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>> Introduction
Shine Securities Investment Management System (SIMS) is a system applicable for the self-operating business (i.e. treasury operation) and asset management business of securities companies and facilities the integrated management and support thereto. It covers different business processes which are involved in the self-operating and asset management business from account management, capital and security management, investment transactions to dealings, risk control and accounting. With this system, self-operating business and asset management divisions not only can accomplish cost-effectively and efficiently majority of their daily operations, but also control the overall investment risk in the entire operational process.By enhancing their investment performance and increasing the relevant assets and portfolio values of the customers, the securities companies can undoubtedly win the faithful confidence from its customers through their improved services. >> Functional Characteristics:
Cater for the different requirements of business management: The system provides different and flexible project management, contract management or mixed business management models according to the different characteristics and diversified needs of the nowadays self-operating and asset management businesses of the securities companies.
Centralized management and distributed operation: data is processed and managed centrally while daily business operation can be conducted at various level, such as headquarter level, regional center level, sales office level even at the lowest hierarchy of the securities companies (to satisfy the different needs of respective securities companies).
Supports different trust order arrangements: the system supports a wider choice of batch and intelligent order placements mechanisms (such as general trust order, batch processing order, index transactions, spot order placement, regular timing order, 埋單委託 and automatic separate-position order) than that supported under traditional front-desk trading system, and thereby enhancing the operational flexibility and efficiency of discretionary trust placements. The system provides a seamless processing integration over the entire investment dealing process and is an important supporting tool for institutions holding investment positions.
Support securities companies’ separate positional dealings: reasonably utilizing the resources of the securities companies (independent trading seats, sales office dealing capabilities) according to the separate position requirements, the system executes diversified transactions easily on an integrated transaction platform.
Real-time risk control before, during and after investment execution: different adjustable warning parameters can be set automatically to monitor, warn and control the asset condition, positional condition, transaction process and system condition before, during and after the investment execution, to minimize and avoid, on a timely basis, any potential business risk.
Supports both single-participant independent clearing operation (at head office level) and complicated multiple-sales-office based integrated position clearing operation: the system supports the independent clearing of the interface data of the securities companies with the stock exchange (similar to the clearing function of the traditional over-the-counter dealings system), and also supports clearing for the interface data at securities companies’ sales office level.
Provide spectrum of statistical solutions at different perspectives and hierarchies for business evaluation and decision support purposes: the system not only provides basic business statistics in the daily business operation, but also provides a set of statistic tools catering for the various managerial needs of different corporate personnel (including general management, general managers, business directors, sales-forces, account executives, financial staff and auditors).
2-dimensional security management mode: this structure is the interlaced integration of system functional accessibility and operational authority management. Respective personnel’s authority of accessing and operating particular system modules is determined by the personnel’s defined authorities with reference to his/her designated job description within the organization. By combining the two rights properly, the system meets the security requirements, to the highest extent, of capital market operations of respective securities companies.
>> System Structure
>> System Characteristics:
High Security Level: Designed with the three-tier C/S architecture, the workflow is defined in the application server and will only be transmitted to the client terminal as and when required, and thus facilitating the cost-efficient daily system maintenance and management. System’s security is further substantially enhanced with its strict authority and accessibility management and system diary management features.
High Usability: Carefully designed with due consideration of various possible system bottlenecks, the system is characterized by its uninterrupted data-flow and efficient network communication capability to ensure the smooth operation of system hardware, software and network. In additions to its flexible system parameter settings, the system also possesses functional and friendly user interface with powerful yet practical modular and precise graphical functionalities.
Highly adaptive: With the design using TCP/IP protocol, the system is fully compatible with different prevailing network modes (DDN, PSTN, ISDN, ATM).
Highly Scalable: To achieve load balance, the communication server may be configured flexibly to accommodate for the different operating scale and connection frequency of sales networks of respective securities companies. Only single servicing resource is allocated when limited client terminal connections are involved. With the increase in client terminal connections, increased number of servicing resource or host can be flexibly allocated.
System functionalities can be configured with maximum flexibilities: The system is developed with general modular structure, customers may therefore assemble the system with their choice of system functionalities according to their needs and specifications, and accordingly control the system acquisition cost efficiently.With this structure, the system also facilitates convenient system upgrade and capabilities expansion.
Perfect seamless connection with the existing system: the system not only can interface with existing front-office platforms of the securities companies, it is also compatible with the entities’ other operating systems (e.g. accounting system) and supports the subsequent upgrade to the data-warehouse.
Independence: the system is configured and operating independently with other systems of securities companies, therefore it has little impact on and may even operate in parallel with the existing systems of the securities companies.
>> Operating Environment:
Software environment:
TCP/IP Protocol
Server System Platform: Windows NT/2000 Server
Application Operating System Platform: Windows NT/2000 Professional or Server
Database System Platform: MS SQL Server 2000
Hardware environment: (minimum configurations)
Database Server: CPU PII600x2, RAM 512M, SCSI HD 18Gx2, NIC 100M, RAID Card.
Communicator: CPU PII600, RAM 512M, HD 20G, Dual NIC 100M.
Transaction Gateway: CPU PII600, RAM 256M, HD 6.4G, NIC 100M.
Workstation: CPU PII600, RAM 128M, HD 6.4G, NIC 100M.
Successful Applications:
Minfa Securities: customer management, account management, transaction execution, risk control and compiling asset statistics and auditing throughout the asset management process.
China Southern Securities: mainly compiling business statistics and performing financial auditing for its self-operating and asset management.
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