WO2000077709B1 - System and method for conducting web-based financial transactions in capital markets - Google Patents

System and method for conducting web-based financial transactions in capital markets

Info

Publication number
WO2000077709B1
WO2000077709B1 PCT/US2000/016526 US0016526W WO0077709B1 WO 2000077709 B1 WO2000077709 B1 WO 2000077709B1 US 0016526 W US0016526 W US 0016526W WO 0077709 B1 WO0077709 B1 WO 0077709B1
Authority
WO
WIPO (PCT)
Prior art keywords
transaction
user
provider
exchange
type
Prior art date
Application number
PCT/US2000/016526
Other languages
French (fr)
Other versions
WO2000077709A1 (en
Inventor
Viral Vipin Tolat
Stephen Rees
Harpal S Sandhu
Original Assignee
Integral Dev Corp
Viral Vipin Tolat
Stephen Rees
Harpal S Sandhu
Priority date (The priority date is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the date listed.)
Filing date
Publication date
Application filed by Integral Dev Corp, Viral Vipin Tolat, Stephen Rees, Harpal S Sandhu filed Critical Integral Dev Corp
Priority to EP00939903A priority Critical patent/EP1266317A4/en
Priority to AU54912/00A priority patent/AU778101B2/en
Publication of WO2000077709A1 publication Critical patent/WO2000077709A1/en
Publication of WO2000077709B1 publication Critical patent/WO2000077709B1/en
Priority to HK03101964.7A priority patent/HK1049897A1/en
Priority to AU2005200733A priority patent/AU2005200733A1/en

Links

Classifications

    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR 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; CALCULATING OR 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
    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR 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
    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR 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

Abstract

A system and method (Fig. 1) is provided to engage in capital market transactions via the Internet (10). Through a system of servers (20, 90), application (3280), and interfaces (3275), financial instrument trading (160), portfolio management (170), and financial analyses (190) are seamlessly performed. Automated communications (1070) enabling connectivity with user systems (1150) are facilitated using XML-based syntax (Fig. 10) and XSL-based programming language.

Claims

AMENDED CLAIMS
[received by the International Bureau on 24 January 2001 (24.01.01); original claims 1, 19, 25, 28 and 32 amended, remaining claims unchanged (6 pages)]
I. A system for fining transactions involving the exchange of financial instruments, the system comprising:
(a) a transaction data parser that can extract transaction data describing a transaction conducted using the system, wherein the transaction data can include: (i) a type of the transaction; (ϋ) ajΛuiality ofpaitKS to tfae provider user selected by the member user from a plurality of provider users; (ϋi) a payment schedule pursuant to which a first party to the transaction will make one or more payments to a second party to the transaction; and Civ) rate information which can include information relating to an interest rate and or an exchange rate that can affect the calculation of the amount of one or more of the payments made pursuant to the payment schedule;
(b) areference data parser inat can exttact proffle oimarion a transaction; and
(c) arωrket datapaβertriat can cx^ market data including market interest rates and or currency exchange rates.
2. Tne systx∞ of claim l wheremώ^
3. The system of cla n l wherem me We of tie
Figure imgf000003_0001
4. The system of claim 1 wherein the type of the Transaction is an interest rate fixed-float swap.
5. The system of claim 1 wherein the type of the transaction is an interest rate float-float swap.
6. Thc system ofclaim l
Figure imgf000003_0002
7. The system of claim 1 mwmch e t^c ofme traiisacmon is an terestrate floor.
8. The system of claim 1 wherein the type of the transaction is a fixed deposit
9 The system of claim l where me type ofme transaction is a fixed loan.
- 98—
10. The system of claim 1 wherein the type of the transaction is a float deposit.
11. The system of claim 1 wherein the type of the transaction is a float loan.
12. The system of claim 1 wherein the type of the transaction is a foreign exchange option.
13. The system of claim 1 wherein the type of the transaction is a foreign exchange swap.
14. The system of claim 1 wherein the type of the transaction is a cross currency fixed-fixed swap.
15. The system of claim 1 wherein the type of the transaction is a cross currency fixed-float swap.
16. The system of claim 1 wherein the type of the transaction is a cross currency float-float swap.
17. The system of claim 1 wherein the type of the transaction is a forward rate agreement
18. The system of claim 1 wherein the type of the transaction is a customized trade.
19. A system for facilitating transactions involving the exchange of financial instruments, the system comprising:
(a) a member client node that can be used by a member user of the system to conduct a transaction;
(b) a provider client node that can be used by a provider user of the system to conduct the transaction with the member user, and
(c) a server node that facilitates the exchange of messages among the member client and provider client nodes, including a transaction message that includes information describing the transactions between the member user and the provider user, the server node including:
(i) an interactive trading mecrianism that enables the member user to select the provider user from a plurality of provider users and to interactively negotiate the terms of the transaction with the selected provider user, and
(ϋ) an automated messaging system that facilitates the automated exchange of the transaction message between the server node and the provider client node.
-99-
0. The system of claim 19 wherein the messages whose exchange is facilitated by the server node can include:
(a) transaction data describing the transaction, including:
(i) a type of the transaction;
(ϋ) a plurality of parties to the transaction, including the member user and the provider user, (ϋi) a payment schedule pursuant to which the member user will make one or more payments to the provider user; and (iv) rate infotmation which can include information relating to an interest rate and/or an exchange rate that can affect the calculation of the amount of one or more of the payments made pursuant to the payment schedule;
(b) reference data, including profile information about the parties to the transaction; and
(c) market data, including market interest rates and/or currency exchange rates.
21. The system of claim 19 wherein the negotiated terms include pricing of the transaction.
22. The system of claim 19 wherein the negotiated terms include acceptance of the pricing of the transaction.
23. The system of claim 19 wherein the negotiated terms include settlement of the transaction.
24. The system of claim 19 wherein both the member client node and the provider client node are physically remote from the server node.
25. An automated financial object conversion and messaging system for exchanging messages describing transactions involving the exchange of financial instruments between a provider user of the system and one or more other member users of the system, the system comprising:
(a) a server node that can convert a first set of internal objects, represerrring the terms of a transaction between the provider user and a member user of the system, into a tiansaction message employing a standard format for representing the transaction, wherein the first set of internal objects employs any format that can be utilized by a back-end system of the member user;
-100- (b) a provider node that can convert the transaction message into a second set of internal objects, wherein the second set of internal objects employs any format that can utilized by a back-end system of the provider user; and
(c) an automated message exchange mechanism that automatically can exchange messages employing the standard format, including the transaction message, between the server node and the provider node.
26. The system of claim 25 wherein the standard format is an XML format.
27. The system of claim 26 wherein the XML format can represent:
(a) transaction data describing the transaction, including:
(i) a type of me transaction;
(ϋ) a plurality of parties to the transaction, including the provider user and the member user of the system; (iii) a payment schedule pursuant to which the member user will make one or more payments to the provider user; and (iv) rate information which can include infbrrnation relating to an interest rate and/or an exchange rate that can affect the calculation of the amount of one or more of the payments made pursuant to the payment schedule;
(b) reference data, including profile information about the parties to the transaction; and
(c) market data, including market interest rates and/or currency exchange rates.
28. A method for converting a first set of internal objects, representing the terms of a transaction involving the exchange of financial instruments between a provider user of the system and a member user of the system, into a transaction message employing a standard format for representing the transaction, the method comprising the following steps:
(a) applying an XML mapping to the first set of internal objects in order to dynamically generate a Document Object Model tree; and
(b) applying an XSL stylesheet to convert the Document Object Model tree into the transaction message.
29. The method of claim 28 wherein the transaction message includes: (a) transaction data describing the transaction, including:
(i) a type of the transaction;
-101- (ϋ) a plurality of parties to the transaction, including the provider user and the member user of the system; (iii) a payment schedule pursuant to which the member user will make one or more payments to the provider user; and (iv) rate information which can include information relating to an interest rate and/or an exchange rate that can affect the calculation of the amount of one or more of the payments made pursuant to the payment schedule;
(b) reference data, including profile information about the parties to the transaction; and
(c) market data, including market interest rates and/or currency exchange rates.
30. The method of claim 28 wherein the standard format is an XML format
31. The method of claim 28 wherein the first set of internal objects includes Java objects.
32. A method for converting a transaction message employing a standard format for representing the terms of a transaction involving the exchange of financial mstrurnents between a provider user of the system and a member user of the system, into a first set of internal objects representing the transaction, the method comprising the following steps:
(a) applying an XSL stylesheet to the transaction message in order to dynamically generate JavaScript program; and
(b) executing the JavaScript program to produce the first set of internal objects.
3 . The method of claim 32 wherein the transaction message includes:
(a) transaction data describing the transaction, including:
(i) a type of the transaction;
(ii) a plurality of parties to the transaction, including the provider user and the member user of the system; (iii) a payment schedule pursuant to which the member user will make one or more payments to the provider user; and (iv) rate information which can include inforrnation relating to an interest rate and or an exchange rate that can affect the calculation of the amount of one or more of the payments made pursuant to the payment schedule;
(b) reference data, including profile inforrnation about the parties to the transaction; and (e) market data, including market interest rates and/or currency exchange rates.
34. The method of claim 32 wherein the standard format is an XML format
-102-
5. The method of claim 32 wherein the first set of internal objects includes Java objects.
-103-
PCT/US2000/016526 1999-06-14 2000-06-13 System and method for conducting web-based financial transactions in capital markets WO2000077709A1 (en)

Priority Applications (4)

Application Number Priority Date Filing Date Title
EP00939903A EP1266317A4 (en) 1999-06-14 2000-06-13 System and method for conducting web-based financial transactions in capital markets
AU54912/00A AU778101B2 (en) 1999-06-14 2000-06-13 System and method for conducting web-based financial transactions in capital markets
HK03101964.7A HK1049897A1 (en) 1999-06-14 2003-03-17 System and method for conducting web-based financial transactions in capital markets
AU2005200733A AU2005200733A1 (en) 1999-06-14 2005-02-17 System and method for conducting web-based financial transactions in capital markets

Applications Claiming Priority (4)

Application Number Priority Date Filing Date Title
US13911399P 1999-06-14 1999-06-14
US60/139,113 1999-06-14
US16287399P 1999-11-01 1999-11-01
US60/162,873 1999-11-01

Publications (2)

Publication Number Publication Date
WO2000077709A1 WO2000077709A1 (en) 2000-12-21
WO2000077709B1 true WO2000077709B1 (en) 2001-04-19

Family

ID=26836876

Family Applications (1)

Application Number Title Priority Date Filing Date
PCT/US2000/016526 WO2000077709A1 (en) 1999-06-14 2000-06-13 System and method for conducting web-based financial transactions in capital markets

Country Status (5)

Country Link
US (1) US6347307B1 (en)
EP (1) EP1266317A4 (en)
AU (2) AU778101B2 (en)
HK (1) HK1049897A1 (en)
WO (1) WO2000077709A1 (en)

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