信息系统论文：证券公司集中交易系统设计实现与应用研究

信息系统论文：证券公司集中交易系统设计实现与应用研究

【中文摘要】随着我国证券行业的快速发展,刺激证券业电子化建设的步伐不断加快,信息系统已成为支撑各项证券业务运转的关键。信息系统一旦出现了故障,将给证券公司造成巨大的经济损失。原有的业务模式和技术结构使营业部成为“信息孤岛”。造成证券公司信息滞后、数据分隔,信息资源不能共享。其实,证券公司集中式信息系统在国外并不是一个新鲜的话题。由于国外券商的业务营运中心全集中在公司总部,所以与之相适应的信息系统均是采用集中处理模式。从发展之需看,国际资本市场变化的趋势和中国逐步放开资本市场后,给国内证券市场带来非常巨大的影响,中国证券公司融入全球经济运行大环境,很大程度上就要考验其市场适应能力,应变能力。集中交易是区别于非集中交易而言的。在未实行集中交易前,证券公司主要采用以营业部为独立运作单位的模式,与此相对应,交易系统也设立在营业部一级,所有交易数据也都存放在营业部。这种方式,由于其关键数据分布在全国各地的营业部中,所以存在诸多问题,例:安全漏洞和系统风险大,数据的安全性难以保障、总部不能对营业部的数据进行有效的监控、业务创新、技术创新的时效性差等等。建设新一代集中式证券信息系统都已显得刻不容缓。根据用户业务的需求,包括业务需求及技术需求的分析,按照系统设计应遵循的原则,对系统架构、关键技术中间件技术应用进行论述,在设计与实现过程中对重点进行分析,深入研究、比较,最终设计了C/S四层的系统架构,客户

端通过中间层即:接入层和应用层组合的中间件,来访问数据库,在系统的安全性、可靠性,可扩展性上比上一代系统都有了质的飞跃。形成了可行性的方案。对中国加入WTO后,证券业所面临竞争,提出我公司信息系统的解决方案,并为集中交易模式在西部地区的推广普及做一次有益尝试。

【英文摘要】With the rapid development of China’s securities industry, securities industry to stimulate construction of e-accelerating pace, supported by information systems have become the key to the functioning of the securities business. Once the information system malfunction, the securities will cause significant economic losses. Original business model and technology architecture to business department to become “information islands.”Information lag caused by securities companies, data separation, information resources can not be shared.In fact, the securities companies centralized information system in a foreign country is not a new topic. As the foreign broker’s operations center entirely on the company headquarters, so the corresponding information systems are centralized processing mode. From the development needs, the international capital market trends, and China has gradually liberalized its capital market, to bring the domestic stock market is very huge impact on the Chinese securities

companies into the global economy environment, we must test a large extent its market adaptability, resilience.Centralized transaction is different from the non-centralized trading purposes. Without centralized transactions, securities companies mainly operate in business as an independent unit of the Ministry of the model, and to this, the trading system set up in the business department level, all transaction data are also stored in the sales department. In this way, because of its critical data distributed across the country’s business department, so there are many problems, for example: system security vulnerabilities and risks, data security can not be guaranteed, based on the sales department can not effectively monitor the data, business innovation, technological innovation, time-poor, and so on. Construction of a new generation of information systems are centralized securities become urgent.According to the needs of business users, including business requirements and technical requirements analysis, system design should be in accordance with the principles of the system architecture, key technology middleware technology are discussed, in the design and implementation of key process analysis, in-depth research, comparison, the final design of the C / S four-layer system