TWM654859U - System for establishing securities data management process - Google Patents

Abstract

A system for establishing securities data management process comprises a securities database, a data processing module and a data quality monitoring module. The securities database includes a plurality of customer securities transaction data. The data processing module is configured to analyze basic information and at least one securities transaction information of the customer securities transaction data respectively to determine a plurality of customer-related labels for each of the customer securities transaction data, store the customer securities transaction data and the corresponding customer-related labels in a primary database, and aggregate the customer-related labels to store in a label database. The data quality monitoring module is configured to perform data quality checks on the customer securities transaction data and analyze at least one first customer securities transaction data of the customer securities transaction data without passing the data quality checks.

Description

Translated fromChinese

證券資料治理流程建立系統Securities data management process establishment system

本創作係關於一種資料管理系統，尤其是指一種證券資料治理流程建立系統。This work is about a data management system, and in particular, a securities data governance process establishment system.

隨著證券交易的普及，各證券公司針對客戶服務項目(例如，基金、債券、保險、結構型商品等)逐漸增加。隨著各證券公司的服務項目增加，使得證券資料庫(ODS)中的資料型態更加多元以及資料筆數更加龐大。證券資料庫主要係透過傳統的資料倉儲架構進行設置。資料倉儲係一個集中性且大規模的數據存儲系統，用於收集、整合和存儲組織內部的大量數據，以支援業務決策、報告及分析。依據資料倉儲中的數據資料具有的主題性不同可以進一步分為不同種類的資料市集。資料市集係資料倉儲的一個子集，通常是針對特定部門、團隊或業務需求而建立的。資料市集包含特定主題或主題區域的數據，可以根據特定用途進行設計和組織。With the popularity of securities trading, securities companies are gradually increasing their customer service items (for example, funds, bonds, insurance, structured products, etc.). As the service items of securities companies increase, the data types in the securities database (ODS) become more diverse and the number of data items becomes larger. Securities databases are mainly set up through traditional data warehouse architecture. Data warehouse is a centralized and large-scale data storage system used to collect, integrate and store large amounts of data within an organization to support business decisions, reporting and analysis. According to the different themes of the data in the data warehouse, it can be further divided into different types of data markets. A data mart is a subset of a data warehouse, usually built for a specific department, team, or business need. A data mart contains data on a specific subject or subject area and can be designed and organized for a specific purpose.

目前，證券資料庫中的各個資料市集主要是以產品類別進行分類。另外，在各個資料市集中，資料可以被整理成資料表及資料欄。其中，在各資料欄中，使用者可以自行定義資料的描述，例如證券資料庫中的資料表與欄位之名稱，通常僅以英文代碼做為標示，不具實質意義。然而，在應用習知技術對證券資料庫中的證券資料進行分析及運用時，容易遇到以下問題或困境：At present, each data market in the securities database is mainly classified by product category. In addition, in each data market, data can be organized into data tables and data columns. Among them, in each data column, users can define the description of the data by themselves. For example, the names of the data tables and columns in the securities database are usually only marked with English codes and have no substantive meaning. However, when applying knowledge technology to analyze and use securities data in the securities database, it is easy to encounter the following problems or difficulties:

1.公司業務單位人員對於資料的認知可能較有限：在運用資料進行分析前，公司缺乏一套良好的機制供職員進行查詢，導致該等人員不清楚公司資料庫所存放之資料與各資料欄位之定義；1. The company's business unit personnel may have limited knowledge of the data: before using the data for analysis, the company lacks a good mechanism for employees to query, resulting in these personnel not being clear about the data stored in the company's database and the definition of each data field;

2.資料市集可能濫用：依據業務單位不同的分析運用需求，可能耗費大量時間與空間在資料庫中存放內容相似之資料市集，且部分資料市集的使用頻率非常有限；2. Data markets may be abused: Based on the different analytical application needs of business units, it may take a lot of time and space to store data markets with similar content in the database, and the frequency of use of some data markets is very limited;

3.不易彙整客戶完整樣貌：各產品資料市集的記錄維度、單位可能皆有差異，故在對客戶進行跨商品分析時，常需耗費大量時間理解各資料檔之資料欄位定義、重新撈取、計算所需欄位等資料前處理(Data Preprocessing)；3. It is difficult to summarize the complete picture of customers: the record dimensions and units of each product data market may be different. Therefore, when conducting cross-product analysis on customers, it often takes a lot of time to understand the data field definitions of each data file, re-collect, calculate the required fields, and other data preprocessing (Data Preprocessing);

4.不易控管資料品質(Data Quality)：當資料出現品質議題(例如，欄位空值等)時，不易追蹤該等議題的來源與發生的原因。公司亦缺乏一套流程方法，以確保同仁平時使用的資料正確無誤；以及4. Difficulty in controlling data quality: When data quality issues occur (e.g., null values in fields, etc.), it is difficult to track the source and cause of such issues. The company also lacks a set of process methods to ensure that the data used by colleagues on a daily basis is correct; and

5.缺乏資料迭代機制。5. Lack of data iteration mechanism.

因此，有必要研發一種證券資料使用及管理的系統，藉以解決以上所述的習知問題。Therefore, it is necessary to develop a system for the use and management of securities data to solve the above-mentioned knowledge problems.

有鑑於此，本創作提供一種證券資料治理流程建立系統，藉以解決以上所述的習知問題。In view of this, this work provides a securities data governance process establishment system to solve the above-mentioned knowledge problems.

本創作提供一種證券資料治理流程建立系統，該系統包含證券資料庫、數據處理模組以及資料品質監測模組。證券資料庫包含複數筆客戶證券交易資料，並且客戶證券交易資料包含複數個客戶之一基本資訊以及至少一證券交易資訊。數據處理模組耦接證券資料庫。數據處理模組係用以分別分析客戶證券交易資料之基本資訊以及至少一證券交易資訊以給定每一客戶證券交易資料複數個客戶相關標籤，並將客戶證券交易資料以及對應的客戶相關標籤存入一主數據庫以及將客戶相關標籤彙整儲存於一標籤庫。資料品質監測模組耦接數據處理模組。資料品質監測模組係用以針對客戶證券交易資料進行一數據品質檢測，並且分析客戶證券交易資料中不通過數據品質檢測之至少一第一客戶證券交易資料。This invention provides a securities data governance process establishment system, which includes a securities database, a data processing module and a data quality monitoring module. The securities database includes a plurality of customer securities transaction data, and the customer securities transaction data includes basic information of a plurality of customers and at least one securities transaction information. The data processing module is coupled to the securities database. The data processing module is used to analyze the basic information of the customer securities transaction data and at least one securities transaction information respectively to give each customer securities transaction data a plurality of customer-related tags, and store the customer securities transaction data and the corresponding customer-related tags in a master database and aggregate and store the customer-related tags in a tag library. The data quality monitoring module is coupled to the data processing module. The data quality monitoring module is used to perform a data quality test on the customer's securities trading data and analyze at least one first customer's securities trading data that fails the data quality test.

其中，數據處理模組係用以針對每一客戶相關標籤進行定義，並將經定義之客戶相關標籤彙整產生一標籤字典。The data processing module is used to define each customer-related tag and aggregate the defined customer-related tags to generate a tag dictionary.

其中，證券資料治理流程建立系統，進一步包含一應用平台耦接主數據庫以及標籤庫。應用平台係用以自主數據庫依據客戶相關標籤中之至少一第一客戶相關標籤以對對應第一客戶相關標籤之客戶證券交易資料執行一應用程序。Among them, the securities data governance process establishment system further includes an application platform coupled to the main database and the tag library. The application platform is used to execute an application program on the customer securities transaction data corresponding to the first customer-related tag based on at least one first customer-related tag in the customer-related tags in the main database.

其中，應用平台係用以查詢至少一第一客戶相關標籤於標籤字典中之定義。The application platform is used to query the definition of at least one first customer-related tag in the tag dictionary.

其中，客戶相關標籤進一步包含客戶及關係人、客戶互動、帳戶主檔、帳戶交易、標的、類別參照以及分析模型之標籤類型。Among them, customer-related tags further include tag types of customers and related persons, customer interactions, account masters, account transactions, targets, category references, and analysis models.

其中，客戶相關標籤進一步包含一指標類型標籤以及一分眾及事件標籤之標籤類型。Among them, customer-related tags further include an indicator type tag and a tag type of audience and event tags.

其中，指標類型標籤進一步包含客戶關係、行銷專案執行、通路往來關係、產品往來關係、資產負債組合以及客戶貢獻。Among them, the indicator type label further includes customer relationship, marketing project execution, channel relationship, product relationship, asset-liability portfolio and customer contribution.

本創作之另一範疇在於提供一種證券資料治理流程建立方法。根據另一具體實施例，證券資料治理流程建立方法包含以下步驟：提供一證券資料庫，證券資料庫包含複數筆客戶證券交易資料，並且客戶證券交易資料包含複數個客戶之一基本資訊以及至少一證券交易資訊；數據處理模組分別分析客戶證券交易資料之基本資訊以及至少一證券交易資訊，以給定每一客戶證券交易資料複數個客戶相關標籤，並將客戶證券交易資料以及對應的客戶相關標籤存入一主數據庫，並將客戶相關標籤彙整儲存於一標籤庫；以及資料品質監測模組針對客戶證券交易資料進行數據品質檢測，並且分析客戶證券交易資料中不通過數據品質檢測之至少一第一客戶證券交易資料。Another scope of this invention is to provide a method for establishing securities data governance process. According to another specific embodiment, the method for establishing a securities data governance process includes the following steps: providing a securities database, the securities database includes a plurality of customer securities transaction data, and the customer securities transaction data includes basic information of a plurality of customers and at least one securities transaction information; the data processing module analyzes the basic information and at least one securities transaction information of the customer securities transaction data respectively to give each customer securities transaction data a plurality of customer-related tags, and stores the customer securities transaction data and the corresponding customer-related tags in a master database, and aggregates and stores the customer-related tags in a tag library; and the data quality monitoring module performs data quality detection on the customer securities transaction data, and analyzes at least one first customer securities transaction data that does not pass the data quality detection in the customer securities transaction data.

其中，證券資料治理流程建立方法，進一步包含以下步驟：數據處理模組針對每一客戶相關標籤進行定義，並將經定義之客戶相關標籤彙整產生一標籤字典。Among them, the method for establishing the securities data governance process further includes the following steps: the data processing module defines each customer-related tag, and aggregates the defined customer-related tags to generate a tag dictionary.

其中，證券資料治理流程建立方法，進一步包含以下步驟：一應用平台自主數據庫依據客戶相關標籤中之至少一第一客戶相關標籤以對對應第一客戶相關標籤之客戶證券交易資料執行一應用程序。Among them, the method for establishing the securities data governance process further includes the following steps: an application platform autonomous database executes an application program based on at least one first customer-related tag among the customer-related tags to the customer securities transaction data corresponding to the first customer-related tag.

其中，證券資料治理流程建立方法，進一步包含以下步驟：應用平台查詢至少一第一客戶相關標籤於標籤字典中之定義。Among them, the method for establishing the securities data governance process further includes the following steps: the application platform queries the definition of at least one first customer-related tag in the tag dictionary.

綜上所述，本創作提供一種證券資料治理流程建立系統，藉由數據處理模組進行標籤工程將原始交易資料以客戶為主體進行分類，並進一步存入主數據庫以及標籤庫。另外，藉由主數據庫以及標籤庫為核心建立業務平台以及進行資料分析，進而產出有品質、具業務價值之數據服務。此外，藉由資料品質監測模組可以針對客戶證券交易資料進行數據品質檢測，以找出不通過數據品質檢測的問題資料，進而確保資料品質與可用性。In summary, this work provides a securities data governance process establishment system, which uses the data processing module to perform labeling to classify the original transaction data based on the customer, and further stores it in the master database and label library. In addition, the business platform is established and data analysis is performed based on the master database and label library, thereby producing high-quality data services with business value. In addition, the data quality monitoring module can be used to perform data quality testing on customer securities transaction data to identify problematic data that does not pass the data quality test, thereby ensuring data quality and availability.

1、2:證券資料治理流程建立系統1, 2: Establishment of securities data management process system

11:證券資料庫11: Securities database

12:數據處理模組12: Data processing module

13:資料品質監測模組13: Data quality monitoring module

21:主數據庫21: Master database

22:標籤庫22: Tag library

23:應用平台23: Application Platform

S1~S6:步驟S1~S6: Steps

圖1係繪示根據本創作之一具體實施例之證券資料治理流程建立系統的功能方塊圖。Figure 1 is a functional block diagram of a securities data governance process establishment system according to one specific embodiment of this invention.

圖2係繪示根據本創作之一具體實施例之證券資料治理流程建立系統的功能方塊圖。Figure 2 is a functional block diagram of a securities data governance process establishment system according to one specific embodiment of this invention.

圖3係繪示根據本創作之一具體實施例之證券資料治理流程建立方法的步驟流程圖。Figure 3 is a flowchart showing the steps of establishing a securities data governance process according to a specific embodiment of the present invention.

圖4係繪示根據本創作之另一具體實施例之證券資料治理流程建立方法的步驟流程圖。Figure 4 is a flowchart showing the steps of establishing a securities data governance process according to another specific embodiment of the present invention.

圖5係繪示根據本創作之另一具體實施例之證券資料治理流程建立方法的步驟流程圖。Figure 5 is a flowchart showing the steps of establishing a securities data governance process according to another specific embodiment of the present invention.

為了讓本創作的優點，精神與標籤可以更容易且明確地了解，後續將以具體實施例並參照所附圖式進行詳述與討論。需注意的是，這些具體實施例僅為本創作代表性的具體實施例，其中所舉例的特定方法、裝置、條件、材質等並非用以限定本創作或對應的具體實施例。又，圖中各元件僅係用於表達其相對位置且未按其實際比例繪述，本創作之步驟編號僅為區隔不同步驟，並非代表其步驟順序，合先敘明。In order to make the advantages, spirit and labels of this creation easier and clearer to understand, the following will be described and discussed in detail with specific embodiments and with reference to the attached drawings. It should be noted that these specific embodiments are only representative specific embodiments of this creation, and the specific methods, devices, conditions, materials, etc. cited therein are not used to limit this creation or the corresponding specific embodiments. In addition, the components in the figure are only used to express their relative positions and are not drawn according to their actual scale. The step numbers of this creation are only used to separate different steps and do not represent the order of the steps, which should be explained first.

請參閱圖1，圖1係繪示根據本創作之一具體實施例之證券資料治理流程建立系統1的功能方塊圖。本創作提供一種證券資料治理流程建立系統1，其包含證券資料庫11、數據處理模組12以及資料品質監測模組13。證券資料庫11包含複數筆客戶證券交易資料，並且每一客戶證券交易資料包含複數個客戶之一基本資訊以及至少一證券交易資訊。數據處理模組12耦接證券資料庫11。數據處理模組12係用以分別分析客戶證券交易資料之基本資訊以及至少一證券交易資訊，以給定每一客戶證券交易資料複數個客戶相關標籤，並將客戶證券交易資料以及對應的客戶相關標籤存入主數據庫21以及將客戶相關標籤彙整儲存於標籤庫22。資料品質監測模組13耦接數據處理模組12。資料品質監測模組13係用以針對客戶證券交易資料進行數據品質檢測，並且分析客戶證券交易資料中不通過數據品質檢測之至少一第一客戶證券交易資料。Please refer to FIG. 1, which is a functional block diagram of a securities data governance process establishment system 1 according to a specific embodiment of the present invention. The present invention provides a securities data governance process establishment system 1, which includes asecurities database 11, adata processing module 12, and a dataquality monitoring module 13. Thesecurities database 11 includes a plurality of customer securities transaction data, and each customer securities transaction data includes a basic information of a plurality of customers and at least one securities transaction information. Thedata processing module 12 is coupled to thesecurities database 11. Thedata processing module 12 is used to analyze the basic information of the customer's securities trading data and at least one securities trading information respectively, to give each customer's securities trading data a plurality of customer-related tags, and to store the customer's securities trading data and the corresponding customer-related tags in themain database 21 and to aggregate and store the customer-related tags in thetag library 22. The dataquality monitoring module 13 is coupled to thedata processing module 12. The dataquality monitoring module 13 is used to perform data quality detection on the customer's securities trading data, and to analyze at least one first customer's securities trading data that does not pass the data quality detection in the customer's securities trading data.

藉由證券資料治理流程建立系統1，透過數據處理模組12將證券交易資料根據七大客戶相關主題給定客戶相關標籤，以將證券交易資料進行分類，並透過主數據庫以及標籤庫為基礎建立的應用平台，使使用者可以透過客戶相關標籤得到符合其業務需求之數據資料，進而提升資料使用之效率。於實務中，證券資料治理流程建立系統1之證券資料庫11、數據處理模組12以及資料品質監測模組13可整合於電腦系統、雲端系統的中央處理單元，或者整合於整合式晶片中。以下將配合證券資料治理流程建立方法說明本具體實施例之證券資料治理流程建立系統1之中各模組的功能。By establishing a securities data governance process system 1, the securities transaction data is given customer-related tags according to seven major customer-related topics through thedata processing module 12 to classify the securities transaction data, and through the application platform established based on the master database and the tag library, users can obtain data that meets their business needs through customer-related tags, thereby improving the efficiency of data use. In practice, thesecurities database 11,data processing module 12 and dataquality monitoring module 13 of the securities data governance process establishment system 1 can be integrated into the central processing unit of the computer system or cloud system, or integrated into an integrated chip. The following will be used in conjunction with the securities data governance process establishment method to explain the functions of each module in the securities data governance process establishment system 1 of this specific embodiment.

請一併參閱圖1及圖3。圖3係繪示根據本創作之一具體實施例之證券資料治理流程建立方法的步驟流程圖。請注意，圖3的證券資料治理流程建立方法的步驟可以透過圖1的證券資料治理流程建立系統1來達成，因此，以下藉由圖1之證券資料治理流程建立系統1的架構來說明圖3的具體實施例中的證券資料治理流程建立方法的各個步驟。如圖3所示，於本具體實施例中，證券資料治理流程建立方法包含步驟S1：提供一證券資料庫11，證券資料庫11包含複數筆客戶證券交易資料，並且每一客戶證券交易資料包含複數個客戶之基本資訊以及至少一證券交易資訊；步驟S2：數據處理模組12分別分析客戶證券交易資料之基本資訊以及至少一證券交易資訊以給定每一客戶證券交易資料複數個客戶相關標籤，並將客戶證券交易資料以及對應的客戶相關標籤存入主數據庫21以及將客戶相關標籤彙整儲存於標籤庫22；以及步驟S3：資料品質監測模組13針對客戶證券交易資料進行數據品質檢測，並且分析客戶證券交易資料中不通過數據品質檢測之至少一第一客戶證券交易資料。Please refer to Figure 1 and Figure 3 together. Figure 3 is a flowchart showing the steps of the method for establishing a securities data governance process according to a specific embodiment of the present invention. Please note that the steps of the method for establishing a securities data governance process in Figure 3 can be achieved through the securities data governance process establishment system 1 in Figure 1. Therefore, the following describes the steps of the method for establishing a securities data governance process in the specific embodiment of Figure 3 by using the architecture of the securities data governance process establishment system 1 in Figure 1. As shown in FIG. 3 , in this specific embodiment, the method for establishing a securities data governance process includes step S1: providing asecurities database 11, thesecurities database 11 includes a plurality of customer securities transaction data, and each customer securities transaction data includes basic information of a plurality of customers and at least one securities transaction information; step S2: thedata processing module 12 analyzes the basic information of the customer securities transaction data and at least one securities transaction information to obtain a securities transaction data; Each customer securities trading data is given a plurality of customer-related tags, and the customer securities trading data and the corresponding customer-related tags are stored in themain database 21 and the customer-related tags are aggregated and stored in thetag library 22; and step S3: the dataquality monitoring module 13 performs data quality detection on the customer securities trading data, and analyzes at least one first customer securities trading data in the customer securities trading data that does not pass the data quality detection.

於實務中，每一客戶之基本資訊可以進一步包含客戶之性別、年齡、教育程度以及風險等級等。另外，每一客戶之至少一證券交易資訊可以進一步包含庫存(計算持有各商品的數量)、損益(將各商品進行分類別，並計算其中實現及未實現之利潤)、交易(計算各商品買入、賣出、總交易的次數及金額)、投資組合(Portfolio)變動(計算各商品淨流入金額)、商品契約(與定期定額、海外債、壽險、結構型商品契約內容相關之特徵)、客戶事件變化(各商品之歷史最高單日成交金額、最近一次填寫KYC距今月數等)以及服務互動(營業員聯絡次數、線下活動之成交次數及金額、營業員在全公司的表現排名等)。In practice, each customer's basic information may further include the customer's gender, age, education level, and risk level. In addition, at least one securities transaction information of each customer can further include inventory (calculating the quantity of each product held), profit and loss (classifying each product and calculating the realized and unrealized profits), transactions (calculating the number and amount of purchases, sales, and total transactions of each product), portfolio changes (calculating the net inflow of each product), product contracts (characteristics related to the content of fixed-amount, overseas bonds, life insurance, and structured product contracts), customer event changes (the highest single-day transaction amount of each product in history, the number of months since the last KYC filling, etc.) and service interactions (number of salesperson contacts, number and amount of offline activity transactions, salesperson performance ranking in the entire company, etc.).

另外，於實務中，證券資料治理流程建立系統1之證券資料庫11的資料來源可以包含原本分散於證券交易以及服務等前、中、後台共計18項系統之原始交易資料。藉由數據處理模組12進行標籤工程將原始交易資料以客戶為主體，延伸出七大主題進行貼標(客戶相關標籤)，並進一步存入主數據庫以及標籤庫。本具體實施例中，客戶相關標籤可以進一步包含客戶及關係人、客戶互動、帳戶主檔、帳戶交易、標的、類別參照以及分析模型之標籤類型。藉由客戶相關標籤將原本存放於證券資料庫中分散、雜亂及不易解讀的資料進行彙整，並重新編碼、定義，以及賦予原先不具意義之欄位名稱與代碼一定程度之業務邏輯概念，降低資料的片段及片面化，使資料使用者可以更容易的進行資料分析及使用，並且可以進一步完整描述客戶樣貌。以帳戶貢獻度月檔為例，該資料表彙集證券資料庫中，各項商品的客戶貢獻度紀錄表，例如：上市櫃股票(CMIO)、興櫃股票(RMIO)等，重新以客戶帳戶的維度統計這些資訊，標準化資料表中各欄位之名稱、定義與資料單位，並發展自動化機制定時導入、更新資料，以利後續使用，並有效拓展業務單位使用客戶資料。In addition, in practice, the data source of thesecurities database 11 of the securities data governance process establishment system 1 may include the original transaction data originally scattered in 18 systems in the front, middle and back offices of securities trading and services. The original transaction data is labeled with seven major themes (customer-related labels) based on the customer as the main body through thedata processing module 12, and further stored in the master database and label library. In this specific embodiment, the customer-related labels may further include the label types of customers and related persons, customer interactions, account masters, account transactions, targets, category references and analysis models. By using customer-related tags, the scattered, messy and difficult-to-interpret data originally stored in the securities database is aggregated, recoded, defined, and given a certain degree of business logic concepts to the originally meaningless field names and codes, reducing the fragmentation and one-sidedness of the data, making it easier for data users to analyze and use the data, and further fully describe the customer profile. Taking the monthly account contribution file as an example, this table aggregates the customer contribution records of various commodities in the securities database, such as: listed stocks (CMIO), emerging stocks (RMIO), etc., and re-statistics these information with the dimension of customer accounts, standardizes the names, definitions and data units of each field in the table, and develops an automated mechanism to import and update data in a timely manner, so as to facilitate subsequent use and effectively expand the use of customer data by business units.

本具體實施例中，資料品質監測模組13可以針對客戶證券交易資料進行數據品質檢測，以找出不通過數據品質檢測的至少一第一客戶證券交易資料(問題資料)，進而確保資料品質與可用性。於另一具體實施例中，資料品質監測模組13可以進一步包含資料品質監控檢核系統及品質儀表板。透過設定品質檢核規則(例如：資料表欄位中出現空值、關聯鍵檢核等)與排程掃描機制，資料品質監測模組13能主動警示問題資料。同時，排程掃描機制可以進一步包含一資料血緣智能解析元件，用以溯源該主數據庫中之問題資料的來源出處。此外，於實際應用中，資料品質監測模組13可以為DGW數據治理工作臺(Data Governance Workbench)以及ASG資料品質監測平台(ASG Data Quality Monitoring Platform)。上述兩者皆可用以監控和評估數據資料品質，以及幫助使用者識別數據質量問題，追蹤數據質量指標，並採取措施改進數據品質。於實務中不限於此，資料品質監測模組亦可以選用其他可以對數據資料品質進行監控與維護的工具或系統。In this specific embodiment, the dataquality monitoring module 13 can perform data quality detection on the customer securities trading data to find at least one first customer securities trading data (problem data) that does not pass the data quality detection, thereby ensuring data quality and availability. In another specific embodiment, the dataquality monitoring module 13 can further include a data quality monitoring and verification system and a quality dashboard. By setting quality verification rules (for example: null values appearing in data table fields, correlation key verification, etc.) and a scheduled scanning mechanism, the dataquality monitoring module 13 can actively warn of problem data. At the same time, the scheduled scanning mechanism can further include a data lineage intelligent analysis component to trace the source of the problem data in the master database. In addition, in actual applications, the dataquality monitoring module 13 can be the DGW Data Governance Workbench and the ASG Data Quality Monitoring Platform. Both of them can be used to monitor and evaluate data quality, and help users identify data quality issues, track data quality indicators, and take measures to improve data quality. In practice, this is not limited to this, and the data quality monitoring module can also use other tools or systems that can monitor and maintain data quality.

此外，本具體實施例中的客戶相關標籤可以進一步包含指標類型標籤以及分眾及事件標籤之標籤類型。指標類型標籤進一步包含客戶關係(例如：核心客戶、數位客戶、營業員、客服中心等)、行銷專案執行(例如：營業管理、電子郵件行銷(EDM)等)、通路往來關係(例如：總下單統計、營業員、電子下單平台等)、產品往來關係(例如：總商品統計、各商品統計等)、資產負債組合(例如：總資產統計、總負債統計等)以及客戶貢獻(例如：總貢獻統計、各商品統計等)。分眾及事件標籤之標籤類型包含分眾標籤(例如：客戶潛力價值、產品購買潛力、往來缺口等)以及事件標籤(例如：消失預警等)。於實際應用中，客戶相關標籤亦可根據使用者之業務需求進行選擇及調整。In addition, the customer-related tags in this specific embodiment may further include indicator type tags and tag types of audience and event tags. The indicator type tags further include customer relationships (e.g., core customers, digital customers, salespersons, customer service centers, etc.), marketing project execution (e.g., sales management, email marketing (EDM)), channel relationships (e.g., total order statistics, salespersons, electronic order platforms, etc.), product relationships (e.g., total product statistics, statistics for each product, etc.), asset-liability portfolios (e.g., total asset statistics, total liability statistics, etc.), and customer contributions (e.g., total contribution statistics, statistics for each product, etc.). The tag types of segment and event tags include segment tags (e.g. customer potential value, product purchase potential, transaction gap, etc.) and event tags (e.g. disappearance warning, etc.). In actual applications, customer-related tags can also be selected and adjusted according to the user's business needs.

除上文所述，本創作之證券資料治理流程建立方法之數據處理模組可以包含其他功能。如圖4所示，於本具體實施例中，證券資料治理流程建立方法可以進一步包含步驟S4接續於步驟S3後執行。步驟S4：數據處理模組12針對每一客戶相關標籤進行定義，並將經定義之客戶相關標籤彙整產生標籤字典。於實際應用中，標籤字典可以經彙整並以網頁介面顯示，同時藉由即時更新提供使用者可以根據其欲查詢之客戶相關標籤進行檢索找到相關證券交易資料。In addition to the above, the data processing module of the securities data governance process establishment method of the present invention may include other functions. As shown in FIG4, in the present specific embodiment, the securities data governance process establishment method may further include step S4 to be executed after step S3. Step S4: Thedata processing module 12 defines each customer-related tag and aggregates the defined customer-related tags to generate a tag dictionary. In actual application, the tag dictionary can be aggregated and displayed in a web interface, and at the same time, it can be updated in real time to provide users with the ability to search for relevant securities transaction data based on the customer-related tags they want to query.

本創作證券資料治理流程建立系統除了上述樣態外，亦可具有其他樣態。請一併參閱圖2以及圖5。圖2係繪示根據本創作之一具體實施例之證券資料治理流程建立系統2的功能方塊圖。圖5係繪示根據本創作之另一具體實施例之證券資料治理流程建立方法的步驟流程圖。如圖2所示，本具體實施例中的證券資料治理流程建立系統2，可以進一步包含應用平台23。應用平台23耦接耦接主數據庫21以及標籤庫22。本具體實施例中，圖5之方法的各步驟可以透過圖2的系統架構來達成，故以下藉由圖2中的系統架構說明圖5的步驟。如圖5所示，本具體實施例與前述具體實施例不同處，在於本具體實施例之證券資料治理流程建立方法進一步包含步驟S5至S6接續於步驟S4後執行。步驟S5：應用平台23自主數據庫21依據客戶相關標籤中之至少一第一客戶相關標籤以對對應第一客戶相關標籤之客戶證券交易資料執行一應用程序。步驟S6：應用平台23查詢至少一第一客戶相關標籤於標籤字典中之定義。於實際應用中，應用平台23可以為業務平台(例如：客戶關係管理系統(CRM)、大數據視覺化分析系統(客群觀測站)等)。使用者可以藉由以主數據庫及標籤庫為核心建立之業務平台並進行資料分析，進而得到有品質、正確且完整的數據資料，並且能提升資料應用之一致性與可比性。In addition to the above-mentioned forms, the securities data governance process establishment system of the present invention may also have other forms. Please refer to Figure 2 and Figure 5 together. Figure 2 is a functional block diagram of a securities data governance process establishment system 2 according to one specific embodiment of the present invention. Figure 5 is a step flow chart of a securities data governance process establishment method according to another specific embodiment of the present invention. As shown in Figure 2, the securities data governance process establishment system 2 in this specific embodiment may further include anapplication platform 23. Theapplication platform 23 is coupled to themaster database 21 and thelabel library 22. In this specific embodiment, each step of the method of Figure 5 can be achieved through the system architecture of Figure 2, so the steps of Figure 5 are explained below by using the system architecture in Figure 2. As shown in FIG5 , the present embodiment differs from the aforementioned embodiment in that the method for establishing a securities data governance process of the present embodiment further includes steps S5 to S6 which are executed in succession after step S4. Step S5: Theapplication platform 23autonomous database 21 executes an application program for the customer securities trading data corresponding to the first customer-related tag based on at least one first customer-related tag among the customer-related tags. Step S6: Theapplication platform 23 queries the definition of at least one first customer-related tag in the tag dictionary. In actual applications, theapplication platform 23 can be a business platform (for example: customer relationship management system (CRM), big data visualization analysis system (customer group observation station), etc.). Users can use the business platform built around the master database and tag library to perform data analysis, thereby obtaining high-quality, accurate and complete data, and improving the consistency and comparability of data applications.

綜上所述，本創作提供一種證券資料治理流程建立系統，藉由數據處理模組進行標籤工程將原始交易資料以客戶為主體進行分類，並進一步存入主數據庫以及標籤庫。另外，藉由主數據庫以及標籤庫為核心建立業務平台以及進行資料分析，進而產出有品質、具業務價值之數據服務。此外，藉由資料品質監測模組可以針對客戶證券交易資料進行數據品質檢測，以找出不通過數據品質檢測的問題資料，進而確保資料品質與可用性。In summary, this work provides a securities data governance process establishment system, which uses the data processing module to perform labeling to classify the original transaction data based on the customer, and further stores it in the master database and label library. In addition, the business platform is established and data analysis is performed with the master database and label library as the core, thereby producing high-quality data services with business value. In addition, the data quality monitoring module can be used to perform data quality testing on customer securities transaction data to identify problematic data that does not pass the data quality test, thereby ensuring data quality and availability.

藉由以上較佳具體實施例之詳述，係希望能更加清楚描述本創作之標籤與精神，而並非以上述所揭露的較佳具體實施例來對本創作之範疇加以限制。相反地，其目的是希望能涵蓋各種改變及具相等性的安排於本創作所欲申請之專利範圍的範疇內。因此，本創作所申請之專利範圍的範疇應該根據上述的說明作最寬廣的解釋，以致使其涵蓋所有可能的改變以及具相等性的安排。The above detailed description of the preferred specific embodiments is intended to more clearly describe the label and spirit of this creation, and is not intended to limit the scope of this creation by the preferred specific embodiments disclosed above. On the contrary, its purpose is to cover various changes and arrangements with equivalents within the scope of the patent scope to be applied for this creation. Therefore, the scope of the patent scope applied for this creation should be interpreted in the broadest sense according to the above description, so as to cover all possible changes and arrangements with equivalents.

1:證券資料治理流程建立系統1: Establish a system for securities data management process

11:證券資料庫11: Securities database

12:數據處理模組12: Data processing module

13:資料品質監測模組13: Data quality monitoring module

21:主數據庫21: Master database

22:標籤庫22: Tag library

Claims (7)

Translated fromChinese

一種證券資料治理流程建立系統，包含有：A securities data management process establishment system, including:一證券資料庫，包含複數筆客戶證券交易資料，並且該等客戶證券交易資料包含複數個客戶之一基本資訊以及至少一證券交易資訊；A securities database, including multiple customer securities transaction data, and such customer securities transaction data includes basic information of multiple customers and at least one securities transaction information;一數據處理模組，耦接該證券資料庫，用以分別分析該等客戶證券交易資料之該基本資訊以及該至少一證券交易資訊以給定每一該等客戶證券交易資料複數個客戶相關標籤，並將該等客戶證券交易資料以及對應的該等客戶相關標籤存入一主數據庫，並將該等客戶相關標籤彙整儲存於一標籤庫；以及A data processing module, coupled to the securities database, for analyzing the basic information of the customer securities transaction data and the at least one securities transaction information respectively to give a plurality of customer-related tags to each of the customer securities transaction data, and storing the customer securities transaction data and the corresponding customer-related tags in a master database, and aggregating and storing the customer-related tags in a tag library; and一資料品質監測模組，耦接該數據處理模組，用以針對該等客戶證券交易資料進行一數據品質檢測，並且分析該等客戶證券交易資料中不通過該數據品質檢測之至少一第一客戶證券交易資料。A data quality monitoring module is coupled to the data processing module to perform a data quality test on the customer securities trading data and analyze at least one first customer securities trading data that does not pass the data quality test among the customer securities trading data.如申請專利範圍第1項所述之證券資料治理流程建立系統，其中該數據處理模組係用以針對每一該等客戶相關標籤進行定義，並將經定義之該等客戶相關標籤彙整產生一標籤字典。As described in item 1 of the patent application scope, the securities data governance process establishment system, wherein the data processing module is used to define each of the customer-related tags, and aggregate the defined customer-related tags to generate a tag dictionary.如申請專利範圍第2項所述之證券資料治理流程建立系統，進一步包含一應用平台，耦接該主數據庫以及該標籤庫，用以自該主數據庫依據該等客戶相關標籤中之至少一第一客戶相關標籤以對對應該等第一客戶相關標籤之該等客戶證券交易資料執行一應用程序。The securities data governance process establishment system as described in Item 2 of the patent application scope further includes an application platform coupled to the master database and the tag library, for executing an application program from the master database based on at least one first customer-related tag among the customer-related tags to the customer securities transaction data corresponding to the first customer-related tags.如申請專利範圍第3項所述之證券資料治理流程建立系統，其中該應用平台係用以查詢該至少一第一客戶相關標籤於該標籤字典中之定義。As described in item 3 of the patent application scope, the securities data governance process establishment system, wherein the application platform is used to query the definition of the at least one first customer-related tag in the tag dictionary.如申請專利範圍第1項所述之證券資料治理流程建立系統，其中該等客戶相關標籤進一步包含客戶及關係人、客戶互動、帳戶主檔、帳戶交易、標的、類別參照以及分析模型之標籤類型。As described in Item 1 of the patent application scope, the securities data governance process establishment system, wherein the customer-related labels further include label types of customers and related persons, customer interactions, account masters, account transactions, targets, category references, and analysis models.如申請專利範圍第1項所述之證券資料治理流程建立系統，其中該等客戶相關標籤進一步包含一指標類型標籤以及一分眾及事件標籤之標籤類型。As described in Item 1 of the patent application scope, the securities data governance process establishment system, wherein the customer-related tags further include an indicator type tag and a tag type of audience and event tags.如申請專利範圍第6項所述之證券資料治理流程建立系統，其中該指標類型標籤進一步包含客戶關係、行銷專案執行、通路往來關係、產品往來關係、資產負債組合以及客戶貢獻。As described in item 6 of the patent application scope, the securities data governance process establishment system, wherein the indicator type label further includes customer relationship, marketing project execution, channel relationship, product relationship, asset-liability portfolio and customer contribution.

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