US20230153911A1 - Method of processing investment data and associated system - Google Patents
Method of processing investment data and associated systemDownload PDFInfo
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- US20230153911A1 US20230153911A1US18/155,649US202318155649AUS2023153911A1US 20230153911 A1US20230153911 A1US 20230153911A1US 202318155649 AUS202318155649 AUS 202318155649AUS 2023153911 A1US2023153911 A1US 2023153911A1
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- G—PHYSICS
- G06—COMPUTING OR CALCULATING; COUNTING
- G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
- G06Q40/06—Asset management; Financial planning or analysis
- G—PHYSICS
- G06—COMPUTING OR CALCULATING; COUNTING
- G06F—ELECTRIC DIGITAL DATA PROCESSING
- G06F16/00—Information retrieval; Database structures therefor; File system structures therefor
- G06F16/90—Details of database functions independent of the retrieved data types
- G06F16/95—Retrieval from the web
- G06F16/951—Indexing; Web crawling techniques
- G—PHYSICS
- G06—COMPUTING OR CALCULATING; COUNTING
- G06F—ELECTRIC DIGITAL DATA PROCESSING
- G06F16/00—Information retrieval; Database structures therefor; File system structures therefor
- G06F16/90—Details of database functions independent of the retrieved data types
- G06F16/95—Retrieval from the web
- G06F16/958—Organisation or management of web site content, e.g. publishing, maintaining pages or automatic linking
- G06F16/986—Document structures and storage, e.g. HTML extensions
- G—PHYSICS
- G06—COMPUTING OR CALCULATING; COUNTING
- G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
- G06Q40/02—Banking, e.g. interest calculation or account maintenance
- G—PHYSICS
- G06—COMPUTING OR CALCULATING; COUNTING
- G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
- G06Q40/03—Credit; Loans; Processing thereof
- G—PHYSICS
- G06—COMPUTING OR CALCULATING; COUNTING
- G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
- G06Q40/04—Trading; Exchange, e.g. stocks, commodities, derivatives or currency exchange
- H—ELECTRICITY
- H04—ELECTRIC COMMUNICATION TECHNIQUE
- H04L—TRANSMISSION OF DIGITAL INFORMATION, e.g. TELEGRAPHIC COMMUNICATION
- H04L63/00—Network architectures or network communication protocols for network security
- H04L63/20—Network architectures or network communication protocols for network security for managing network security; network security policies in general
Definitions
- the present inventionrelates to an improved method and associated computerized system for providing efficient processing of investment data including transactional data and holdings and more specifically, it relates to such a method and a related system which will facilitate determination of credit assignment for compensation and other purposes and will provide detailed information regarding investment transactions, customers and clients.
- the present inventionhas met the hereinbefore described need.
- a server which supports a databaseis structured to receive, process and store investment data.
- serverwill be employed to refer to and include a database and/or rules engine supported by the server regardless of whether the database or rules engine is physically a portion of the server or is operatively associated therewith through suitable interaction.
- Rules enginesare provided in order to facilitate determination of credit assignment from investment data including rules data.
- Investment data from a plurality of external servicesis introduced into the server through a suitable interface with user access preferably through the internet being permitted so as to respond to user queries and to deliver the information to a plurality of users in predetermined report form or any other desired logical form or other form.
- the user interfacealso permits a data steward to provide input to revise information which will be provided on the host server.
- a corresponding computerized systemis also provided.
- FIG. 1is a schematic illustration showing a form of system of the present invention structured to facilitate practice of the methods of the present invention.
- FIG. 2is an expanded schematic illustration of the system of the present invention which is suitable for use ire practicing the method of the present invention.
- data objectmeans an interchangeable software logic component usable with other data objects in a data object interface to perform essentially the same function in different ways.
- data interface objectmeans a functional interface for conversion of external investment data of different formats>into a common format with each data object interface including at least two data objects.
- the data object interfacemay be composed of a group of data object interfaces.
- investmentshall expressly include, but not he limited to, mutual funds, common and preferred shares of stocks, whether listed on an exchange or not, high-yield corporate bonds and high-grade corporate bonds, municipal bonds, United States Treasury bills, notes and bonds, mortgage-related investments and short-term securities such as commercial paper, bankers acceptances, re-purchase agreements and supporting currencies.
- investment datameans data dealing with investments or organizations or individuals who are involved in investments and shall expressly include, but not be limited to, those occupationally involved as well as their customers and clients and shall expressly include information relating to brokers, dealers, clients, main offices, branch offices, addresses, telephone numbers, identify of individuals as well as titles and responsibilities and similar access and identifying information.
- credit assignmentmeans a determination of the individual or entity entitled to credit for a transaction or, entitled to total or partial credit for a transaction or holding involving investments with the determination being made for purposes including but not limited to financial, administrative, personnel, management, compensation, revenue sharing, or statistical purposes and shall expressly include, but not be limited to, assignment of credit for orders, settled trades and investment holdings.
- rules datameans data sufficient to permit determination of credit assignment based at least in part on investment data.
- rules enginemeans rules receiving software that uses rules data received from external sources to determine credit assignment.
- the status of the transaction as to whether it is an order or a settled trade or if it relates to asset holdingsmay also be involved. Internal rules which govern such transactions must also be considered.
- a plurality of external sources 2 , 4 , 6 of investment datawhich in the form shown have been given # 1 , # 2 through # N may be a plurality of sources of nonuser financial data provided to the system.
- a suitable interface 10which is preferably a data interface object of the type disclosed in U.S. patent application Ser. No. 10/878,763 entitled “A Computerized Method of Processing Investment Data and Associated System”, the disclosure of which is incorporated herein be reference, is preferably employed.
- the investment datais introduced into database server 1 2 which is programmed to receive, process and store the investment information in desired au mat and location for suitable retrieval.
- the data which includes rules datais processed according by rules engine which may be in the form of a separate module or incorporated into the server.
- rules enginewhich may be in the form of a separate module or incorporated into the server.
- a data steward 40 and/or plurality of users 30 , 32 , 34 which have been identified as # 1 , # 2 through # Nmay simultaneously access the server 12 through interface 36 and rules 18 to deliver an inquiry and to receive the desired information regarding credit assignment output of the rules engine which may be disposed within the server 12 in a predetermined report form or in another manner.
- a data steward 40also may interact with the server 12 through interface 36 and rules 18 in order to supply rules data to rules engine and review server content and make revisions thereto.
- the rules 18may be resident in the database of server 12 as will the investment data which contains rules data which will be processed by the rules engine employing the rules data received in the investment data
- An advantage of the present inventionis that users may access the system through the internet or other means such as an internal network. subject to whatever desired security access restrictions are imposed.
- users 30 , 32 , 34 and steward 40accessing the server 12 through user interface 36
- users 30 , 32 , 34 and data steward 40may access the server 12 directly.
- Such accessmay be effected through the internet by other means such as internal network, for example, the users 30 , 32 , 34 , data steward 40 and external system 42 may access the system through user interface 16 , rules 18 or database server 12 .
- access by external system 42may be respectively through paths 44 . 46 , or 47 .
- FIG. 2an expanded schematic view of the method and associated system of the present invention will be considered.
- the server 12has been shown as separated from database 48 other than being operatively associated therewith. It will be appreciated that the physical unit may be combined in one housing or be in separate housings which are functionally interconnected.
- the serverwill be regarded as supporting the database and will collectively be referred to as the “server”.
- FIG. 2shows the server 12 receiving external investment data 50 through the data interface object 52 which in turn outputs the investment data with or without processing to the database server 48 with the internal database receiving the data from data interface object 52 being identified by the reference number 60 .
- the users 68access the system through web-based user interface 70 in a bidirectional manner as does the data steward 72 .
- the output of the user interface 70is received in business logic and rules module 74 for making sure that the data has the form and content desired with the business logic and rules module 74 outputting the investment data to the database 48 for receipt in database module 60 .
- customer account information 80Shown as being stored for retrieval within the database 60 are customer account information 80 , customer investment holding information 82 and customer asset position information 84 .
- customer asset position information 84Also shown as stored in the desired format and location for ready retrieval are credit assignment information 90 , credit assignment rules information 92 and client information.
- Examples of the client informationare the client organizational structure information 100 , the external business entity structure information 102 , client trading information 104 , address, telephone and location information 106 , settled trade information 108 and pending order information 110 .
- processing exception information 112which may, for example, consist of new or updated external business entities, client trading information, investment product information added or updated in the database schema 60 by the data interface objects 52 and investment product information 114 .
- the present method and associated apparatusprovide efficient, computerized processing of nonuser externally delivered investment data which is received, processed and stored in an organized manner in a server with a plurality of external users being able through the internet to obtain access to the information and a data steward being able to review and revise the same. All of this facilitates employing the desired transaction and asset holding information with the complex credit assignment arrangements to permit rapid accurate determination and reporting of credit due.
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Abstract
Description
- The present invention relates to an improved method and associated computerized system for providing efficient processing of investment data including transactional data and holdings and more specifically, it relates to such a method and a related system which will facilitate determination of credit assignment for compensation and other purposes and will provide detailed information regarding investment transactions, customers and clients.
- It has long been known to employ computers to receive data, process the same within a computer and store the same for retrieval from a database.
- In the field of investments, the very high volume of investment transactions and wide range of determinations that need to be made and records provided have led to the recognition that a computerized system for receipt, processing, storing and outputting various types of investment data in various formats would be advantageous. See, for example, U.S. Pat. Nos. 5,749,077 and 5,393,079.
- One of the problems that exists in connection with the processing of large volumes of investment transactions and holdings is the monitoring of customer activities and assets and accurate computation of the various segments of the investment community interacting on behalf of a given customer directly or indirectly in a given transaction thereby making the computation of the financial credit or compensation due difficult.
- There remains, therefore, a real arid substantial need for an effective automated system which can accurately and rapidly process large volumes of investment data received from multiple external sources and apply rules to the same so as to permit determination of credit assignment resulting therefrom.
- The present invention has met the hereinbefore described need.
- In a preferred method of the present invention, a server which supports a database is structured to receive, process and store investment data. For simplicity of disclosure herein, the term “server” will be employed to refer to and include a database and/or rules engine supported by the server regardless of whether the database or rules engine is physically a portion of the server or is operatively associated therewith through suitable interaction.
- Rules engines are provided in order to facilitate determination of credit assignment from investment data including rules data. Investment data from a plurality of external services is introduced into the server through a suitable interface with user access preferably through the internet being permitted so as to respond to user queries and to deliver the information to a plurality of users in predetermined report form or any other desired logical form or other form. The user interface also permits a data steward to provide input to revise information which will be provided on the host server.
- A corresponding computerized system is also provided.
- It is an object of the present invention to provide a computerized method and associated system for receiving investment data from a plurality of external sources and receiving, processing and storing the same in a desired format.
- It is another object of the present invention to provide such a method wherein investment data for making an accurate credit assignment resulting from investment transactions or asset valuations can be made rapidly and accurately.
- It is another object of the present invention which facilitates application of appropriate rules so as to process investment transactions and make accurate credit assignments.
- It is a further object of the present invention to provide such automated systems which facilitate simultaneous introduction of data from external nonuser sources into the system and simultaneous access to the system by a plurality of users as well as a data steward, while storing the investment data in the server in desired location and format to facilitate ready review and retrieval as well as credit assignments.
- These and other objects of the invention will be more fully understood from the following description of the invention on reference to the illustrations appended hereto.
FIG.1 is a schematic illustration showing a form of system of the present invention structured to facilitate practice of the methods of the present invention.FIG.2 is an expanded schematic illustration of the system of the present invention which is suitable for use ire practicing the method of the present invention.- As employed herein, the term “data object” means an interchangeable software logic component usable with other data objects in a data object interface to perform essentially the same function in different ways.
- As employed herein, “data interface object” means a functional interface for conversion of external investment data of different formats>into a common format with each data object interface including at least two data objects. The data object interface may be composed of a group of data object interfaces.
- As employed herein, the term “investments” shall expressly include, but not he limited to, mutual funds, common and preferred shares of stocks, whether listed on an exchange or not, high-yield corporate bonds and high-grade corporate bonds, municipal bonds, United States Treasury bills, notes and bonds, mortgage-related investments and short-term securities such as commercial paper, bankers acceptances, re-purchase agreements and supporting currencies.
- As employed herein, the term “investment data” means data dealing with investments or organizations or individuals who are involved in investments and shall expressly include, but not be limited to, those occupationally involved as well as their customers and clients and shall expressly include information relating to brokers, dealers, clients, main offices, branch offices, addresses, telephone numbers, identify of individuals as well as titles and responsibilities and similar access and identifying information.
- As employed herein, the term “credit assignment” means a determination of the individual or entity entitled to credit for a transaction or, entitled to total or partial credit for a transaction or holding involving investments with the determination being made for purposes including but not limited to financial, administrative, personnel, management, compensation, revenue sharing, or statistical purposes and shall expressly include, but not be limited to, assignment of credit for orders, settled trades and investment holdings.
- As employed herein “rules data” means data sufficient to permit determination of credit assignment based at least in part on investment data.
- As employed herein “rules engine” means rules receiving software that uses rules data received from external sources to determine credit assignment.
- It will be appreciated that in making a credit assignment determination so as to make sure that accurate compensation, decisions and payments are made can involve a complex matrix of individuals, organizations and transactional evaluations. For example, one might from a business entity standpoint determine what individual firm, dealer, branch, satellite branch and representative would be entitled to participate in compensation for a transaction. Also, the state, zip code, specific mutual fund, social code, plan or account may enter into the determination, the particular line of business, sales region or territory, product distribution information, external wholesaler and internal wholesaler factors may also need to be considered.
- The status of the transaction as to whether it is an order or a settled trade or if it relates to asset holdings may also be involved. Internal rules which govern such transactions must also be considered.
- Referring to
FIG.1 , a plurality ofexternal sources suitable interface 10 which is preferably a data interface object of the type disclosed in U.S. patent application Ser. No. 10/878,763 entitled “A Computerized Method of Processing Investment Data and Associated System”, the disclosure of which is incorporated herein be reference, is preferably employed. - The investment data is introduced into
database server 12 which is programmed to receive, process and store the investment information in desired au mat and location for suitable retrieval. In applying the standards for automated determination of credit assignments, the data which includes rules data is processed according by rules engine which may be in the form of a separate module or incorporated into the server. Adata steward 40 and/or plurality ofusers server 12 throughinterface 36 andrules 18 to deliver an inquiry and to receive the desired information regarding credit assignment output of the rules engine which may be disposed within theserver 12 in a predetermined report form or in another manner. - For example, the desired information in addition to or in lieu of a predetermined report form could be provided in html.xml, pdf tiles or in other desired form. A
data steward 40 also may interact with theserver 12 throughinterface 36 andrules 18 in order to supply rules data to rules engine and review server content and make revisions thereto. Therules 18 may be resident in the database ofserver 12 as will the investment data which contains rules data which will be processed by the rules engine employing the rules data received in the investment data - An advantage of the present invention is that users may access the system through the internet or other means such as an internal network. subject to whatever desired security access restrictions are imposed.
- In addition to the
users server 12 throughuser interface 36,users data steward 40, other computer andexternal systems 42 may access theserver 12 directly. Such access may be effected through the internet by other means such as internal network, for example, theusers data steward 40 andexternal system 42 may access the system through user interface16,rules 18 ordatabase server 12. - As shown in
FIG.1 , access byexternal system 42 may be respectively throughpaths 44.46, or47. - Referring now to
FIG.2 , an expanded schematic view of the method and associated system of the present invention will be considered. In this form for clarity of illustration, theserver 12 has been shown as separated fromdatabase 48 other than being operatively associated therewith. It will be appreciated that the physical unit may be combined in one housing or be in separate housings which are functionally interconnected. For simplicity of disclosure herein, the server will be regarded as supporting the database and will collectively be referred to as the “server”. FIG.2 shows theserver 12 receiving external investment data50 through thedata interface object 52 which in turn outputs the investment data with or without processing to thedatabase server 48 with the internal database receiving the data fromdata interface object 52 being identified by thereference number 60. Also shown inFIG.2 , theusers 68 access the system through web-baseduser interface 70 in a bidirectional manner as does thedata steward 72. The output of theuser interface 70 is received in business logic andrules module 74 for making sure that the data has the form and content desired with the business logic andrules module 74 outputting the investment data to thedatabase 48 for receipt indatabase module 60.- Also shown within the
database 48 wherein the received investment data coming from the external nonuser sources50, and theuser 68 anddata steward 72, communications are provided to and fromdatabase 60. Shown as being stored for retrieval within thedatabase 60 arecustomer account information 80, customerinvestment holding information 82 and customerasset position information 84. Also shown as stored in the desired format and location for ready retrieval arecredit assignment information 90, credit assignment rulesinformation 92 and client information. Examples of the client information are the clientorganizational structure information 100, the external businessentity structure information 102, client trading information104, address, telephone andlocation information 106, settledtrade information 108 and pendingorder information 110. Also shown are processing exception information112 which may, for example, consist of new or updated external business entities, client trading information, investment product information added or updated in thedatabase schema 60 by the data interface objects52 andinvestment product information 114. - It will be appreciated that the present method and associated apparatus provide efficient, computerized processing of nonuser externally delivered investment data which is received, processed and stored in an organized manner in a server with a plurality of external users being able through the internet to obtain access to the information and a data steward being able to review and revise the same. All of this facilitates employing the desired transaction and asset holding information with the complex credit assignment arrangements to permit rapid accurate determination and reporting of credit due.
- Whereas particular embodiments of the invention have been described herein for purposes of illustration, it will be evident to those skilled in the art that numerous variations of the details may be made without departing from the invention as set forth in the appended claims.
Claims (19)
1. A computerized method of processing data comprising providing a server supporting a database for receiving, processing and storing data,
providing rules relating to assignment of properties,
introducing into said server the data from a plurality of external sources, and
denying user access to said processed and stored data resident in said server after application of said rules to said data.
2. The computerized method of processing investment data ofclaim 1 including effecting a assigned property through said method.
3. The computerized method of processing the data ofclaim 2 including providing nonuser a second data in said external source data.
4. The computerized method of processing data ofclaim 3 including providing said data from external sources to said server by data interface objects.
5. The computerized method of processing data ofclaim 4 including providing said data to said user through a user interface.
6. The computerized method of processing data ofclaim 5 including providing said processed data to said user in predetermined report form.
7. The computerized method of processing data ofclaim 6 including providing data from a plurality of said external sources to said data interface objects substantially simultaneously.
8. The computerized method of processing data ofclaim 5 including providing said data to said user in a form selected from the group consisting of html, xml and pdf files.
9. The computerized method of processing data ofclaim 7 including employing a rules engine for applying said rules to said data.
10. The computerized method of processing data ofclaim 9 including said data containing rules data which is processed by said rules engine.
11. The computerized method of processing data ofclaim 10 including periodically revising said rules.
12. The computerized method of processing data ofclaim 11 including effecting said rules revision by input from at least one of a said user and said data steward.
13. The computerized method of processing data ofclaim 9 including a data steward periodically revising said data.
14. The computerized method of processing data ofclaim 9 including a data steward periodically revising said rules.
15. The computerized method of processing data ofclaim 13 including effecting said revising in said database.
16. The computerized method of processing data ofclaim 14 including effecting said revising in said database.
17. The computerized method of processing of data ofclaim 1 including storing said rules in said database.
18. The computerized method of processing data ofclaim 1 including said users accessing said user interface through the internet.
19. The computerized method of processing data ofclaim 1 including storing in said server data regarding data features.
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| US10/944,202US8793182B2 (en) | 2004-09-17 | 2004-09-17 | Method of processing investment data and associated system |
| US14/333,901US20140330699A1 (en) | 2004-09-17 | 2014-07-17 | Method of processing investment data and associated system |
| US15/340,751US20170116673A1 (en) | 2004-09-17 | 2016-11-01 | Method of processing investment data and associated system |
| US15/958,540US20180240193A1 (en) | 2004-09-17 | 2018-04-20 | Method of processing investment data and associated system |
| US16/806,856US20200202446A1 (en) | 2004-09-17 | 2020-03-02 | Method of processing investment data and associated system |
| US17/340,965US20210295437A1 (en) | 2004-09-17 | 2021-06-07 | Method of processing investment data and associated system |
| US18/155,649US20230153911A1 (en) | 2004-09-17 | 2023-01-17 | Method of processing investment data and associated system |
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| US15/340,751AbandonedUS20170116673A1 (en) | 2004-09-17 | 2016-11-01 | Method of processing investment data and associated system |
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| US17/340,965AbandonedUS20210295437A1 (en) | 2004-09-17 | 2021-06-07 | Method of processing investment data and associated system |
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| Publication number | Priority date | Publication date | Assignee | Title |
|---|---|---|---|---|
| US8214279B2 (en)* | 2004-04-23 | 2012-07-03 | Access Data Corporation | Method of computerized monitoring of investment trading and associated system |
| US8200567B2 (en)* | 2004-04-23 | 2012-06-12 | Access Data Corporation | Method of computerized monitoring of investment trading and associated system |
| US20050289031A1 (en)* | 2004-06-28 | 2005-12-29 | Campbell David H | Computerized method of processing investment data and associated system |
| US8793182B2 (en) | 2004-09-17 | 2014-07-29 | Access Data Corporation a Broadridge Company | Method of processing investment data and associated system |
| US8103564B2 (en)* | 2004-12-30 | 2012-01-24 | Access Data Corporation a Broadridge Company | Method of processing investment data and making compensation determinations and associated system |
| CN107194812A (en)* | 2017-05-26 | 2017-09-22 | 中企云链（北京）金融信息服务有限公司 | The service system and its method of supplier's assignment of credit |
| US11308488B2 (en)* | 2018-06-12 | 2022-04-19 | The Vanguard Group, Inc. | Device, method, and computer readable medium for large scale electronic processing |
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| US20170116673A1 (en) | 2017-04-27 |
| US20200202446A1 (en) | 2020-06-25 |
| WO2006036240A2 (en) | 2006-04-06 |
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