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1、学习必备欢迎下载Foreign Exchange : Foreign exchange (FX) is the exchange of one countrys currency for another countrys currencyRanking 1. Quote Pair (Base/Counter): USD / HKD 2. Rate (Bid / Ask): 7.7753 / 7.7780 3. Spread point: 27 basis point (Ask Price 7.7780 Bid Price7.7753)差价4. Quote convention: 53/80 (
2、the last two digits of decimal point) rate 约定5. Direct quote: Bank buy 1 US Dollar and sell 7.7753 HK Dollar to customer 6. Indirect quote: Bank buy 1 Australia Dollar and sell US Dollar to customer To determine which is Base and which is Counter in a Quote Pair, there is a currency ranking. Based o
3、n this currency ranking, the currency which is higher than another one in the ranking is the Base, and another currency is the Counter.( 排名高的是base 低的是 counter) Limit Order: An order placed with conditions to buy/sell currencies, such a s price range and duration of order validity包括限价买单 ( Buy Limit O
4、rder ) 以及限价卖单 ( Sell Limit Order ) 二种形式（价格范围、订单有效期持续）Market Order : An order without conditions and marked to the market price Benchmark Order: Order is executed with standard price published by benchmarking company, e.g. WMCompany 基准订单Spot Exchange : The exchange of two currencies for immediate del
5、ivery , normally with T+2. Cross rate calculation: Bid Ask USD / NZD 1.5650 1.5642 USD / JPY 123.23 123.78 NZD / JPY = 123.23/1.5642 = 78.78 (Bid) NZD / JPY = 123.78/1.5650 = 79.10 (Ask) NZD / JPY 78.78/79.10 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 1 页，共 24 页学习必备欢迎下载Forward Exchange: Currency
6、 forward contracts, also known as outright forward”, is the contract that holders are obligated to buy or sell the currency at a specified price, at a specified quantity, and on a specified future date, also known as outright forward”NDF: Non-Deliverable Forwards: An NDF is a short-term committed fo
7、rward cash settlement currency derivative instrument. It is essentially an outright (forward) FX contract whereby on the contracted settlement date, profit or loss is adjusted between the two counterparties basing on the difference between the contracted NDF rate and the prevailing spot FX rates on
8、an agreed notional amount.无本金交割远期Difference between NDF and Forward: ?All NDFs have a fixing date and a settlement date . The fixing date is the date at which the difference between the prevailing market exchange rate and the agreed upon exchange rate is calculated. The settlement date is the date b
9、y which the payment of the difference is due to the party receiving payment. ?NDFs are commonly quoted for time periods of one month up to one year, and are normally quoted and settled in U.S. dollars. They have become a popular instrument for corporations seeking to hedge exposure to foreign curren
10、cies that are not internationally traded. 该项交易与远期外汇交易大致相同。这是一种场外交易的金融衍生工具。主要是由银行充当中介机构，由于交易双方基于对汇率的不同看法，签订非交割远期交易合约，确定远期汇率、期限和金额，合约到期只需看远期汇率与实际汇率的差额进行交割清算，与本金金额、实际收支毫无关系。结算的货币是自由兑换的货币，如美元。无本金交割远期外汇交易一般用于实行外汇管制国家的货币。NDF为面对汇率风险的企业和投资者提供了一个对冲及投资的渠道。无本金交割远期外汇交易与远期外汇交易的差别在于，不用备有本金的收付，只要就到期日的市场汇率价格与合约协定价格
11、的差价进行交割清算，本金实际上只是用于汇差的计算，无需实际收支，对未来现金流量不会造成影响。而远期外汇交易到期后需现汇交割。FX SWAP: Two foreign exchange transactions involving a spot purchase of currency pair and a forward sell of the same currency pair 两个涉及一双现货购买货币的外汇交易和远期卖相同的货币SWAP can also involve two forward transactions Currency Future: Future contract i
12、s a standardized agreement with an organized exchange to buy or sell a currency pair at a fixed price at a certain date in the future Comparison of Forward & Future Contracts: 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 2 页，共 24 页学习必备欢迎下载期货是现在进行买卖，但是在将来进行交收或交割的标的物，这个标的物可以是某种商品例如黄金、原油、农产品，也可以是金融工具
13、，还可以是金融指标。交收期货的日子可以是一星期之后，一个月之后，三个月之后，甚至一年之后。买卖期货的合同或者协议叫做期货合约。买卖期货的场所叫做期货市场。期权又称为选择权，是在期货的基础上产生的一种衍生性金融工具。从其本质上讲，期权实质上是在金融领域中将权利和义务分开进行定价，使得权利的受让人在规定时间内对于是否进行交易，行使其权利，而义务方必须履行。在期权的交易时，购买期权的一方称作买方，而出售期权的一方则叫做卖方；买方即是权利的受让人，而卖方则是必须履行买方行使权利的义务人。Currency Options:期权A contract for future delivery of a spe
14、cific currency in exchange for another, in which the holder of the option has the right to buy (or sell) the currency at an agreed price, the strike price, or exercise price, but is not required to do so. 期货的权利的交易合同,买方可以行使也可以不行使权利FX Traded: ?Currency is traded in OTC (over-the-counter) market meanin
15、g there is no specific location where the transaction takes place 场外交易?In the wholesale FX market (for corporate and institutional clients), trades are conducted by linked trading systems and telephone (i.e. there is no physical location like a stock exchange)外汇批发市场 (企业和机构客户)，使用电话和交易系统进行的交易，即没有具体位置如
16、证券交易所精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 3 页，共 24 页学习必备欢迎下载?For trading between banks (interbank market), it is usually conducted via EBS or Reuters systems银行间交易 (银行间市场 ),通常是通过EBS 或路由系统?For clients (e.g. fund mangers) to bank, trading can be conducted over electronic systems like FX Conne
17、ct 客户 (如基金经理 )与银行 ,交易可以通过电子系统进行Stock Also known as shares or equity : A type of security that signifies ownership in a corporation and represents a claim on part of the corporations assets and earnings. 一种有公司所有权在公司和得到公司的部分资产和收入的证券1.A holder of stock (a shareholder) has a claim to a part of the corpo
18、rations assets and earnings. In other words, a shareholder is an owner of a company. 所有者2.Ownership is determined by the number of shares a person owns relative to the number of outstanding shares.所有权是由拥有股票的数量(相对于已发行股票的数量)决定的。Types: common stock: preferred stock: 1) Prior Preferred (Rank highest in
19、terms of dividend distribution); 2) Preference Preferred (rank behind “prior” but over all other stocks); 3)Convertible Preferred (able to convert to common stocks); 4)Participative Preferred (receives extra dividend with special achievement of the company);5)Cumulative Preferred (dividends missed c
20、an be accumulated) Common Stock vs Preferred Stock There are two main types of stock: common and preferred. Common stock usually entitles the owner to vote at shareholders meetings and to receive dividends. Preferred stock generally does not have voting rights, but has a higher claim on assets and e
21、arnings than the common shares. For example, owners of preferred stock receive dividends before common shareholders and have priority in the event that a company goes bankrupt and is liquidated. Prior Preferred (Rank highest in terms of dividend distribution) Preference Preferred (rank behind “prior
22、” but over all other stocks)Convertible Preferred (able to convert to common stocks) 可转股票Participative Preferred (receives extra dividend with special achievement of the company) Cumulative Preferred (dividends missed can be accumulated) 1.Definition ownership 定义 -所有权股票是股份证书的简称，是股份公司为筹集资金而发行给股东作为持股凭
23、证并借以取得股息和红利的一种有价精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 4 页，共 24 页学习必备欢迎下载证券。每股股票都代表股东对企业拥有一个基本单位的所有权。2.Types common, preferred, convertible stocks, etc. -普通股：普通股是指在公司的经营管理和盈利及财产的分配上享有普通权利的股份，代表满足所有债权偿付要求及优先股东的收益权与求偿权要求后对企业盈利和剩余财产的索取权。普通股构成公司资本的基础，是股票的一种基本形式。-优先股：优先股相对于普通股。优先股在利润分红及剩余财产分配的权利方
24、面优先于普通股。（1）优先分配权。（ 2）优先求偿权-可换优先股：指持有该种股票股东的权益要受一定的限制。优先股股票的发行一般是股份公司出于某种特定的目的和需要，且在票面上要注明“优先股”字样。优先股股东的特别权利就是可优先于普通股股东以固定的股息分取公司收益并在公司破产清算时优先分取剩余资产，但一般不能参与公司的经营活动，其具体的优先条件必须由公司章程加以明确。可转换优先股股票是指股票持有人可以在特定条件下按公司条款把优先股股票转换成普通股股票或公司债券的股票，而不可转换优先股股票是指不具有转换为其他金融工具功能的优先股股票。Convertible Stock: 可转换债券?Securiti
25、es, usually bonds or preferred shares, that can be converted into common stock. ?Convertibles are ideal for investors demanding greater potential for appreciation than bonds give and higher income than common stocks offer. Warrants:认股权证?A derivative security that gives the holder the right to purcha
26、se securities (usually equity) from the issuer at a specific price within a certain time frame. Warrants are often included in a new debt issue as a sweetener to entice investors. ?The main difference between warrants and call options is that warrants are issued and guaranteed by the company, wherea
27、s options are exchange instruments and are not issued by the company. Also, the lifetime of a warrant is often measured in years, while the lifetime of a typical option is measured in months. Stock Tables/Quotes 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 5 页，共 24 页学习必备欢迎下载?Columns 1 & 2: 52-Week
28、 High and Low. These are the highest and lowest prices at which a stock has traded over the past 52 weeks (1 year). This typically does not include the previous days trading. ?Column 3: Company Name and Type of Stock. This column lists the name of the company. If there are no special symbols or lett
29、ers following the name, it is common stock. Different symbols imply different classes of shares. For example, pf means the shares are preferred stock. ?Column 4: Ticker Symbol. This is the unique alphabetic name which identifies the stock. If you watch financial TV, the ticker tape will quote the la
30、test prices alongside this symbol. If you are looking for stock quotes online, you always search for a company by the ticker symbol. If you dont know a particular companys ticker symbol, you can search for it at Yahoo Finance . ?Column 5: Dividend Per Share. This indicates the annual dividend paymen
31、t per share. If this space is blank, the company does not currently pay out dividends. ?Column 6: Dividend Yield. The percentage return on the dividend, dividend yield is calculated as annual dividends per share divided by price per share. ?Column 7: Price/Earnings Ratio (P/E ratio). This is calcula
32、ted by dividing the current stock price by earnings per share from the last four quarters. ?Column 8: Trading Volume. This figure shows the total number of shares traded for the day, listed in hundreds. To get the actual number traded, add two zeros to the end of the number listed. ?Column 9 & 10: D
33、ay High and Low. This indicates the price range in which the stock has traded throughout the day. In other words, these are the maximum and the minimum prices that people have paid for the stock. ?Column 11: Close. The close is the last trading price recorded when the market closed on the day. If th
34、e closing price is more than 5% above or below the previous days close, 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 6 页，共 24 页学习必备欢迎下载the entire listing for that stock is bold-faced. Keep in mind, you are not guaranteed to get this price if you buy the stock the next day because the price is cons
35、tantly changing, even after the exchange is closed for the day. The close is merely an indicator of past performance and, except in extreme circumstances, it serves as a ballpark of what you should expect to pay. ?Column 12: Net Change. This is the dollar value change in the stock price from the pre
36、vious days closing price. When you hear about a stock being up for the day, it means the net change was positive. Roles in Stock Exchange: Brokers: Commission broker: deal with the public at large, gathering orders off the NYSE floor to offer the best buying and selling price Specialist: a dealer (i
37、.e., trades from his own inventory of securities) and is obligated, on 75% of transactions for his own account, to trade counter to the market trend. The specialist holds a monopoly in making a market in the securities assigned to him Floor broker: only work for other members, taking transactions wh
38、ich the other members are incapable of handling at the moment. They primarily provide excess capacity for overloaded brokers when order volume is high Primary Market: Initial public offer (IPO) 首次公开发行Secondary market: Stock exchange (NYSE, AMEX) Electronic Communication Networks (ECN): alternate tra
39、ding systems that connect buyers and sellers directly to trade Nasdaq stocks Over the Counter (OTC): Over the Counter Bulletin Board (OTCBB) Pink Sheets OMS-Order Management system ?The OMS has traditionally connected the buy-side portfolio manager with the buy-side trader, collecting orders and ins
40、tructions from the various portfolio managers, aggregating them into blocks, managing executions, collecting fills (execution information from brokers or the market directly) and performing allocations. 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 7 页，共 24 页学习必备欢迎下载?Over the past few years OMS ven
41、dors have not only enabled their OMS systems to connect to brokers but also have expanded their level of connectivity to trading venues, crossing networks, algorithmic trading technologies, and aggregation providers. ?While vendor-supplied platforms are dominant, many buy-side firms still use propri
42、etary OMS platforms.ATS-Alternative Trading System ?Propriety trading systems( principal trading) ?Broker-dealer trading systems ?ECNs- order matching systems that generally match limit orders. ?SEC: ATS is permitted to register as an exchange or as a broker-dealer. Only one ATS has elected to becom
43、e a registered Exchange-Archipelago. TCA-Transaction Cost Analysis ?Transaction cost analysis tools analyze a firms executions and compares them to other executions during that period or day ?TCA should be a scorecard that helps traders, portfolio mangers, and the firm to better understand how well
44、they traded and their strategies for performance improvement. ?The technology is still too immature to give an accurate estimate of trade cost. Order Types ?Limit Risks ?Speed of Execution ?Price Improvement ?Market Timing CUSIP: An identifier which is used for most US and Canadian securities. The n
45、ine character alphanumeric code that makes up the assigned CUSIP number reflects three different aspects of security. (Issuers alphabetic sequence, rate, maturity date or class, check digit) CINS Serves the same purpose as a CUSIP number but iden 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 8 页，共
46、24 页学习必备欢迎下载SEDOL Identify securities trading on the International Stock Exchange in London ISIN One universal security system worldwide. Fixed Income Key Terminologies 固定受益的要点术语?Par Valuealso know as “face value” which is the value return to the investor when the bond matures 票面价值也称为 “ 面值 ”,债券到期时投资
47、者收到的价值?Discount / Premium Bond prices that are traded below or above the par value 折扣溢价?Coupon Interest Rate Interest rate that the bond issuer promises to pay to the bondholder 票面利率债券发行人承诺付给债券持有者的利率?Maturity Due date of the bond for repayment偿还债券的到期日期?Call Provision Issuers right to repay the loan
48、earlier提前赎回?Spread Price difference between bid and ask rates 差价?Basis Point One hundredth of a percentage point ?Duration A measure of the approximate sensitivity of a bonds value to rate changes持续时间 近似的测量债券价值的变化灵敏度?Convexity An adjustment to duration on bond value sensitivity to large interest rat
49、e changes 债券凸性Government Securities: 国债?Government securities - The short- and long-term bonds the government sells to finance its expenditures.政府证券 , 政府出售短期和长期债券来融资支出。?Public sector generally faces a funds deficit. Bonds provide long-term finance, but these tend to be supplemented by regular issues
50、 of short-term securities, either rolled-over regularly to finance part of the public debt or to cover temporary shortfalls in fiscal revenue.公共部门普遍面临着资金赤字 。债券提供长期融资,但这些往往是辅以常规短期证券,可以定期提供部分公共债务，也可以弥补临时财政收入的不足。Corporate Securities: 企业证券精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 9 页，共 24 页学习必备欢迎下载
51、?Corporate debt market has been used to raise capital several times more than the equity market. 集资几倍于股票市场?A typical corporate issue is of the order of $100 million to $200 million, whereas a typical Treasury auction is of the order of $10 billion to $12 billion.1/100国库?Most cost corporate issues te
52、nd to have call features or sinking fund features.早赎回特性 / 偿债基金亦称减债基金 ,是指国家或 发行公司 为偿还未到期公债 或公司债 而设置的 专项基金?The corporate debt issues fall into three groups: 1. Short maturities under a year are the money markets sector. The key corporate debt here is the commercial paper.1 年内2. In the one- to five-yea
53、r sector are the medium-term notes. Floaters also fall in this group. 1-5 年证券发行人3.Finally, longer maturities come under the corporate bonds classification. 企业债券类型?High-Yield Debt.高收益债款Municipal Securities:市政证券 :?Municipal securities are issued by state and local governments. ?Most municipal bonds ou
54、tstanding are tax-exempt. ?Types and Features of Municipal Securities General Obligation Bonds is secured by the issuers unlimited taxing powerRevenue Bonds is secured by the revenue of issuers, such as Airport Revenue Bonds, University Revenue Bonds, Hospital Revenue Bonds, Public Power Revenue Bon
55、ds. Asset-Backed Securities:资产支持证券?Asset-backed securities (ABS) are bonds or notes collateralized by the cash flows from a specified pool of underlying assets. ?The financial institutions that originate the loans sell a pool of cash-flow-producing assets to a specially created third party that is c
56、alled a special-purpose vehicle (SPV). The SPV sells the pools loans to a trust, which issues interest-bearing securities that can achieve a credit rating separate from the financial institution that originates the loan. Mortgage Backed Securities抵押贷款证券 : 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - -
57、-第 10 页，共 24 页学习必备欢迎下载?A MBS is an instrument whose cash flow depends on the cash flows of an underlying pool of mortgages such as the purchase of homes or other real estate. MBS 是一种工具 ,其现金流取决于潜在的现金流池等抵押贷款购买房屋或其他不动产。?Three types of MBS: Mortgage pass-through securities 抵押传递证券Collateralized mortgage
58、obligations 抵押担保证券Stripped mortgage-backed securities本息分离抵押证券?Key Associations重要组织Government National Mortgage Association (GNMA) backed by the National Housing Act 1970 Federal National Mortgage Association (FNMA) Federal Home Loan Mortgage Corporation (FHLMC) Bond market: ?The bond market is as th
59、e market for fixed income security that have maturities of more than one year.债券市场是固定收益证券期限超过一年的市场。Corporate Bond Rating: Risk of Corporate Bonds: 企业债券?Credit Risk信用Default Risk 违约风险Downgrade Risk 降级风险?Liquidity Risk 流通风险指与缺乏流动性之市场的相关交易的风险?Economic Risk 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第
60、 11 页，共 24 页学习必备欢迎下载?Interest Rate Risk利率Bond Table: Column 1:Issuer. This is the company, state, province or country that is issuing the bond. 发行人Column 2:Coupon. The coupon refers to the fixed interest rate that the issuer pays to the lender. The coupon rate varies by bond. Column 3:Maturity Date.
61、 This is the date when the borrower will pay the principal 本金back to the lenders (investors). Typically, only the last two digits of the year are quoted, so 25 means 2025, 04 is 2004, etc. 到期日Column 4:Bid Price. This is the price that someone is willing to pay for the bond. It is quoted in relation
62、to 100, regardless of the par value. Think of the bond price as a percentage, a bond with a bid of $93 means it is trading at 93% of its par value. 交易面值的百分比Column 5: Yield. The yield indicates the annual return until the bond matures. Yield is calculated by the amount of interest paid on a bond divi
63、ded by the price - it is a measure of the income generated by a bond. If the bond is callable it will have a c followed by the year in which the bond can be called. For example, c10 means the bond can be called as early as 2010. Mutual Fund 共有基金How to make money as an investor? ?1) Income is earned
64、from dividends on stocks and interest on bonds . A fund pays out nearly all of the income it receives over the year to fund owners in the form of a distribution. 收入从股票红利和债券利息获得。以几乎一年所有的收入的形式都返还给基金所有者。精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 12 页，共 24 页学习必备欢迎下载?2) If the fund sells securities t
65、hat have increased in price, the fund has a capital gain. Most funds also pass on these gains to investors in a distribution. 如果基金出售证券的价格增加了 ,该基金的资本增值。大多数基金也将这些受益给投资者。?3) If fund holdings increase in price but are not sold by the fund manager, the funds shares increase in price. You can then sell yo
66、ur mutual fund shares for a profit.如果基金资产价格上升的但基金经理不销售,该基金的股票涨价。你可以卖掉你的共同基金股票赚钱。Key Terms of Mutual Funds;?Net Asset Value: the total market value of the portfolio at a specific time 净资产值在特定时间内证券投资组合的总市场价值?Fees:No-load fund: directly purchase from fund house without paying the brokerage fee Front-en
67、d loads: pay a free when buying the shares Back-end loads: pay a free when selling the shares Level loads: combination of front and back-end loads Management fee: usually charged annually varying in accordance with how active the investment effort is ?Benchmark: comparison of return on investment (R
68、OI) with similar investment portfolio 基准线 比较类似证券组合的投资回报率（ROI）?Turnover ratio: the percentage of a funds assets that have changed over the course of a given time period 周转率在一个给定的时间段，基金资产的变化的百分比。?Prospectus: specify the key information of the fund during IPO招股书指定了首次公开募股基金的信息Types of Mutual Fund: 种类Bas
69、ed on whether its closed?Closed End, Open End Based on Asset Classes: 资产类型?Equity, Money Market, Real Estate Investment Trust (REIT)不动产投资信托公司Based on Investment Strategy:投资策略?Growth, Income, Index, Hedge 套期保值Based on Nature 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 13 页，共 24 页学习必备欢迎下载?Pension,
70、Education Roles in fund investment: 基金投资中的角色?Fund manager 基金经理?Client 客户?Broker 经纪人?Custodian 监管人，保管人Process Models过程模式 : 1.Waterfall Model 瀑布模型系统很早被确定，但往往客户不清楚所有的需求/ 分析和交付时间隔开很久需求改变 / Customers usually cant state all requirements explicitly. A working version will not be available until late in the
71、 project time-span. 2.Incremental Process Model增量过程模型_RAD Model快速应用发展模式 The Rapid Application Development (RAD) Model The Incremental Model - If a system cannot be properly modularized, RAD may not work. 不能被模块化-Human resource 需要足够的人力-High technology risk 高技术分析不能承担 -Require commitment to the rapid-fi
72、re activities from both developers and customers. 需要对开发人员与客户承诺快速活动-If tuning interfaces is needed, RAD may not work. 不能调用接口3.Evolutionary Process Models 进化过程模式_Prototyping原型法 Good first step when customer has a legitimate need, but is clueless about the details The prototype must be thrown away精选学习资
73、料 - - - - - - - - - 名师归纳总结 - - - - - - -第 14 页，共 24 页学习必备欢迎下载原型循环着开发系统原型，非常快的给用户提供一个交互的系统，细致和系统化的分析是一个挑战。 粗糙 需要抛弃原型_Spiral Model螺旋模型Concurrent Development Model开发模型Flexibility Extensibility可扩展性Speed of development 定义了一系列事件,对每个活动、行动或任务都可以进行状态间的触发转换。尤其适合客户机/服务器应用程序。定义了一个网络的活动,而不是线性的事件序列。其他专业模型_Compone
74、nt based development the process to apply when reuse is a development objective基于组件的开发过程应用重用是发展目标时, _Formal methods emphasizes the mathematical specification of requirements 公式方法 ,强调了数学的规范要求_Aspect-Oriented Software Development provides a process and methodological approach for defining, specifying,
75、 designing, and constructing aspects 面向方向的软件开发,提供了一种过程和方法的方法定义、指定、设计和构建方法Understand the features特点 and disadvantages缺点 of each model 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 15 页，共 24 页学习必备欢迎下载Requirement Engineering 需求工程Phases阶段 inception 起初, elicitation 引出 /诱导, elaboration 细化/ 加工, negotiatio
76、n 谈判/协商, specification 规范 , validation and management 验证和管理Inceptionask a set of questions that establish _basic understanding of the problem _the people who want a solution _the nature of the solution that is desired, and the effectiveness of preliminary communication and collaboration between the
77、customer and the developer 方案的性质 ,初步沟通的效率和客户开发人员之间的合作Elicitation引导elicit requirements from all stakeholders 利益人之间的需求Elaboration细化 create an analysis model that identifies data, function and behavioral requirements 数据、功能、行为需求Negotiation 协调 agree on a deliverable system that is realistic for developer
78、s and customers Specification规范can be any one (or more) of the following A written document A set of models A formal mathematical A collection of user scenarios (use-cases) A prototype Validation 验证 a review mechanism that looks for errors in content or interpretation areas where clarification may b
79、e required missing information inconsistencies (a major problem when large products or systems are engineered) conflicting or unrealistic (unachievable) requirements. Requirements management Analysis models and their elements 分析模型及其元素Data Modeling 数据建模ERD Relationship关系 entity notation （标记 一对多一对一多对多
80、）精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 16 页，共 24 页学习必备欢迎下载Scenario-Based Modeling Flow-Oriented Modeling data flow diagram DFD 数据流图Class-Based Modeling Classname attributes operation 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 17 页，共 24 页学习必备欢迎下载- understand related concepts and their el
81、ements - distinguish different modeling approaches 方法- Apply the UML diagrams for requirement analysis 需求分析应用UML 图统一建模语言 class diagram 类图建立领域模型 sequence diagram 顺序图描述系统与外界的交互Enterprise Integration Architecture企业集成体系结构Messaging Design 消息传送设计- Store and forward 存储和转送-Message broker 信息代理-Guaranteed del
82、ivery 确认传递-Message sequence信息序列-Symbolic routing -Request-response -Event messages -Message transformation -Ad hoc destinations -Exception resolution 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 18 页，共 24 页学习必备欢迎下载-Standards -File transfers -Security ESB (Enterprise Service Bus)企业服务总线An ESB is sof
83、tware infrastructure that simplifies the integration and flexible reuse of business components using a service-oriented architectureESB 是软件基础设施 ,简化集成和灵活的重用业务组件的,用来面向服务的体系结构ESB 的出现改变了传统的软件架构，可以提供比传统中间件产品更为廉价的解决方案，同时它还可以消除不同应用之间的技术差异，让不同的应用服务器协调运作，实现了不同服务之间的通信与整合。从功能上看，ESB 提供了事件驱动和文档导向的处理模式，以及分布式的运行管理
84、机制，它支持基于内容的路由和过滤，具备了复杂数据的传输能力，并可以提供一系列的标准接口。）An enterprise service bus (ESB) enables a business to make use of a comprehensive, flexible and consistent approach to integration while also reducing the complexity of the applications being integrated. Due to the complex and varying nature of business n
85、eeds, ESB is an evolutional progression that unifies message oriented, event driven and service oriented approaches for integrating applications and service. Implementing an ESB facilitates greater reuse of IT assets by separating application logics and integration tasks, so you can reduce the numbe
86、r, size, and complexity of integration interfaces. In doing so, you can add or change services with minimal interruption to existing IT environment; reduce cost and risk involved as business changes and new opportunities arise. 企业服务总线 (enterprise service bus,ESB)使业务使用一个全面,灵活的和一致的集成方法,同时减少应用程序集成的复杂性。
87、由于复杂,性质不同的业务需求,ESB 是一个进化的进程 ,结合面向消息的,事件驱动的集成应用程序和服务和面向服务的方法。实现ESB 有助于更好的重用IT 资产通过将应用程序逻辑和集成任务,这样你就可以减少集成接口的复杂性。这样做,您可以添加或更改服务以最少的中断现有的IT 环境 ,降低成本和风险,业务变化和新的机遇出现。GUI Design界面设计Golden Rules黄金规则界面设计的八条黄金原则1、尽可能 保证一致。类似的操作环境应提供一致的操作序列；相同的术语应该用在提示、菜单和帮助里；颜色、布局、大小写、字体等应当自始至终保持一致。2、符合 普遍可用性available 认识到不同用
88、户的需求，并为可塑性（plasticity ）而设计，可以促进内容的转换。新手和专家的差别、年龄范围、残疾情况以及技术多样性都可以丰富设计需求的内容，从而指导设计。3、提供信息 丰富的反馈response 对每个用户操作都应有对应的系统反馈信息。对于常用的或较次要的操作，反馈信息可以很简短；而对于不常用但很重要的操作，反馈信息就应丰富一些。4、设计说明 对话框以生成结束信息pop-up window 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 19 页，共 24 页学习必备欢迎下载应当把操作序列分成几组，包括开始、中间和结束三个阶段。一组操作结
89、束后应有反馈信息，这可以使操作者产生完成任务的满足感和轻松感。5、预防错误应当尽可能地设计不让用户犯严重错误的系统。6、允许轻松的 反向操作操作应尽可能地允许反向。这个特点可以减轻用户的焦虑，由于用户知道错误可以被撤销，这就会鼓励用户尝试不熟悉的选项。7、支持内部控制点有经验的操作者非常希望能控制界面，并希望界面对他们的操作进行反馈。8、减少短时记忆GUI Design principles 界面设计原则设计的一致性-外观和感觉 -颜色 - 导航用户友好性错误检查-弹出消息框-联机帮助-工具提示-状态信息栏国际化个性化Error recovery principles 错误恢复原则 Error
90、 Recovery Strategies (Zetie, 1995) Principle of Forgiveness Make it easy to reverse unwanted actions Do not force users to commit db changes until absolutely necessary. E.g. use temporary cache to store changes first Principle of Confirmation Make it hard to do irreversible damage Pop up confirmatio
91、n Principle of Failsafe （失效保护原则）Make the default or easiest action harmless Dont make “exit” or delete” default keys使得默认行为是无害的，别设置“退出”、“删除 ”为默认键精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 20 页，共 24 页学习必备欢迎下载Enterprise System Design 企业系统设计Design rules for: Scalability可扩展性 -Understand your environm
92、ent -Categorize the workload patterns 分类工作负载模式- Determine the most affected components 确立最容易受影响的组件- Select the right scaling techniques 使用正确的扩展技术- Re-Evaluating再评估Load Balancer负载平衡器-Load Balancer on a dedicated server专用服务器上的负载均衡器- Collocated servers配置服务器-High availability 高可用性-Mutual high availabili
93、ty 共同的高可用性 High Availability （HA）-Two types -Process HA -Data HA High availability can be achieved by combinations of Scalability, Load Balancing, Automatic Fail Over designs and Business Continuity 高可用性可以通过可扩展的、负载平衡、自动故障转移的设计和业务的连续性实现IP & Non-IP Based Clustering聚集Financial Protocols 金融协议EDI Electro
94、nic Data Interchange 电子数据交换Developed and maintained by the Accredited Standards Committee (ASC) X12 Electronic Data Interchange (EDI) is the computer-to-computer exchange of business data in standard formats. In EDI, information is organized according to a specified format set by both parties, allow
95、ing a hands-off computer transaction that requires no human intervention or rekeying on either end. All information contained in an EDI transaction set is, for the most part, the same as on a conventionally printed document. 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 21 页，共 24 页学习必备欢迎下载开发和维护的认证标
96、准委员会(ASC)X12电子数据交换 (EDI) 是计算机到 计算机的业务数据交换的标准格式。在 EDI, 信息组织根据由双方指定的格式设置,允许 “ 不干涉 ” 电脑交易 ,不需要人工干预或无线电发射密匙在两端。所有信息包含在一个EDI 事务集 ,在大多数情况下,印刷文档一样。保险机构写运费和支付赔偿保险在装运物品损坏。下列文件交换与保险机构在业务事务。客户建立一个保险政策。客户通知保险公司货物的运输。保险公司流程要求货物在运输途中受损。保险公司索赔。EDI 原则-贸易伙伴必须首先建立-必须使用标准的消息格式, -采用增值网络 (VAN) 传输 EDI 消息 , -翻译与内部消息双向转换的系
97、统SWIFT环球银行金融电信协会Society for Worldwide Inter-bank Financial Telecommunication 标准化信息服务和接口软件在200 多个国家的7800 家金融机构。斯威夫特的全球社区包括银行、经纪商/交易商和投资经理 ,以及他们的市场基础设施在支付、证券、财政和贸易。FIX Financial Information eXchange 金融信息交易协议是电子通信贸易相关的联合银行,经纪自营商 ,交流 ,行业公用事业和协会,机构投资者 ,和来自世界各地的信息技术提供商提供的技术说明书是免费和开源的The Financial Informat
98、ion eXchange (FIX) Protocol is a technical specification for electronic communication of trade-related messages co-developed with banks, broker-dealers, exchanges, industry utilities and associations, institutional investors, and information technology providers from around the world FIX is free and
99、 open source STP直通处理过程(straight through processing system - STP) ， Straight through processing is an internal online pass-through process with automatic external connections to other internal online pass-through belonging to counterparties. Internal STP, for instance, a seamless front-desk/back-offi
100、ce connection assisted by intranets External STP, which interconnects business partners and may be served through proprietary networks, or extranets 直通处理是一个内部网络直通过程，通过自动外部连接联通到交易方内部网络。内部 STP, 例如 ,一个无缝的协助下前台 /后台连接内部网外部STP, 互联业务合作伙伴,可能是通过私有网络,或外联网CLS公共语言规范（Common Language Specification）精选学习资料 - - - -
101、- - - - - 名师归纳总结 - - - - - - -第 22 页，共 24 页学习必备欢迎下载公共语言运行库支持的语言功能的子集，包括几种面向对象 的编程语言 的通用功能。符合 CLS 的组件和工具能够保证与其他符合 CLS 的组件和工具交互操作。Software Maintenance软件维护与更新Change request更改请求不同的软件变更策略Software maintenance 软件维护修改软件以 应对变化的需求但是软件的基本结构保持稳定。这是最常见的方法用于系统的变化。Architectural transformation 体系结构转换这是一个更为激进的软件更改然后
102、维护方法,它涉及重大变化的架构体系。Software re-engineering.软件再工程这是不同于其他策略,没有新功能添加到系统中。系统再造可能涉及一些结构性的修改但不通常涉及主要架构变化Maintenance types维护类型1.Maintenance to repair software faults 修正软件错误Changing a system to correct deficiencies in the way meets its requirements 2.Maintenance to adapt software to a different operating env
103、ironment改变软件适应新的操作环境Changing a system so that it operates in a different environment (computer, OS, etc.) from its initial implementation 3.Maintenance to add to or modify the systems functionality增加修改功能 65% Modifying the system to satisfy new requirements 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - -
104、 -第 23 页，共 24 页学习必备欢迎下载Reengineering process再造工程过程Re-structuring or re-writing part or all of a legacy system without changing its functionality Applicable where some but not all sub-systems of a larger system require frequent maintenance Re-engineering involves adding effort to make them easier to maintain. The system may be re-structured and re-documented 精选学习资料 - - - - - - - - - 名师归纳总结 - - - - - - -第 24 页，共 24 页
