证券公司OTC柜台交易系统的设计与实现

发布时间：2018-03-24 14:44

本文选题：证券公司　切入点：OTC　出处：《复旦大学》2012年硕士论文

【摘要】：随着中国经济的快速发展,现有的企业直接融资渠道(包括主板市场、创业板市场和三板市场),已经越来越无法满足实际需要。近年来,国务院、证监会等金融市场管理部门针对这种情况,积极开展改革探索,国内金融市场格局正朝着积极扩大直接融资,完善多层次资本市场体系,更好的满足多样化投融资需求的方向发展。2012年初,证监会明确提出了“以柜台交易为基础,加快建立统一监管的场外交易市场,为非上市股份公司提供阳光化、规范化的股份转让平台”的工作安排,并已经开始就具体落实这一方针开展密集行动。这标志着以场外交易市场来补充和完善我国企业直接融资渠道的整体框架正式确立。首先分析了我国OTC市场发展现状,明确了证券公司建设OTC相关业务系统的职能定位、核心功能和业务流程。在此基础上,对基于平台化多层架构体系的OTC柜台交易系统实现过程中使用的到关键技术进行了较为详细的介绍。接着分析证券公司OTC柜台交易系统的业务需求,对系统定位,核心功能,系统中涉及到的主要流程和安全性需求进行了逐点描述。根据柜台交易系统的需求分析,对系统按照功能进行子系统划分,从中按照子系统的重要性,有选择的对子系统的功能实现进行分析,并实现相应接口屏蔽遗留系统异构性,其中重点讨论了报价子系统、交易子系统和业务监控子系统。最后对证券公司OTC柜台系统的特点与不足进行总结性描述。
[Abstract]:With the rapid development of China's economy, the existing direct financing channels for enterprises (including the main board market, the growth enterprise market and the third board market) have become increasingly unable to meet the actual needs. In recent years, the State Council, In view of this situation, the financial market management departments such as the Securities Regulatory Commission have actively carried out reforms and explorations. The pattern of domestic financial markets is moving towards actively expanding direct financing and perfecting the multi-level capital market system. In early 2012, the CSRC explicitly proposed that "on the basis of over-the-counter transactions, we should speed up the establishment of a unified over-the-counter market to provide sunshine for non-listed joint-stock companies." The working arrangement of the standardized stock transfer platform has begun to carry out intensive actions to implement this policy, which marks the formal establishment of the overall framework for supplementing and perfecting the direct financing channels of Chinese enterprises with the over-the-counter trading market. First of all, it analyzes the current situation of OTC market development in China, and clarifies the function orientation, core function and business process of establishing OTC related business system for securities companies. This paper introduces in detail the key technologies used in the implementation of the OTC counter trading system based on the platform multi-tier architecture. Then it analyzes the business requirements of the OTC over-the-counter trading system of the securities company, positioning the system, and the core functions. The main flow and security requirements involved in the system are described point by point. According to the demand analysis of the over-the-counter trading system, the system is divided into subsystems according to the function, and the importance of the subsystem is followed by the importance of the subsystem. The functional realization of the subsystem is analyzed selectively, and the corresponding interface is implemented to shield the heterogeneity of the legacy system. Trading subsystem and business monitoring subsystem. Finally, the characteristics and shortcomings of securities company OTC counter system are summarized.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：TP311.52;F832.39

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