Enterprise Data Model Subject Area Definitions

 

 

ACCOUNT
Contains information that establishes a relationship between a broker/dealer firm and a client where the firm acts as agent in buying and selling securities for the client and handles related administrative matters.

ACCOUNTING AND EVALUATION
Core data in this business area is a series of accounting matrices which establish the rules to manage the bookkeeping interface between the trade/entry processing system and the general ledger accounts.

BROKER
Identifies the valid business entities that may act as the intermediary between a buyer and seller of a security. This is a sub-type of FINANCIAL INSTITUTION.

CASH
Contains information that represents any money movement in the DB trader system. It can be a cash adjustment of a sale, a cash deposit, cash withdrawal, etc.

CLEARER
Contains the data needed to identify the entity that serves as an agent to process the comparison, clearance and settlement of an executed securities trade between member firms; i.e., the buyers trade details match the sellers trade details. This is a sub-type of FINANCIAL INSTITUTION.

CORPORATE ACTION
Contains information created by a business event initiated by the issuer of a security, such as the corporate announcement of cash and stock dividends, subscription rights offerings, stock splits, spin-offs, warrants, tenders and all bond related actions.

COUNTER PARTY
Contains data to identify the opposing side of a securities trade, either the purchaser or supplier. This is a sub-type of FINANCIAL INSTITUTION.

CUSTODY BANKING LINE OF BUSINESS
The area of the Deutsche Bank enterprise which holds and administers the securities and other assets of the Customer. This is a sub-type of LINE OF BUSINESS.

CUSTOMER
Contains the data needed to identify and service a person or an organization that maintains an account with Deutsche Bank.

CUSTOMER NOTIFICATION
The data required informing the customer of actions against their account, e.g., confirmation of a trade.

FEE
Identifies the fee(s) assigned and assessed by each line of business to provide service for an account. This would include the cost for processing a trade transaction.

FINANCIAL INSTITUTION
Contains the data needed to identify and verify the role of any institution that assists in providing for the transfer of funds from the public into financial instruments such as stocks, bonds, money market instruments, bank deposits or loans. This would include depository and non-depository institutions. This is a super-type for ISSUER, BROKER, GUARANTOR, CLEARER and COUNTER PARTY.

FOREIGN EXCHANGE
Contains the information needed to support financial transactions which represent the buying or selling of currency from different countries.

FUTURES AND OPTIONS
Contains the data used to support the transactions for derivative trading. A derivative is a financial instrument whose value is based on the value of something else.

GENERAL LEDGER
The formal accounting books that contain all of the financial statements of a business entity, including all the debit and credit entries generated by a trade.

GUARANTOR
Contains information about a business firm, other than the issuer, who will guarantee payment of the principal, interest or dividends of a bond or security. This is a sub-type of FINANCIAL INSTITUTION.

INVESTMENT BANKING LINE OF BUSINESS
The area of Deutsche Bank, acting as underwriter or agent, that serves as the interface between an issuer of securities and the investor. This is a sub-type of LINE OF BUSINESS.

ISSUER
A legal entity that has the power to issue and distribute a security. Issuers include corporations, municipalities, government agencies and investment trusts. Issuers of stock (a credit instrument) are responsible for reporting to the shareholders and paying dividends; issuers of bonds (a debt instrument) are responsible for making payment of interest and principal. This is a sub-type of FINANCIAL INSTITUTION.

LINE OF BUSINESS
A division of the enterprise which operates a logical business domain or specialty in support of product development and distribution. This is a super-type for PRIVATE BANKING, INVESTMENT BANKING and CUSTODY.

MONEY MARKET
The information needed to support a full feature trading and settlement system for money market instruments. Money Market usually trades securities that have a maturity of one year or less; these securities are generally highly liquid debt securities and trade in large denominations.

ORDER
Contains information needed to initiate a request to sell or purchase a security. The order, which is submitted by a broker/agent, identifies whether to buy, sell long or sell short; specifies the security; the quantity to be transacted; the customer's account number; the order type (i.e., market, limit, spread, straddle, etc.).

POSITION
Captures the information needed to identify the number of shares an investor has in a specific security as of a transaction, settlement and intra-day basis.

PRIVATE BANKING LINE OF BUSINESS
The area of Deutsche Bank that provides asset management, lending and some traditional banking services to high net-worth customers. This is a sub-type of LINE OF BUSINESS.

REPURCHASE AGREEMENT
An agreement between a seller and a buyer, whereby the seller agrees to repurchase the security(ies) at an agreed upon price, and usually, on a stated date. The information included here would capture the terms agreed upon by the involved parties to support administrative functions required during the life of the repurchase agreement. There are fixed and open term repurchase agreements. The Repurchase agreement is often used to secure a short-term loan for the seller, who is essentially offering the securities as collateral.

SECURITIES BORROW AND LOAN
The data necessary to support the transaction and settlement for securities lending against either the firm's inventory or a client's account. In a borrow/loan trade the borrower needs to put up collateral against the loan of a security.

SECURITY
Contains the data used to uniquely identify a valid financial instrument. A financial instrument represents either an ownership (stock) relationship with a corporate entity or creditor relationship (bond) with a governmental body or rights to ownership as represented by an option or subscription right or warrant.

SETTLEMENT
The conclusion of a trade transaction, where the buyer pays for and the seller delivers a security. The Settlement BSA has information needed to match and clear security movements.

STOCK RECORD
Identifies securities held in inventory and their precise location in the Firm.

TRADE
A financial transaction that results from the buying or selling of a security. This is an executed Order and handles all information on the trade, i.e., the security, the involved parties (the buyer/seller), the price, number of shares, currency, delivery and payment instructions, etc.