfer system 11 transmits the verification mismatch result to the custody support system 20 as verification result data. (S2-9). In this case, the securities storage transfer system 11 records the verification instruction standby data based on the verification instruction data. This verification instruction standby data is verified against the counterpart securities company or custody bank instruction data when the securities custody transfer system 11 receives the counterpart securities company or custody bank instruction data later, and the verification result is a verification match. If deleted. In this case, the securities custody transfer system 11 transmits the matching result as matching result data to the custody support system 20 and the system of the partner securities company or the custody bank.
[0051]
That is, when the securities custody transfer system 11 receives the collation instruction data before the counterpart securities company or custody bank instruction data, the collation mismatch result is once collated from the securities custody transfer system 11 to the custody support system 20. Sent as result data. Then, when the securities custody transfer system 11 later receives the partner securities company or custody bank instruction data that matches the collation instruction data, the custody support system 20 sends the collation match result to the custody support system 20. It is sent as verification result data. On the other hand, when the securities custody transfer system 11 receives the verification instruction data after the counterpart securities company or the custody bank instruction data, the verification match result is sent from the securities custody transfer system 11 to the custody support system 20 as verification result data. Sent.
[0052]
On the other hand, when the collation order data from the custody support system 20 is Cancel data (in the case of Cancel data in S2-3), the securities custody transfer system 11 uses the collation instruction data previously input. The data is collated with New data (S2-10). If there is New data that matches the Cancel data (YES in S2-11), the securities storage transfer system 11 determines whether the NEW data can be canceled (S2-12). Here, when the settlement for the NEW data has already been completed, it cannot be canceled. When cancellation is possible (YES in S2-12), the securities custody transfer system 11 performs a cancel process and invalidates the New data recorded in the storage unit of the securities custody transfer system 11 (S2-13). ). In this case, the securities custody transfer system 11 transmits the cancellation result as collation result data to the custody support system 20 (S2-14). On the other hand, if cancellation is not possible (NO in S2-12), the securities storage transfer system 11 transmits information indicating that cancellation is impossible to the custody support system 20 as verification result data (S2-15). Further, when there is no New data that matches the Cancel data (NO in S2-11), the securities storage transfer system 11 transmits to the custody support system 20 as verification result data that the cancellation is impossible (S2-15). When the transmission of these verification result data to the custody support system 20 is completed, the securities storage transfer system 11 ends the verification process.
[0053]
The custody support system 20 receives the collation result data (S1-6), and records the collation result in the instruction data storage unit 22 (S1-7). Further, the management computer 21 refers to the customer-specific settlement method data 231 and checks the account as to whether the securities account number in the instruction data 220 is a valid account (S1-8). And the management computer 21 transmits the account difference addition collation result data which added the account collation result to the collation result by the securities storage transfer system 11 to the swift system 10 (S1-9). The foreign custodian receives the account difference additional verification result data via the swift system 10 and corrects the instruction content by the overseas investor if the verification mismatch of the verification result is not resolved or if the verification result of the account is an error ( Cancel and replace). When the instruction content is corrected in the overseas custodian, New data and Cancel data are transmitted to the management computer 21 via the swift system 10. New data is corrected swift transmission instruction data. The Cancel data is swift transmission instruction data for invalidating the swift transmission instruction data previously transmitted to the custody support system 20. When the management computer 21 receives these swift transmission instruction data (S1-1), the management computer 21 processes each swift transmission instruction data according to FIG.
[0054]
  Further, when the custody support system 20 receives the collation match result as the collation result data from the securities custody transfer system 11 (YES in S1-10), the custody support system 20 determines whether the instruction data 220 is New data or Cancel data (S1). -11). When the instruction data 220 is Cancel data (S1-11In the case of Cancel data), Cancel is recorded in the status area of the instruction data 220 recorded in the instruction data storage unit 22 (S1-12), and the process ends. On the other hand, when the instruction data 220 is New data (in the case of New data in S1-11), the account processing described later is performed (S1-13). On the other hand, when the custody support system 20 receives a verification mismatch result as verification result data from the securities storage transfer system 11 (NO in S1-10), the process ends.
[0055]
In addition, when the securities custody transfer system 11 receives the verification instruction data prior to the counterparty securities company or the custody bank instruction data, the verification mismatch result is once converted from the securities custody transfer system 11 to the custody support system as the verification result data. 20 is transmitted. Then, when the partner securities company or custody bank instruction data is transmitted to the securities custody transfer system 11, the verification match result is transmitted from the securities custody transfer system 11 to the custody support system 20 as verification result data. In this case, the custody support system 20 performs the process shown in FIG. 6 based on the collation result data of the collation mismatch result received first, and then receives the collation result data of the collation match result. Based on the above, the processes after S1-6 are performed again.
[0056]
Next, accounting processing will be described.
As shown in FIG. 8, in the account processing in the custody support system 20, the management computer 21 first inquires about the fund account balance and the securities balance stored in the account data storage unit 24 (S3-1). Specifically, the management computer 21 specifies the customer name based on the securities account number of the instruction data 220. When the trade type is “buy”, the customer account settlement method data 231 is referred to based on the securities account number, the fund account number is identified, and the fund account balance is identified. If the balance is not sufficient (NO in S3-2), the management computer 21 stores the reference number as the waiting data 250 in the waiting data storage unit 25 (S3-3). The management computer 21 refers to the corresponding instruction data 220 based on the reference number of the waiting data 250 stored in the waiting data storage unit 25, and again stores the fund account balance and the securities balance stored in the account data storage unit 24. Is inquired (S3-1). In this case, if the processing for the instruction data 220 based on the previously input swift transmission instruction data is completed and then the funds account balance and securities balance in the account data storage unit 24 are referred again, the balance becomes sufficient. there is a possibility. On the other hand, if the balance is sufficient (YES in S3-2), the management computer 21 allocates the fund account balance or the securities balance in the account data storage unit 24 and records the allocated funds or the allocated securities (S3-4). . Then, the management computer 21 generates settlement approval data based on the allocated instruction data 220 (S3-5), and transmits the generated settlement approval data to the securities storage transfer system 11 (S3-6).
[0057]
Upon receipt of the settlement approval data, the securities custody transfer system 11 performs the DVP settlement process using the collation instruction data received from the custody support system 20 during the collation process based on the collation instruction data. When the DVP settlement process is completed, the securities storage transfer system 11 transmits settlement completion notification data to the management computer 21 of the custody support system 20.
[0058]
The management computer 21 receives the settlement completion notification data (S3-7), and updates the fund account balance and the securities balance in the account data storage unit 24 based on the settlement result of the settlement completion notification data (S3-8). Then, the management computer 21 generates settlement report data based on the settlement completion notification data (S3-9) and transmits it to the swift system 10 (S3-10).
[0059]
As described above, according to the present embodiment, the following effects can be obtained.
In the above embodiment, the custody support system 20 automatically sets necessary attribute information in the swift transmission instruction data and generates collation instruction data. Thereby, the order data for collation can be produced | generated without going through a manual operation | work, and a process can be speeded up.
[0060]
In the above embodiment, the custody support system 20 adds account verification results to verification result data and automatically generates account difference addition verification result data. Thereby, account difference addition collation result data can be produced | generated without going through a manual operation, and a process can be speeded up.
[0061]
In the above embodiment, the custody support system 20 automatically generates settlement report data based on the settlement completion notification data. As a result, settlement report data can be generated without manual operation, and the processing can be speeded up.
[0062]
In the above-described embodiment, if there is a mismatch as a result of the matching process in the securities custody transfer system 11, the New data that is the corrected swift transmission instruction data is transmitted to the custody support system 20 via the swift system 10. The Further, the swift transmission instruction data which is the cancel data for the instruction content before correction is transmitted to the custody support system 20 via the swift system 10, and the verification mismatch instruction data 220 is invalidated by the cancel data. Thereby, even when the collation result is a collation mismatch, the instruction data 220 can be corrected without correction by manual operation in the custody support system 20, and the processing can be speeded up.
[0063]
In the above embodiment, the custody support system 20 transmits the verification instruction data to the securities storage transfer system 11 regardless of whether the swift transmission instruction data is New data or Cancel data. As a result, the securities storage transfer system 11 can invalidate the collation instruction data, which is New data received earlier, based on the collation instruction data, which is Cancel data.
[0064]
In the above embodiment, the custody support system 20 records the reference number of the instruction data 220 in the wait data storage unit 25 as the wait data 250 when the balance is not sufficient in the accounting process, and based on this, again, Inquire balance. Thereby, before the settlement result based on the previously received swift transmission instruction data is reflected in the account data storage unit 24, the balance is inquired for the instruction data 220 based on the newly received swift transmission instruction data. Even if the result of the determination is not sufficient, the balance can be referred again.
[0065]
In the above embodiment, the information processing is performed at night of T (contract date), and the bill processing is performed during the day of T + 1 (one business day after the contract date). Thereby, T + 1 settlement is realized.
[0066]
In addition, you may change the said embodiment into the following aspects.
In the above embodiment, the connection between the overseas custodian and the custodian support system 20 is made via the swift system 10. However, the overseas custodian and the custodian support system 20 are connected to each other through a dedicated line, a public line, the Internet, or a wide area network. You may connect using.
[0067]
In the above embodiment, the securities custody transfer system 11 and the custody support system 20 are connected via a public line. However, the securities custody transfer system 11 and the custody support system 20 are connected to a dedicated line, the Internet, a wide area network, or You may connect using data communication systems, such as Swift.
[0068]
In the above embodiment, the storage units 23 and 24 are set in the custody support system 20, but the payment method data storage unit 23 or the account data storage unit 24 may be set separately.
[0069]
In the above embodiment, the communication message format of the data to be transmitted / received is not particularly defined, but the swift transmission instruction data and verification instruction data, verification result data and account difference addition verification result data, and settlement completion notification data and settlement Each report data may have a unified communication message format. Further, the data structure of the storage unit in the custody support system 20 may be unified with these data. By doing so, processing such as data conversion can be reduced when the custody support system 20 and the swift system 10 are connected or when the custody support system 20 and the securities storage transfer system 11 are connected.
[0070]
In the above embodiment, the management computer 21 receives the swift transmission instruction data from the swift system 10, but may receive data related to the instruction from a system other than the swift system 10. Further, the communication message format of the data regarding the instruction may be a communication message format different from the swift transmission instruction data transmitted from the swift system 10 to the management computer 21. In this case, the management computer 21 generates collation instruction data in a communication message format used in the securities storage transfer system 11 based on the received data relating to the instructions, and transmits it to the securities storage transfer system 11. In the above embodiment, the management computer 21 transmits the account difference addition verification result data and the settlement report data to the swift system 10, but the transmission destination may be a system other than the swift system 10. In this case, the management computer 21 generates and transmits each data in a communication message format used in the destination system. As a result, it is possible to receive and process data related to instructions from various systems.
[0071]
【The invention's effect】
As described in detail above, according to the present invention, the verification instruction data is generated based on the received instruction data and transmitted to the system for performing the verification process. Can be reflected.
[Brief description of the drawings]
FIG. 1 is a system schematic diagram of one embodiment of the present invention.
FIG. 2 is an explanatory diagram of data recorded in an instruction data storage unit.
FIG. 3 is an explanatory diagram of data recorded in a settlement method data storage unit.
FIG. 4 is an explanatory diagram of data recorded in an account data storage unit.
FIG. 5 is an explanatory diagram of data recorded in a waiting data storage unit.
FIG. 6 is an explanatory diagram of a processing procedure according to an embodiment of the present invention.
FIG. 7 is an explanatory diagram of a processing procedure according to an embodiment of the present invention.
FIG. 8 is an explanatory diagram of a processing procedure according to an embodiment of the present invention.
[Explanation of symbols]
DESCRIPTION OF SYMBOLS 10 ... Swift system, 11 ... Securities storage transfer system as a payment collation system, 20 ... Custody support system, 21 ... Management computer, 22 ... Instruction data storage part as instruction data storage means, 23 ... Payment method data storage means Settlement method data storage unit, 24... Account data storage unit as account data storage unit, 25... Wait data storage unit as wait data storage unit.

Claims (14)

In a custody support system, which is connected to a settlement verification system that performs verification of securities transaction instructions for settlement in securities transactions , and includes an instruction data storage unit and a management computer for recording instruction data received via an international financial network , based on the delivery instruction of securities associated with domestic securities trading by foreign residents, a fund and or Kasutode I support a method of acting on behalf of the securities settlement,
New data for instructing new sales transactions and instructions received earlier in the instruction data storage unit for instructions for delivery of securities associated with domestic securities trading by overseas residents via the international financial network An instruction data storage stage for receiving instruction data including any of the cancel data for invalidating data and storing it in the instruction data storage unit;
Based on the order data received through the international financial networks, with the collation order data generating step of generating a matching instruction data to be transmitted to the payment verification system,
A verification instruction data transmission stage for transmitting the verification instruction data generated in the verification instruction data generation stage to the settlement verification system;
A verification result data receiving step for receiving verification result data transmitted from the payment verification system for a verification result of the verification instruction data transmitted in the verification instruction data transmission step in the payment verification system;
Collation result and data transmission step of transmitting received the comparison result data to the transmission source of the order data in the verification result data receiving step,
A collation result determination step of determining whether the collation result is a collation match or a collation mismatch based on the collation result data received in the collation result data receiving step ;
An instruction for determining whether the instruction data is the New data or the Cancel data when it is determined that the verification result data transmitted from the settlement verification system is a verification match in the verification result determination step. Data judgment stage ,
Determining that the instruction data from the settlement matching system the order data determination step when it is determined that the Cancel data, the verification result field contents for Cancel data for the verification order data at decision step matches a New data, and disabling the step of invalidating the New data received earlier stored in the order data storage unit,
When it is determined that the instruction data from the payment verification system is New data in the instruction data determination step, the New data is determined to have the same item content as New data corresponding to the verification instruction data. And a settlement stage for performing settlement of trading transactions of securities based on the instruction data stored in the instruction data storage unit. In further comprising custody support system settlement process data storage unit that stores information about the payment method, the inquiry for Order data generation step, based on the stored information to the payment method data storage unit, settled to the order data The custody support method according to claim 1, further comprising an information adding step of adding information about the method. In the custody support system further comprising an account data storage unit for storing information related to a customer's fund account or securities account for the instruction data, an account that performs account verification based on the account data stored in the account data storage unit collating step, according to claim 1 or 2, characterized in that the account verification result data relating to the verification result of the account of performing collation with the account verification stage further comprising a step of transmitting to the sender of the order data Custody support method. When the verification result determining step the comparison result data of the collation result is determined to be collation coincidence generates settlement authorization data for approving a payment, the payment verification system for settlement of transactions securities A settlement approval data transmission stage for transmitting the settlement approval data, a settlement completion notification data reception stage for receiving settlement completion notification data for performing a settlement completion notification from the settlement verification system, and a settlement completion data based on the settlement completion notification data. The custody support according to any one of claims 1 to 3, further comprising a settlement report data transmission step of generating settlement report data for performing a completion report and transmitting the settlement report data to a transmission source of the instruction data. Method. In a custody support system further comprising a waiting data storage unit for storing waiting data associated with the instruction data, a fund account balance or a securities account balance in the account data storage unit is based on the instruction content of the instruction data. provided with a purchase price or balance confirmation stage to see what is the quantity or more, when the fund account balances or securities account balance in the balance confirmation stage it was confirmed to be less than the purchase price or quantity of the orders data the waiting data storage step of storing the waiting data associated with the order data in the wait data storage unit, repeatedly, fund account balances or securities account of the account data storage unit based on the order data associated with the data waiting the balance re-confirmation stage that balance is confirmed by whether the orders data buying and selling amount of money or quantity more Further comprising a,
The settlement approved data transmission phase, when the fund account balance or securities account balance of the account data storage unit in the balance confirmation stage or the balance re-confirmation stage it was confirmed that in the orders data purchase price or quantity or more of , based on the order content of the order data, custody method as claimed in claim 4, wherein the payment to generate authorization data, characterized in that it comprises a step of transmitting the payment authorization data to said payment verification system. If the fund account balance or securities account balance of the account data storage unit in the balance confirmation stage or the balance re-confirmation stage it was confirmed that in the orders data purchase price or quantity or more of, to generate the settlement approval data The custody support method according to claim 5, further comprising an allocation step of allocating a fund account balance or a securities account balance stored in the account data storage unit prior to the transaction. 7. The method according to claim 4, further comprising an updating step of updating a fund account balance or a securities account balance in the account data storage unit based on a settlement amount of the settlement completion notification data. Custody support method. Connected to a settlement verification system that performs verification of securities transaction instructions for settlement in securities transactions , and includes an instruction data storage unit for recording instruction data received via an international financial network, and a management computer. A custody support system that performs funds and / or securities settlement on the basis of instructions for delivery of securities associated with domestic securities trading,
Management computer
New data for instructing new sales transactions and instructions received earlier in the instruction data storage unit for instructions for delivery of securities associated with domestic securities trading by overseas residents via the international financial network Instruction data storage means for accepting instruction data including any of the cancel data for invalidating data and storing the instruction data in the instruction data storage unit;
Based on the order data received through the international financial networks, with the collation order data generating means for generating a collation order data to transmit to the payment verification system,
Collating instruction data transmitting means for transmitting the collating instruction data to the settlement collating system;
Matching result data receiving means for receiving matching result data transmitted from the settlement matching system for a matching result of the matching instruction data transmitted by the matching instruction data transmitting means in the settlement matching system;
Collating binding Hatede over data transmission means for transmitting the comparison result data to the transmission source of the order data,
Collation result determining means for determining whether the collation result is a collation match or a collation mismatch based on the collation result data ;
An instruction for determining whether the instruction data is the New data or the Cancel data when the verification result determination means determines that the verification result data transmitted from the settlement verification system is a verification match. Data judgment means ,
If the instruction data from the settlement matching system determines that the Cancel data by the instruction data determination unit, the Cancel data for the verification order data a New data field contents match, the order data Invalidating means for invalidating previously received New data stored in the storage unit;
When the verification data for the verification instruction data is received from the settlement verification system by the instruction data determination means , and it is determined that the instruction data is New data, an item for New data for the verification instruction data A custody support system comprising: New data having the same contents, and a settlement means for performing settlement of trading transactions of securities based on the order data stored in the order data storage unit. Further comprising a payment method data storage unit that stores information about the payment method, the matching orders data transmission means, based on the payment method data storage unit in the stored information, the information about the payment to the order data 9. The custody support system according to claim 8, further comprising information adding means for adding . For the order data, further comprising an account data storage unit that stores information about the customer's funds account or brokerage account, and account verification means for matching account based on the account data stored in the account data storage unit, wherein The custody support according to claim 8 or 9, further comprising: account verification result data transmission means for transmitting data relating to a result of verification of the account verified by the account verification means to a transmission source of the instruction data. system. If the verification result of the verification result data is a verification match, settlement approval data is generated to approve the settlement, and the settlement approval data is sent to the settlement verification system that settles the trading transaction of the securities. Payment based on payment completion notification data received by the payment completion notification data receiving means, payment completion notification data receiving means for receiving payment completion notification data for performing payment completion notification from the payment verification system 11. The custody according to claim 8, further comprising settlement report data transmitting means for generating settlement report data for performing a completion report and transmitting the settlement report data to a transmission source of the instruction data. Support system. A waiting data storage unit for storing waiting data associated with the instruction data is further provided, and a fund account balance or a securities account balance stored in the account data storage unit based on the instruction content of the instruction data is the trading of the instruction data. provided with a balance confirmation means for confirming whether it is the amount or quantity or, if the fund account balances or securities account balance is confirmed to be less than purchase price or quantity of the order data by the balance checking means, the stores waiting data associated with the order data in the wait data storage unit, repeatedly, fund account balance of the account data storage unit based on the order data stored in the order data storage unit associated with the data waiting or Balance reconfirmation means for confirming whether the securities account balance is equal to or greater than the purchase amount or quantity of the instruction data The settlement approved data transmitting means, in the case where the account funds account balance or securities account balance data storage unit was confirmed as being the orders data buying and selling amount of money or quantity more by the balance confirmation means or the balance re-confirmation means The payment approval data is generated by the payment approval data transmission means based on the instruction content of the instruction data, and the payment approval data is transmitted to the payment verification system. Custody support system. If the account funds account balance or securities account balance data storage unit was confirmed as being the orders data buying and selling amount of money or quantity more by the balance confirmation means or the balance re-confirmation means, to generate the settlement approval data 13. The custody support system according to claim 12, further comprising provision means for allocating a fund account balance or a securities account balance stored in the account data storage unit prior to the transaction. The update means which updates the fund account balance or securities account balance memorize | stored in the said account data memory | storage part based on the payment amount of the said payment completion notification data, It further provided with any one of Claims 11-13 characterized by the above-mentioned. Custody support system described in 1.

Images