数据与计算发展前沿 ›› 2020, Vol. 2 ›› Issue (5): 84-98.

doi: 10.11871/jfdc.issn.2096-742X.2020.05.009

• 专题:区块链技术与应用 • 上一篇    下一篇

基于联盟区块链的债券登记托管和交易报告探索

章庆1(),高剑1(),秦启强1(),尹可挺2,*()   

  1. 1.上海金融期货信息技术有限公司创新实验室,上海 200122
    2.浙江大学软件学院,浙江 杭州 310027
  • 收稿日期:2020-07-10 出版日期:2020-10-20 发布日期:2020-10-30
  • 通讯作者: 尹可挺
  • 作者简介:章庆,上海金融期货信息技术有限公司,硕士,工程师,中国计算机学会专业会员,创新实验室区块链方向负责人。研究方向为区块链技术应用。
    本文中负责POC系统设计和实现。
    Zhang Qing, master, is an engineer of Shanghai Financial Futures Information Technology Co., Ltd. He is a Professional Member of China Computer Federation. He is in charge of blockchain at Innovation lab. The research field is blockchain's application.
    In this paper, he is responsible for the design and realization of POC system.
    E-mail: zhangqing@cffex.com.cn|高剑,上海金融期货信息技术有限公司,硕士,总工程师,中国计算机学会专业会员。研究方向为监管科技、金融科技。
    本文中负责业务架构。
    Gao Jian, master, is the chief engineer of Shanghai Financial Futures Information Technology Co., Ltd. He is a Professional Member of China Computer Federation. His research fields are Fintech and Regtech.
    In this paper, he is responsible for the business architecture construction.
    E-mail: gaojian@cffex.com.cn|秦启强,上海金融期货信息技术有限公司,硕士,工程师中国计算机学会专业会员。研究方向为智能合约、交易系统。
    本文中负责区块链智能合约设计与实现。
    Qin Qiqiang, master, is an engineer of Shanghai Financial Futures Information Technology Co., Ltd. He is a Professional Member of China Computer Federation. His research fields are smart contracts and trading system.
    In this paper, he is responsible for the design and implementation of smart contracts.
    E-mail: qinqq@cffex.com.cn|尹可挺,浙江大学软件学院,博士,副研究员,中国计算机学会区块链专业委员会委员。研究方向为区块链技术与应用。
    本文中负责Hyperchain介绍及系统架构。
    Yin Keting, Ph.D., is an Associate Researcher of Institute of Software, Zhejiang University. He is a Professional Committee of China Computer Federation on Blockchain. His research field is blockchain and its application
    In this paper, he is responsible for the architecture design and introduction of Hyperchain.
    E-mail: yinkt@zju.edu.cn
  • 基金资助:
    国家重点研发计划(2019YFB1404903)

A Proof-of-Concept System for Bonds Registration and Trading Report Using Consortium Blockchain

Zhang Qing1(),Gao Jian1(),Qin Qiqiang1(),Yin Keting2,*()   

  1. 1. Innovation Lab, Shanghai Financial Futures Information Technology Co., Ltd., Shanghai 200122, China
    2. Institute of Software, Zhejiang University, Hangzhou, Zhejiang 310007, China
  • Received:2020-07-10 Online:2020-10-20 Published:2020-10-30
  • Contact: Yin Keting

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摘要：

【目的】 阐述我国债券市场现状,提出结合联盟区块链多中心、防篡改、自动执行以及可追溯等特点,实现债券市场登记托管和交易报告,促进场内、场外市场互联互通。 【方法】 基于债券市场现有格局,分析国内外债券交易平台,详述基于联盟区块链的多主体、跨市场和透明监管的债券市场应用,从架构设计、业务设计、联盟治理、电子合同、智能合约和交易报告等方面介绍系统设计与实现。 【结果】 基于联盟区块链平台Hyperchain实现区块链在债券市场的概念验证原型,具有前瞻意义。 【局限】 为提供债券登记托管和交易服务,下一步需要重点研究信息流和资金流同步问题。 【结论】 应用联盟区块链至债券等金融领域,可为传统金融产业升级与变革、跨界监管与合作提供创新工具和方法,并为金融监管和创新平衡问题提供新思路。

关键词: 联盟区块链, 登记托管, 交易报告, 智能合约

Abstract:

[Objective] In order to provide references for bonds registration, hosting and trading under one unified market environment, a platform is designed based on consortium blockchain with its characteristics of multi-center, anti-tampering and traceability. [Methods] After analyzing domestic and overseas bonds trading platforms, a multi-agent, cross-market and transparent supervision proof-of-concept system is proposed. The POC system consists of the architecture design, business design, alliance governance, e-contract, smart contract and trading report. [Results] The proof-of-concept system for bonds registration, trading and reporting is implemented based on Hyperchain, which has forward-looking significance. [limitations] For the commercial launch, the synchronization of bonds and funds is our next priority. [Conclusions] The proof of concept system provides a feasibility study for the traditional industry’s upgrading and reform, cross-border supervision and cooperation based on blockchain. Furthermore, it provides innovative tools and new ideas for balancing innovation and supervision in the financial sector.

Key words: consortium blockchain, registration and hosting, trading report, smart contracts