Standard number: JR/T 0176.1-2019
Standard name: Securities and futures industry data model-Part 1: Abstract model design method
English name: Securities and futures industry data model-Part 1: Abstract model design method
Standard format: PDF
Release time: 2019-11-18
Implementation time: 2019-11-18
Standard size: 2.01M
Standard introduction: 1 Scope
This part specifies the abstract model design method for the securities and futures industry, including the overall design architecture, overall design method, common part design method, transaction part design method, regulatory part design method, information disclosure part design method, meta-language definition and output description.
This part is applicable to the construction of abstract models in the securities and futures industry.
2 Normative reference documents
The following documents are essential for the application of this document. For any referenced document with a date, only the version corresponding to the date is applicable to this document. For any referenced document without a date, the latest version (including all amendments) is applicable to this document
Accounting Standards for Enterprises Accounting Department of the Ministry of Finance
3 Terms and Definitions
The following terms and definitions are applicable to this document
Abstract Model
Based on the relevant laws and regulations, departmental regulations, business rules, and guiding documents of the securities and futures industry, a series of universal, stable and extensible data sets are formed by traversing various business activities in the capital market and identifying key business processes and data elements in a self-bottom-up combing method. JR/T0176 "Securities and Futures Industry Data Model" is divided into 8 parts
Part 1: Abstract model design method
Part 2: Logical model public part industry information model;
Part 3: Securities company logical model
Part 4: Fund company logical model
Part 5: Futures company logical model
Part 6: Stock exchange logical model;
Part 7: Futures exchange logical model
Part 8: Regulatory agency logical model.
This part is the first part of R/T0176.
This part is drafted according to the rules given in GB/T1.1-2009
This part is proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (ACTC180/5C4)
This part is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180)
This part specifies the design method of abstract models for securities and futures industry, including the overall design architecture, overall design method, public part design method, transaction part design method, supervision part design method, information disclosure part design method, meta-language definition and output description. This part is applicable to the construction of abstract models for securities and futures industry.
JR/T 0176 "Securities and Futures Industry Data Model" is divided into 8 parts:
-- Part 1: Abstract model design method;
-- Part 2: Logical model public part industry information model;
-- Part 3: Securities company logical model;
-- Part 4: Fund company logical model;
-- Part 5: Futures company logical model;
-- Part 6: Stock exchange logical model;
-- Part 7: Futures exchange logical model;
-- Part 8: Regulatory agency logical model. This part
is the first part of JR/T 0176.
This part is drafted according to the rules given in GB/T 1.1-2009.
This part is proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4).
This part is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180).
The drafting units of this part are: Information Center of China Securities Regulatory Commission, Securities and Fund Institutions Supervision Department of China Securities Regulatory Commission, China Securities Information Technology Services Co., Ltd., China Futures Market Monitoring Center Co., Ltd., Shenwan Hongyuan Securities Co., Ltd., China Securities Inter-dealer Quotation System Co., Ltd., Chinasoft International Technology Service Co., Ltd., Shenzhen Zhiyuan Sulian Information Technology Co., Ltd., Shanghai Jibeike Information Technology Co., Ltd., Shanghai Lixin Weiyi Software Co., Ltd. The
main drafters of this part are: Zhang Ye, Liu Tiebin, Zhou Yunhui, Xie Chen, Luo Liming, Sun Hongwei, Huang Lu, Wang Meng, Zhang Chunyan, Wang Hui, Cao Lei, Chen Nan, Fu Ziqi, Qiao Wei, Huang Wenlu, Zhu Xu, Liu Jia, Li Guangtao, Liu Guoyong, Yang Cheng, Li Tingting, Li Hai, Yang Hongfeng.
The following documents are indispensable for the application of this document. For all referenced documents with dates, only the versions corresponding to the dates are applicable to this document. For any undated referenced documents, the latest version (including all amendments) shall apply to this document
.

ICS03.060
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Financial Industry Standard of the People's Republic of China
JR/T0176.1—2019
Securities and futures industry data model-Part 1:Abstract model design method2019-11-18 Release
China Securities Regulatory Commission
2019-11-18 Implementation
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Introduction:
Normative references
Terms and definitions
4 Overall design architecture
Overall design method
Common part design method
Transaction part design method
7.2 Behavior and process combing
Data item combing..
Data model design.
Model verification
Regulatory part design method
8.2 Method description..
8.3 Brief description of steps..
Model Type verification
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9 Design method of information disclosure part.
Template
Mapping
Refine
Design of general dimension
Atomic data combing,
Compound data combing,
Reusable data table combing.
9.5 Recombination
9.6 Regress
9.7 Brief description of steps.
10 Meta-language definition
10.1 Meta-language definition of each level.
10.1.1 Data meta-language definition.
JR/T 0176.12019
JR/T0176.1—2019
Table meta-language definition.
10.2 Code meta-language definition,
11 Output description.
Appendix A (Normative Appendix)
Appendix B
(Normative Appendix)
References.
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Data type
Reference category
··21
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JR/T0176 "Securities and Futures Industry Data Model" is divided into 8 parts - Part 1: Abstract model design method: - Part 2: Logical model public part industry information model: - Part 3: Securities company logical model: - Part 4: Fund company logical model; - Part 5: Futures company logical model; - Part 6: Stock exchange logical model; - Part 7: Futures exchange logical model: - Part 8: Regulatory agency logical model, this part is the first part of JR/T0176.
This part is drafted according to the rules given in GB/T1.1-2009. JR/T0176.1—2019
This part is proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4). This part is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180). Drafting units of this part: Information Center of China Securities Regulatory Commission, Securities and Fund Institutions Supervision Department of China Securities Regulatory Commission, China Securities Information Technology Services Co., Ltd., China Futures Market Monitoring Center Co., Ltd., Shenwan Hongyuan Securities Co., Ltd. China Securities Inter-dealer Quotation System Co., Ltd., Chinasoft International Technology Service Co., Ltd., Shenzhen Zhiyuan Sulian Information Technology Co., Ltd., Shanghai Jibeike Information Technology Co., Ltd., Shanghai Lixin Weiyi Software Co., Ltd. The main drafters of this part: Zhang Ye, Liu Tiebin, Zhou Yunhui, Xie Chen, Luo Liming, Sun Hongwei, Huang Lu, Wang Meng, Zhang Chunyan, Wang Hui, Cao Lei, Chen Nan, Fu Ziqi, Qiao Wei, Huang Wenlu, Zhu Xu, Liu Jia, Li Guangtao, Liu Guoyong, Yang Cheng, Li Tingting, Li Hai, Yang Hongfeng. JR/T0176.12019
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The securities and futures industry has a relatively high degree of dataization, with many institutions, a wide range of types, and diverse trading methods. The data exchange within and between institutions is frequent and the business is developing rapidly. In order to improve the efficiency of data exchange, standardize the construction of industry institution data application systems, and enhance the level of industry data standardization, the securities and futures industry has organized the construction of industry data models, aiming to clearly describe the data flow, data name, data definition, structure type, code value and association relationship of the entire market, and provide guidance for the internal system construction of industry institutions and data exchange between institutions. This part is the first part of the series of standards for securities and futures industry data models: abstract model design method, based on which a model framework that meets regulatory specifications can be formed, as well as a set of industry data dictionaries refined according to regulatory rules. Related achievements are important components of industry data models, data audit basis of industry standards, and mapping basis of industry logic models. They are of great significance for standardizing industry data languages, promoting industry data governance, and assisting the construction of industry regulatory technology. IV
1 Scope
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Securities and futures industry data model
Part 1: Abstract model design method
JR/T0176.1—2019
This part specifies the design method of abstract models for securities and futures industries, including overall design architecture, overall design method, public part design method, transaction part design method, regulatory part design method, information disclosure part design method, meta-language definition, and output description. This part is applicable to the construction of abstract models for securities and futures industries. 2 Normative references
The following documents are essential for the application of this document. For all referenced documents with dates, only the versions corresponding to the dates are applicable to this document. For any undated referenced document, the latest version (including all amendments) shall apply to this document. Accounting Standards for Enterprises Accounting Department of the Ministry of Finance 3 Terms and Definitions
The following terms and definitions apply to this document. 3.1 Business
Abstract Modelabstractmodel
Based on the relevant laws and regulations, departmental regulations, business rules, and guiding documents of the securities and futures industry, a series of data sets with universality, stability, and scalability are formed by traversing various business activities in the capital market and identifying key business processes and data elements using a top-down combing method. 3.1.2
Identity
The main object participating in the capital market business. Note: Including institutions, individuals, and products.
Variety
Various financial instruments and services involved in the capital market business. 3.1.4
Financefinance
The capital activities and capital relations involved in the capital market business of various institutions. 3.1.5
Trading
The transfer behavior involved in the participation of various entities in capital market business. 3.1.6
JR/T0176.1—2019
regulation
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The behavior of the competent authorities to uniformly supervise and manage the national securities and futures markets, maintain market order, and ensure their legal operation in accordance with laws and regulations. 3.1.7
information disclosure
Information disclosure
The behavior of the disclosing entity reporting its own financial changes, operating conditions and other information and materials to the regulatory authorities and exchanges, and making them public or announced to the society.
Behavior
A series of actions taken by various market entities in the process of trading, supervision and information disclosure. 3.1.9
process
The stages through which behavior develops.
Regulation object
regulationobject
The object that the competent department is responsible for supervising according to law. 3.1.11
regulation theme
Regulation theme
Supervision responsibilities for a certain aspect or field of the supervision object. 3.1.12
regulationmethod
Regulatory method
The regulatory means or measures adopted for a certain regulatory subject of the regulated object. Note: It includes on-site inspection, administrative license, etc. 3.1.13
Regulatory business
regulationbusiness
The specific work content of supervising a certain regulatory subject of the regulated object. Note: It includes law-making, administrative license, inspection and punishment, daily supervision, macro supervision and internal management. 3.1.14
regulation process
Regulatory process
The process of supervising a certain regulatory subject of the regulated object by adopting a certain regulatory method. 3.2Data
meta semantic
Descriptive information of data.
Entity-relationship diagram
entity-relationshipdiagram
A method of describing the entity relationship of the data model in a graphical way Note: Entity-relationship diagram is referred to as ER diagram.
datadictionary
Data dictionary
A data set that defines or describes the various types of data involved in the standard. 3.2.4
Atomic data
atomicdata
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Independent, indivisible minimum data unit. 3.2.5
compounddata
Compound data
Data composed of atomic data or processed by a certain relationship. 3.2.6
reusabletable
Reusable data table
A data set composed of atomic data or compound data and used in multiple business links. 3.2.7
Semantically independent data table semantic specifiedtableA data set composed of atomic data or compound data that describes a specific business logic. 3.2.8
Camel-case
A method of naming variables and functions by mixing uppercase and lowercase letters. Overall design architecture
The abstract model follows the overall design architecture of "1+3+N" as shown in Figure 1, where: JR/T0176.1—2019bZxz.net
"1" refers to the industry common part of the abstract model, including the three themes of subject, variety, and finance, and other common parts. The industry common part can be reused by at least two business lines of "transaction", "regulation", and "disclosure", and maintains consistency in syntax and semantics.
"3" refers to the models formed by combing the three business lines of "transaction", "regulation", and "disclosure". The three groups of models are not highly coupled to each other, and conflicts with the same name but different meanings are allowed in the personalized parts between groups, and consistency in syntax and semantics is not required. Each group of models is further divided into the common part within the business scope and the dedicated data model covering the application system below it. The common part can be shared within the business scope, and semantics and syntax should be consistent within the group. "N" refers to the dedicated data model of a specific application system in the model formed by each business main line. The data and tables in this part are specific to a certain application and are only used in this application. They are not reused with the models of other applications in the business main line. The data and tables involved in each "N" are not required to be consistent in syntax and semantics. Industry public part (PI)
(level code-C)
Transaction public part (P21
Layer code = purchase
Explosion standard
New review public part (P22)
Level code
"1+3+N" design pattern can be expressed as: Figure 1
Other public parts
Wu Di public part (2)
Exhibition level code=0)
"1+3+N\design architecture
"1"
JR/T0176.1—2019
Where:
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SDOM = P1 I
Abstract model;
e (subject, variety, finance, other public parts: transaction public part, 1 three 1
regulatory public part, = 2
disclosure public part, 1=3
j represents the dedicated data model of a specific application system under each business main line. P3ij—
5 Overall design method
The overall abstract model adopts the "subject-behavior-relevance" (Identity-Behavior-Relevance, referred to as IBR) design method for design, that is, based on the subject (I dent) as the core, extending its various market behaviors (Behavior), and summarizing the relevant relationships (Relevance), extracting and dividing to form a series of data tables for specific business scenarios and applications, and finally forming the overall framework of the data model. The specific content is shown in Figure 2.
Subject (I)
Products, securities companies, listed companies
6 Public part design method
Relationship (R)
Regulatory reporting relationship
Business intermediary relationship
Behavior (B)
Transaction, Brokerage intermediary
Information disclosure
The line is
Business flow
Process relationship
Figure 2IBR methodology
Regulatory object
Regulatory subject
Regulatory method
Submission relationship
The public part of the abstract model mainly includes three themes: product, subject, and finance. The specific design method is as follows: Information disclosure
Disclosure subject
Disclosure subject
Relationship of the disclosure tree
Product subject. Refer to GB/T35964-2018, In combination with the actual situation of the domestic capital market, the product classification system is adjusted and supplemented, and further refined by supplementing entities, attributes, codes, etc. to form a product theme model. b) Subject theme. In combination with the actual situation of the capital market, based on the latest published regulatory documents, the subject classification system is sorted out, and entities, attributes, codes, etc. are supplemented to form a subject theme model. Financial theme. In accordance with the "Enterprise Accounting Standards", combined with the actual application of the capital market in the fields of information disclosure, transactions and supervision, the financial statement system is sorted out, and entities, attributes, codes, etc. are supplemented to form a financial theme model. 7 Design Method of Transaction Part
7.1 Overview
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JR/T 0176.12019
Abstract Model The transaction part adopts the "Securities-Process-Behavior" (SPB) design method. First, the varieties to be sorted out are selected according to the variety themes of the public part. Secondly, the main business processes are sorted out according to each variety. The various transaction links in the process diagram are summarized and extracted to sort out the behavior list; each behavior is divided according to the various processes before, during and after the transaction to form a two-dimensional diagram of the behavior process of each variety. According to the behavior in the two-dimensional diagram of the behavior process, the links of the business process and the output of each link are sorted out to form a swim lane diagram of the business process: the data items involved in the output in the business process swim lane diagram are refined, and the definition and attribute information of the data items are clarified. The data items are merged and refined according to the theme to form data objects. The data objects and the relationships between them are expressed in the form of entity relationship diagrams to form a theoretical data model. Finally, the theoretical model is regressed and verified and improved through the data model of the real system. The specific sorting steps are shown in Figure 3.
Product sorting
Based on CF1 classification
Combined with domestic capital market
7.2 Behavior and process combing
Behavior and process combing
For each product flow business
, combine the main process to analyze the transaction behavior involved in the product
Split each behavior according to the process before and after the transaction,
Form a two-dimensional diagram of the behavior process
According to the transaction behavior, a business flowchart is formed, and each
behavior process is verified
Data item combing
Combine and refine data quality
Classify according to the business characteristics of the data items
Model regression verification
Figure 3 SPB combing method
Data model design
|tt||The classification of data items is aggregated according to the principle of merging similar items to form independent data entities and to construct the relationship between entities. The main business processes involved in each product are sorted out. Taking margin trading as an example, the specific behavior and process sorting steps are as follows: According to the three main processes of investors' margin buying, investors' margin selling, and securities companies providing services, the three main process diagrams are formed. The sorting result example is shown in Figure 4. 5
JR/T0176.1—2019
Investor margin purchase
Supplementary collateral
Whether the collateral is
Forced liquidation
Margin preparation
Margin entry
Maintaining positions
Whether the
Guarantee ratio
Whether the transaction is closed
Whether it is overdue
Active transaction repayment
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Investor margin selling
Supplementary collateral
Whether the collateral is||t t||Forced liquidation
Guarantee full preparation
Sell on margin
Maintain position
Is there equity
Is it satisfied
Guarantee ratio
Is the transaction closed
Is it overused
Active transaction to return securities
Figure 4 Main process example
Equity processing
Securities company provides services
Securities loan fund preparation
Signing high-capital margin trading contract
Recording margin trading
Monitoring unsettled transactions
Closing high-capital margin trading
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