齐鲁证券大投行业务信息管理系统的研究与分析

发布时间：2018-10-31 10:19

【摘要】：投资银行是与商业银行相对应的一类金融机构,主要进行证券的发行、承销、交易和项目融资等业务。中国的证券行业经过了多年的发展,在国际、国内金融市场发展迅速的形势下,中国证券监督管理委员会(以下简称：证监会)不断出台新政策,要求投资银行加强内部管理、规范信息业务操作。为了适应证监会日益严格的监管要求,投资银行需要依靠信息化渠道,建立规范、严格的质控管理、项目管理、流程管理、客户信息管理等管理体系。这成为当前投资银行信息化系统建设的发展方向。齐鲁证券大投行业务信息管理系统是一套适应证监会对投资银行管理监督要求、符合投资银行业务运作模式的综合管理系统,本文旨在对整个系统的开发及实施进行分析,为实际项目的开展提供充分的理论依据并最终为投资银行的员工实现自动化、智能化的工作模式,提高投资银行的工作效率。基于上述背景,本文提出了一种新型的大投行业务信息管理系统。论文首先介绍了齐鲁证券大投行业务信息管理系统的研究背景、项目意义和目前的研究与应用现状,明确了论文研究的内容和主要工作；在业务分析中,论文对系统的组织机构、原有业务流程等进行了简要分析,给出了改造后的业务流程并对可行性作了简要的分析；在功能分析中,论文通过用例分析和用例描述,明确了系统的功能,给出了系统各模块的用例分析以及各功能包图；在数据分析中,论文首先给出了功能数据分析,描述了各模块的缩略类图。然后,论文分析了本系统的数据字段并据此构建了数据库表。最后,论文对所做的研究与分析工作进行了总结,并对进一步的工作作出了展望。
[Abstract]:Investment bank is a kind of financial institution corresponding to commercial bank. It mainly deals in securities issuance, underwriting, transaction and project financing. China's securities industry has been developing for many years. With the rapid development of the international and domestic financial markets, the Securities Regulatory Commission of China (hereinafter referred to as the Securities Regulatory Commission) has continuously issued new policies requiring investment banks to strengthen internal management. Standardize information business operations. In order to meet the increasingly strict supervision requirements of CSRC, investment banks need to rely on information channels, establish standardized, strict quality control management, project management, process management, customer information management and other management systems. This becomes the current investment bank information system construction development direction. Qilu Securities Investment Bank Information Management system is a comprehensive management system which can meet the requirements of investment bank management and supervision by the Securities Regulatory Commission. The purpose of this paper is to analyze the development and implementation of the whole system. It provides sufficient theoretical basis for carrying out the actual project and finally realizes the automation and intelligent working mode for the employees of the investment bank and improves the working efficiency of the investment bank. Based on the above background, this paper proposes a new information management system for large investment banks. Firstly, the paper introduces the research background, project significance and current research and application status of Qilu Securities Investment Bank Information Management system, and clarifies the content and main work of this paper. In the business analysis, the paper briefly analyzes the organization of the system and the original business process, gives the revamped business process and makes a brief analysis of the feasibility; In the function analysis, the function of the system is clarified by use case analysis and use case description, and the use case analysis and the function package diagram of each module of the system are given. In the data analysis, the paper first gives the functional data analysis and describes the abbreviated class diagram of each module. Then, the data field of the system is analyzed and the database table is constructed. Finally, the paper summarizes the research and analysis work done, and prospects for further work.
【学位授予单位】：云南大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：TP311.52

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