Design And Implementation Of Securities Broking Service System

With high-quality domestic enterprises listed in Hong Kong one after another andsustained economic growth in Hong Kong, its securities market has become one of theworld’s most active market. Its securities brokerage services also will be booming. More andmore securites brokerage companies provide high quality broking service to investors. Withefficient and stable system of securities brokerage is the key to support daily operation ofsecurities brokerage business.The securites brokerage company provides brokerage business which is including stocktransaction and settlement,IPO (Initial Public Offering),dividends payable,securities custodyand cash management etc.According to requirement,it is needed to build front-end andback-end system.The front-end is order entry system and the back-end is broking servicesystem.The order entry system accepts orders from different electronic media like cell phone,internet etc.It verifies the orders and sends the affirmed orders to AMS/3in HKEx for ordermatching.At same time,it captures executed orders from AMS/3and sends real time orders tobroking service system by MQ.After market closed,it will package all executed orders intoone file and send it to broking service system for batch processing.The back-end brokingservice system captures client and broker transactions from front-end system.It will verify andconfirm client and broker trade,perform trade reconciliation and trade settlement.On the otherside,the broking service system provides variables functions like new issue,custodianservice,dividends payable,cash management,accounting management,static datamanagement,data enquiry and report print.The article focuses on introducing the design and implementation of the broking servicesystem. According to structured methodology, firstly the Transaction Flow Diagram and UseCase will be used for system requirement analysis. Secondly the Entity-Relationship Diagram,System Flow Chat and Hieararchy Plus Diagram of structured design tools will be used tocomplete system design which includes system behaviour, function modules and databasedesign. At last, the Process Flow Chart and user interface design of structured program designtools will be used to complete system detail design.Based on high system reliability, performance and scalability considerations, IBM’s AS/400is chosen to be development platform for system development. The CL&RPGlanguage will be used as development language and the integrated DB2/400will be thedatabase.