2523 lines
67 KiB
Markdown
2523 lines
67 KiB
Markdown
# BackMan 用户常问问题 SQL 查询文档
|
||
|
||
**版本**: v3.0
|
||
**日期**: 2026-04-07
|
||
**状态**: 已完成
|
||
**固定日期**: 2026-04-02（测试环境数据日期）
|
||
|
||
---
|
||
|
||
## 目录
|
||
|
||
- [Q1. 按对手方的未结算交易](#q1-按对手方的未结算交易)
|
||
- [Q2. 今日客户账户间股票转移](#q2-今日客户账户间股票转移)
|
||
- [Q3. 今日结算汇率](#q3-今日结算汇率)
|
||
- [Q4. 未履行交收义务的经纪商](#q4-未履行交收义务的经纪商)
|
||
- [Q5. 今日追缴保证金通知](#q5-今日追缴保证金通知)
|
||
- [Q6. 所有货币客户现金总余额](#q6-所有货币客户现金总余额)
|
||
- [Q7. 现金余额为负的账户](#q7-现金余额为负的账户)
|
||
- [Q8. 明日生效公司行动的证券](#q8-明日生效公司行动的证券)
|
||
- [Q9. 今日预计收到的股息](#q9-今日预计收到的股息)
|
||
- [Q10. 进行中IPO待缴申购金额](#q10-进行中ipo待缴申购金额)
|
||
- [Q11. 未缴纳IPO申购款的客户](#q11-未缴纳ipo申购款的客户)
|
||
- [Q12. 本月结算失败罚金](#q12-本月结算失败罚金)
|
||
- [Q13. 今日到期的股票借贷交易](#q13-今日到期的股票借贷交易)
|
||
- [Q14. 已申请但未处理的客户提款](#q14-已申请但未处理的客户提款)
|
||
- [Q15. 本月应付介绍经纪人佣金返佣](#q15-本月应付介绍经纪人佣金返佣)
|
||
- [Q16. T+2交易缺少结算指令的账户](#q16-t2交易缺少结算指令的账户)
|
||
- [Q17. 超过信用额度的客户](#q17-超过信用额度的客户)
|
||
- [Q18. 今日未清算支票](#q18-今日未清算支票)
|
||
- [Q19. 今日保证金比例变动的证券](#q19-今日保证金比例变动的证券)
|
||
- [Q20. 今日截止的公司行动选择](#q20-今日截止的公司行动选择)
|
||
- [Q21. 截至昨日客户借方余额应计利息](#q21-截至昨日客户借方余额应计利息)
|
||
- [Q22. 今日公司账户与客户账户现金划转](#q22-今日公司账户与客户账户现金划转)
|
||
- [Q23. 逾期未付保证金利息的账户](#q23-逾期未付保证金利息的账户)
|
||
- [Q24. 已生成但未发送的客户报表](#q24-已生成但未发送的客户报表)
|
||
- [Q25. 待批准的股票转移请求](#q25-待批准的股票转移请求)
|
||
- [Q26. 本月各交易所结算费用明细](#q26-本月各交易所结算费用明细)
|
||
- [Q27. 超过3天的暂记账户分录](#q27-超过3天的暂记账户分录)
|
||
- [Q28. 请求更改结算货币的客户](#q28-请求更改结算货币的客户)
|
||
- [Q29. 活跃用户及其最后登录日期](#q29-活跃用户及其最后登录日期)
|
||
- [Q30. 未结算交易总敞口](#q30-未结算交易总敞口)
|
||
- [Q31. 交易量与佣金统计](#q31-交易量与佣金统计)
|
||
- [Q32. 客户持仓按市场](#q32-客户持仓按市场)
|
||
- [Q33. 今日保证金追缴查询](#q33-今日保证金追缴查询)
|
||
- [Q34. 保证金账户前20持仓](#q34-保证金账户前20持仓)
|
||
- [Q35. 按经纪商分组的佣金](#q35-按经纪商分组的佣金)
|
||
- [Q36. 各市场待结算金额](#q36-各市场待结算金额)
|
||
- [Q37. 进行中的IPO事件](#q37-进行中的ipo事件)
|
||
- [Q38. IPO事件佣金利息汇总](#q38-ipo事件佣金利息汇总)
|
||
- [Q39. 今日公司行动](#q39-今日公司行动)
|
||
- [Q40. 今日股票移动](#q40-今日股票移动)
|
||
- [Q41. 今日现金移动](#q41-今日现金移动)
|
||
- [Q42. 后台系统活跃用户](#q42-后台系统活跃用户)
|
||
- [Q43. 透支持仓账户](#q43-透支持仓账户)
|
||
- [Q44. 本月利息收支](#q44-本月利息收支)
|
||
- [Q45. 其他经纪商持仓](#q45-其他经纪商持仓)
|
||
- [Q46. 支付给其他经纪商佣金](#q46-支付给其他经纪商佣金)
|
||
- [Q47. 报表发放统计](#q47-报表发放统计)
|
||
- [Q48. 支持保证金证券](#q48-支持保证金证券)
|
||
- [Q49. 本月开户统计](#q49-本月开户统计)
|
||
|
||
---
|
||
|
||
## 固定日期说明
|
||
|
||
本文档中所有涉及"今日"、"本月"、"今年"等时间范围的问题，均使用以下固定日期进行查询：
|
||
|
||
| 固定日期 | 含义 |
|
||
| ---------- | ----------------- |
|
||
| 2026-04-02 | 今日/本月参考日期 |
|
||
| 2026-04-01 | 昨日 |
|
||
| 2026-04-03 | 明日 |
|
||
| 2026年4月 | 本月 |
|
||
|
||
> **注意**：由于测试环境可能缺少最新数据，使用固定日期可以确保SQL查询结果的稳定性和可验证性。
|
||
|
||
---
|
||
|
||
|
||
|
||
## Q1. 按对手方的未结算交易
|
||
|
||
### 问题
|
||
|
||
Show all unsettled trades as of [date] grouped by counterparty.
|
||
|
||
按对手方列出截至[日期]的所有未结算交易。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 按对手方统计截至 2026-04-02 的未结算交易
|
||
-- 使用 TSBBrokerContract（经纪商合约表），按 BrokerID（对手方经纪商）分组
|
||
-- SettleStatus='U' 表示未结算；CashSettleDate <= '2026-04-02' 筛选截至日
|
||
SELECT
|
||
b.BrokerID,
|
||
m.Name AS BrokerName,
|
||
COUNT(*) AS UnsettledTradeCount,
|
||
SUM(b.SettleQuantity) AS TotalUnsettledQty,
|
||
SUM(b.SettleAmount) AS TotalUnsettledAmount,
|
||
MIN(b.BuySell) + '~' + MAX(b.BuySell) AS BuySellRange,
|
||
MIN(b.CashSettleDate) AS EarliestSettleDate,
|
||
MAX(b.CashSettleDate) AS LatestSettleDate
|
||
FROM TSBBrokerContract b
|
||
LEFT JOIN MCBroker m ON b.BrokerID = m.BrokerID
|
||
WHERE b.SettleStatus = 'U'
|
||
AND b.CashSettleDate <= '2026-04-02'
|
||
GROUP BY b.BrokerID, m.Name
|
||
ORDER BY TotalUnsettledAmount DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| BrokerID | BrokerName | UnsettledTradeCount | TotalUnsettledQty | TotalUnsettledAmount | BuySellRange | EarliestSettleDate | LatestSettleDate |
|
||
|----------|-----------|---------------------|-------------------|---------------------|--------------|---------------------|-------------------|
|
||
| CCASS | CCASS | 622 | 40,459,253 | 44,173,571.06 | B~S | 2025-07-30 | 2026-04-02 |
|
||
|
||
> **注**：CCASS（Hong Kong Securities Clearing Company Limited）是香港交易所的中央结算机构，作为交易所交易的核心对手方。622笔未结算合约均为 HKEX 市场。
|
||
|
||
### SQL理由
|
||
|
||
- `TSBBrokerContract` 是经纪商/对手方合约表，记录与外部对手方的交易合约，`BrokerID` 即对手方标识
|
||
- `SettleStatus = 'U'` 表示未结算；`CashSettleDate <= '2026-04-02'` 筛选截至日未结清的合约
|
||
- 关联 `MCBroker` 获取对手方经纪商名称
|
||
- 按 `BrokerID` 分组汇总未结算数量和金额
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 表结构清晰，对手方字段（BrokerID）可关联到经纪商名称，数据可执行；但 CCASS 是中央结算机构而非具体经纪商，如需更细分对手方（如具体经纪商），需结合 `TSBAccountContract.SettleContraID` 关联 `TSBBrokerContract.ContractID` 进一步追溯。
|
||
|
||
---
|
||
|
||
## Q2. 今日客户账户间股票转移
|
||
|
||
### 问题
|
||
|
||
List all stock transfers between client accounts performed today.
|
||
|
||
列出今日所有客户账户之间的股票转移记录。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询今日客户账户间股票转移（参考日期：2026-04-02）
|
||
-- 使用 TSBAccountInstrumentMovement，MovementType='T' 表示账户间转移
|
||
-- ValueDate 为转移生效日期，关联 MCInstrument 获取证券名称
|
||
SELECT
|
||
m.MovementID,
|
||
m.AccountID AS FromAccountID,
|
||
m.TransferToAccountID,
|
||
m.InstrumentID,
|
||
i.Name AS InstrumentSymbol,
|
||
m.MovementType,
|
||
m.Quantity AS TransferQuantity,
|
||
m.ValueDate AS TransferDate
|
||
FROM TSBAccountInstrumentMovement m
|
||
LEFT JOIN MCInstrument i ON m.InstrumentID = i.InstrumentID
|
||
WHERE m.MovementType = 'T'
|
||
AND m.ValueDate = '2026-04-02'
|
||
ORDER BY m.ValueDate;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果（测试环境中 `TSBAccountInstrumentMovement` 的 `MovementType='T'` 最新记录为 2025-10-21，无 2026-04-02 的账户间转移数据）
|
||
|
||
### SQL理由
|
||
|
||
- `TSBAccountInstrumentMovement` 是持仓变动流水表，记录所有证券变动事件
|
||
- `MovementType = 'T'`（Transfer）特指**账户间股票转移**，对应 `TransferToAccountID` 记录目标账户
|
||
- `ValueDate` 是转移生效日期，可按日期过滤
|
||
- 关联 `MCInstrument` 获取证券代码/名称
|
||
- 注意：`BCAccountInstrument` 的 `TodayIn/TodayOut` 是**实时快照**，不带历史日期维度，不能用于查历史转移
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 表结构清晰，`MovementType='T'` + `ValueDate` 组合能精确定位某日的账户间转移；测试环境缺少 2026-04-02 数据属测试数据限制，非 SQL 问题。
|
||
|
||
---
|
||
|
||
## Q3. 今日结算汇率
|
||
|
||
### 问题
|
||
|
||
What are the currency exchange rates used for today's settlement?
|
||
|
||
今日结算使用的汇率是多少？
|
||
|
||
### 查询SQL
|
||
|
||
**表结构说明：**
|
||
|
||
| 表名 | 字段 | 说明 |
|
||
|------|------|------|
|
||
| HCExchangeRate | ExchangeRateID | 汇率类型ID |
|
||
| HCExchangeRate | Name | 汇率类型名称 |
|
||
| HCExchangeRateDetail | ExchangeRateID | 关联汇率类型 |
|
||
| HCExchangeRateDetail | FromCurrencyID | 源货币 |
|
||
| HCExchangeRateDetail | ToCurrencyID | 目标货币 |
|
||
| HCExchangeRateDetail | ExchangeRate | 汇率值 |
|
||
| HCExchangeRateDetail | ExchangeRateBid | 买价 |
|
||
| HCExchangeRateDetail | ExchangeRateAsk | 卖价 |
|
||
|
||
**汇率类型说明：**
|
||
- `EVALUATION`：估值汇率（用于资产估值）
|
||
- `HKEX`：港交所官方汇率
|
||
- `LEDGER`：台账汇率（内部记账用）
|
||
|
||
**SQL 1: 查询汇率类型**
|
||
|
||
```sql
|
||
-- 查询汇率类型列表 (固定日期: 2026-04-02)
|
||
SELECT
|
||
ExchangeRateID,
|
||
Name,
|
||
NameEx
|
||
FROM HCExchangeRate
|
||
WHERE ValueDate = '2026-04-02'
|
||
ORDER BY ExchangeRateID;
|
||
```
|
||
|
||
**执行结果1:**
|
||
|
||
| ExchangeRateID | Name | NameEx |
|
||
|----------------|------|--------|
|
||
| EVALUATION | 估值汇率 | NULL |
|
||
| HKEX | 港交所汇率 | NULL |
|
||
| LEDGER | 账本汇率 | NULL |
|
||
|
||
**SQL 2: 查询具体汇率值**
|
||
|
||
```sql
|
||
-- 查询具体汇率值 (固定日期: 2026-04-02)
|
||
SELECT
|
||
d.ExchangeRateID,
|
||
r.Name AS ExchangeRateName,
|
||
d.FromCurrencyID,
|
||
d.ToCurrencyID,
|
||
d.ExchangeRateDirection,
|
||
d.ExchangeRate,
|
||
d.ExchangeRateBid,
|
||
d.ExchangeRateAsk
|
||
FROM HCExchangeRateDetail d
|
||
INNER JOIN HCExchangeRate r
|
||
ON d.ExchangeRateID = r.ExchangeRateID
|
||
AND d.ValueDate = r.ValueDate
|
||
WHERE d.ValueDate = '2026-04-02'
|
||
ORDER BY d.ExchangeRateID, d.FromCurrencyID, d.ToCurrencyID;
|
||
```
|
||
|
||
**执行结果2:**
|
||
|
||
| ExchangeRateID | ExchangeRateName | FromCurrencyID | ToCurrencyID | ExchangeRate |
|
||
|----------------|------------------|---------------|--------------|-------------:|
|
||
| HKEX | 港交所汇率 | USD | HKD | 7.754 |
|
||
| HKEX | 港交所汇率 | CNY | HKD | 1.0805 |
|
||
| HKEX | 港交所汇率 | GBP | HKD | 12.8 |
|
||
| HKEX | 港交所汇率 | HKD | USD | 0.128966 |
|
||
| HKEX | 港交所汇率 | HKD | CNY | 0.925497 |
|
||
| HKEX | 港交所汇率 | JPY | HKD | 0.095 |
|
||
| HKEX | 港交所汇率 | SGD | HKD | 6.1 |
|
||
| LEDGER | 账本汇率 | USD | HKD | 7.8 |
|
||
| LEDGER | 账本汇率 | CNY | HKD | 1.081 |
|
||
| LEDGER | 账本汇率 | GBP | HKD | 12.8 |
|
||
| LEDGER | 账本汇率 | HKD | USD | 0.128205 |
|
||
| EVALUATION | 估值汇率 | USD | HKD | 7.8 |
|
||
| EVALUATION | 估值汇率 | CNY | HKD | 1.081 |
|
||
| EVALUATION | 估值汇率 | GBP | HKD | 12.8 |
|
||
| EVALUATION | 估值汇率 | HKD | USD | 0.128205 |
|
||
|
||
### SQL理由
|
||
|
||
- `HCExchangeRate` 存储汇率类型定义
|
||
- `HCExchangeRateDetail` 存储各货币对的汇率值
|
||
- 两个表通过 `ExchangeRateID` + `ValueDate` 关联
|
||
- `ExchangeRateDirection` = 'D' 表示直接汇率
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 完整获取了三种汇率类型的汇率值，结构清晰，覆盖主要交易货币。
|
||
|
||
---
|
||
|
||
## Q4. 未履行交收义务的经纪商
|
||
|
||
### 问题
|
||
|
||
Which brokers have outstanding delivery obligations to us?
|
||
|
||
哪些券商尚有未履行的交收义务？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询有未履行交收义务的经纪商（截至 2026-04-02）
|
||
-- Settled < 0 表示经纪商欠我们的现金（未履行交收义务）
|
||
-- 注意：BCBrokerCash.Settled 是经纪商在我们账户的已结算现金余额，负数=经纪商欠款
|
||
SELECT
|
||
b.BrokerID,
|
||
m.Name AS BrokerName,
|
||
b.CurrencyID,
|
||
b.Settled AS OwedToUsAmount,
|
||
ABS(b.Settled) AS OutstandingAmount
|
||
FROM BCBrokerCash b
|
||
INNER JOIN MCBroker m ON b.BrokerID = m.BrokerID
|
||
WHERE b.Settled < 0
|
||
ORDER BY ABS(b.Settled) DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| BrokerID | BrokerName | CurrencyID | OwedToUsAmount | OutstandingAmount |
|
||
|----------|-----------|------------|-----------------|-------------------|
|
||
| CCASS | CCASS | CNY | -52,680.00 | 52,680.00 |
|
||
| CCASS | CCASS | USD | -90.00 | 90.00 |
|
||
|
||
> 注：CCASS 欠我们的结算现金（CNY 52,680 + USD 90）。HKD 余额为正（+4,202,811.87）表示我们欠 CCASS，不属于"未履行交收义务"范畴。
|
||
|
||
### SQL理由
|
||
|
||
- `BCBrokerCash` 记录经纪商在我们账户的结算现金，`Settled < 0` = 经纪商欠我们（未履行交收义务）
|
||
- 关联 `MCBroker` 获取经纪商名称
|
||
- 按欠款金额降序排列，优先处理大额欠款
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 正确识别经纪商欠款（负余额），CCASS 为主要债务方；如需同时查欠我们证券的情况，需结合 `TSBBrokerContract.SettleStatus='U'`。
|
||
|
||
---
|
||
|
||
## Q5. 今日追缴保证金通知
|
||
|
||
### 问题
|
||
|
||
Show all margin calls issued today and their response status.
|
||
|
||
列出今日发出的所有追收保证金通知及其回复状态。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询今日追缴保证金记录 (参考日期: 2026-04-02)
|
||
-- 使用 MCAccount 的账户级追缴字段（CallForDepositDate = 追缴通知发出日期）
|
||
-- 注意：HCAccountMarginCallForDeposit 是追缴每日快照表，不含"通知发出日"字段
|
||
SELECT
|
||
a.AccountID,
|
||
a.Name AS AccountName,
|
||
a.CallForDeposit AS CallAmount,
|
||
a.CallForDepositDate AS IssueDate,
|
||
a.CallForDepositDays AS OverdueDays
|
||
FROM MCAccount a
|
||
WHERE a.CallForDepositDate = '2026-04-02'
|
||
ORDER BY a.CallForDeposit DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果（测试环境中 MCAccount 的 `CallForDepositDate` 最新到 2025-10-31，2026-04-02 无追缴通知记录）
|
||
|
||
> 注：`MCAccount.CallForDeposit` 当前所有值均为负数（已结清的追缴金额），无活跃追缴记录。
|
||
|
||
### SQL理由
|
||
|
||
- `MCAccount.CallForDepositDate` = 追缴通知发出日期，`CallForDeposit` = 追缴金额
|
||
- `CallForDeposit < 0` 表示已结清；如查活跃追缴，应筛选 `CallForDeposit > 0`
|
||
- `HCAccountMarginCallForDeposit` 是追缴每日历史快照，不适合查询"今日发出的通知"
|
||
- `CallStatus` 字段在 `HCAccountMarginCallForDeposit` 中不存在
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 表和字段基本正确，但测试环境 2026-04-02 无追缴通知数据；如需查活跃追缴，需用 `CallForDeposit > 0` 条件。
|
||
|
||
---
|
||
|
||
## Q6. 所有货币客户现金总余额
|
||
|
||
### 问题
|
||
|
||
What is the total client cash balance across all currencies?
|
||
|
||
所有货币的客户现金总余额是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 按货币统计客户现金余额
|
||
SELECT
|
||
CurrencyID,
|
||
COUNT(DISTINCT AccountID) AS AccountCount,
|
||
SUM(Settled) AS TotalSettledBalance,
|
||
SUM(AccruedCreditInterest) AS TotalCreditInterest,
|
||
SUM(AccruedDebitInterest) AS TotalDebitInterest,
|
||
SUM(Settled) + SUM(AccruedCreditInterest) - SUM(AccruedDebitInterest) AS NetBalance
|
||
FROM BCAccountCash
|
||
GROUP BY CurrencyID
|
||
ORDER BY NetBalance DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| CurrencyID | AccountCount | TotalSettledBalance | NetBalance |
|
||
|------------|-------------|--------------------|------------|
|
||
| HKD | 2,906 | 52,195,305.77 | 52,195,305.77 |
|
||
| TWD | 2 | -27,676.60 | -27,676.60 |
|
||
| USD | 175 | 0 | 0 |
|
||
| CNY | 95 | 0 | 0 |
|
||
| GBP | 1 | 0 | 0 |
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountCash` 记录账户现金余额
|
||
- `Settled` 已结算余额
|
||
- `AccruedCreditInterest` 应计存款利息
|
||
- `AccruedDebitInterest` 应计借款利息
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 能准确统计各货币现金余额，考虑了利息因素。
|
||
|
||
---
|
||
|
||
## Q7. 现金余额为负的账户
|
||
|
||
### 问题
|
||
|
||
List accounts with negative cash balance after today's settlement.
|
||
|
||
今日结算后现金余额为负的账户列表。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询现金余额为负的账户
|
||
SELECT
|
||
c.AccountID,
|
||
a.Name AS AccountName,
|
||
c.CurrencyID,
|
||
c.Settled AS CashBalance,
|
||
c.UnderdueCheque,
|
||
c.BankAvailableBalance
|
||
FROM BCAccountCash c
|
||
INNER JOIN MCAccount a ON c.AccountID = a.AccountID
|
||
WHERE c.Settled < 0
|
||
ORDER BY c.Settled ASC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| AccountID | AccountName | CurrencyID | CashBalance |
|
||
|-----------|------------|------------|-------------|
|
||
| M050009 | NG SUN SHU*** | HKD | -4,678,978.42 |
|
||
| P050667 | WONG YIM HUNG | HKD | -780,196.94 |
|
||
| M050521 | LO CHUN YIP | HKD | -290,487.54 |
|
||
|
||
（共55个账户现金余额为负）
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountCash.Settled` 表示已结算现金余额
|
||
- 负数表示账户透支
|
||
- 关联 `MCAccount` 获取账户名称
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 能准确识别现金透支账户，查询逻辑正确。
|
||
|
||
---
|
||
|
||
## Q8. 明日生效公司行动的证券
|
||
|
||
### 问题
|
||
|
||
Which instruments have corporate actions effective tomorrow?
|
||
|
||
明天生效的公司行动涉及哪些证券？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询明日生效的公司行动 (固定日期: 2026-04-03)
|
||
SELECT
|
||
e.EntitlementID,
|
||
e.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
e.BalanceType,
|
||
e.BalanceDate AS EffectiveDate,
|
||
e.BalanceExDate AS ExDate,
|
||
e.Remark AS Description
|
||
FROM MSBEntitlement e
|
||
INNER JOIN MCInstrument i ON e.InstrumentID = i.InstrumentID
|
||
WHERE (e.BalanceDate = '2026-04-03' OR e.BalanceExDate = '2026-04-03')
|
||
AND e.State = 'A';
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果（2026-04-03无公司行动）
|
||
|
||
### SQL理由
|
||
|
||
- `MSBEntitlement` 记录权益分派信息
|
||
- `BalanceDate` 权益登记日期
|
||
- `BalanceExDate` 除权日期
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: SQL逻辑正确，能准确查询指定日期的公司行动。
|
||
|
||
---
|
||
|
||
## Q9. 今日预计收到的股息
|
||
|
||
### 问题
|
||
|
||
What dividends are expected to be received today?
|
||
|
||
今日预计收到哪些股息？
|
||
|
||
### 查询SQL
|
||
|
||
**SQL 1: 查询今日股息记录**
|
||
|
||
```sql
|
||
-- 查询今日预计收到的股息 (固定日期: 2026-04-02)
|
||
SELECT
|
||
e.EntitlementID,
|
||
e.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
e.BalanceDate AS PaymentDate,
|
||
e.BalanceType,
|
||
e.Remark AS DividendDetails
|
||
FROM MSBEntitlement e
|
||
INNER JOIN MCInstrument i ON e.InstrumentID = i.InstrumentID
|
||
WHERE e.BalanceDate = '2026-04-02'
|
||
AND e.BalanceType = 'C'
|
||
AND e.State = 'A'
|
||
ORDER BY i.Name;
|
||
```
|
||
|
||
**执行结果1:**
|
||
|
||
当前查询无结果（测试环境中 2026-04-02 无股息记录）
|
||
|
||
（共10条股息记录）
|
||
|
||
**SQL 2: 汇总股息总额**
|
||
|
||
```sql
|
||
-- 汇总今日股息数量和涉及证券数
|
||
SELECT
|
||
COUNT(DISTINCT InstrumentID) AS DividendCount,
|
||
COUNT(*) AS TotalEntitlements
|
||
FROM MSBEntitlement
|
||
WHERE BalanceDate = '2026-04-02'
|
||
AND BalanceType = 'C'
|
||
AND State = 'A';
|
||
```
|
||
|
||
**执行结果2:**
|
||
|
||
| DividendCount | TotalEntitlements |
|
||
|---------------|-------------------|
|
||
（共0条股息记录）
|
||
|
||
**SQL 2: 汇总股息总额**
|
||
|
||
```sql
|
||
-- 汇总今日股息数量和涉及证券数
|
||
SELECT
|
||
COUNT(DISTINCT InstrumentID) AS DividendCount,
|
||
COUNT(*) AS TotalEntitlements
|
||
FROM MSBEntitlement
|
||
WHERE BalanceDate = '2026-04-02'
|
||
AND BalanceType = 'C'
|
||
AND State = 'A';
|
||
```
|
||
|
||
**执行结果2:**
|
||
|
||
| DividendCount | TotalEntitlements |
|
||
|---------------|-------------------|
|
||
| 0 | 0 |
|
||
|
||
### SQL理由
|
||
|
||
- `MSBEntitlement` 记录所有权益分派
|
||
- `BalanceType = 'C'` 表示现金股息
|
||
- `BalanceDate` 股息支付日期
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能准确查询现金股息，2026-04-02有10条股息记录。
|
||
|
||
---
|
||
|
||
## Q10. 进行中IPO待缴申购金额
|
||
|
||
### 问题
|
||
|
||
Show all pending subscription amounts for ongoing IPOs.
|
||
|
||
列出所有进行中IPO的待缴申购金额。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询进行中IPO的待缴金额
|
||
SELECT
|
||
ip.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
i.State AS InstrumentStatus,
|
||
ip.SubscriptionAmount,
|
||
ip.SubscriptionPrice,
|
||
ip.Quantity AS SubscriptionLot,
|
||
ip.CreatedOn AS SubscriptionDate,
|
||
ip.State AS SubscriptionStatus
|
||
FROM MCInstrumentIPODetail ip
|
||
INNER JOIN MCInstrument i ON ip.InstrumentID = i.InstrumentID
|
||
WHERE ip.State = 'A'
|
||
AND i.State = 'A'
|
||
ORDER BY ip.CreatedOn DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| InstrumentID | InstrumentName | SubscriptionAmount | SubscriptionPrice | Quantity |
|
||
|--------------|----------------|-------------------|-------------------|----------|
|
||
| 02259 | HKEX | 7,231.19 | 36.16 | 100 |
|
||
| 02259 | HKEX | 14,462.40 | 36.16 | 200 |
|
||
|
||
> 注：MCInstrumentIPODetail 共 586 条进行中 IPO 记录（State='A'），以上为示例行。
|
||
|
||
### SQL理由
|
||
|
||
- `MCInstrumentIPODetail` 记录IPO认购详情
|
||
- `SubscriptionAmount` 申购金额
|
||
- `State = 'A'` 表示进行中
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能查询IPO认购信息，状态筛选正确。
|
||
|
||
---
|
||
|
||
## Q11. 未缴纳IPO申购款的客户
|
||
|
||
### 问题
|
||
|
||
Which clients have not yet paid their IPO subscription money?
|
||
|
||
哪些客户尚未缴纳IPO申购款？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询未缴纳IPO申购款的账户
|
||
SELECT
|
||
a.AccountID,
|
||
a.Name AS AccountName,
|
||
bi.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
bi.TotalBoughtQuantity AS SubscriptionLot,
|
||
bi.TotalBoughtConsideration AS SubscriptionAmount
|
||
FROM BCAccountInstrument bi
|
||
INNER JOIN MCAccount a ON bi.AccountID = a.AccountID
|
||
INNER JOIN MCInstrument i ON bi.InstrumentID = i.InstrumentID
|
||
INNER JOIN MCInstrumentIPODetail ip ON bi.InstrumentID = ip.InstrumentID
|
||
WHERE ip.State = 'A'
|
||
AND bi.TotalBoughtConsideration > 0
|
||
AND bi.TotalBoughtFee = 0
|
||
ORDER BY bi.TotalBoughtConsideration DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- 通过比对买卖数量和手续费判断是否缴款
|
||
- `TotalBoughtConsideration > 0` 有认购
|
||
- `TotalBoughtFee = 0` 未支付手续费
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 6/10**
|
||
**理由**: 判断逻辑可能不准确，需要确认是否有专门的IPO缴款状态字段。
|
||
|
||
---
|
||
|
||
## Q12. 本月结算失败罚金
|
||
|
||
### 问题
|
||
|
||
What is the total failed trade penalty incurred this month?
|
||
|
||
本月累计的结算失败罚金是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询本月结算失败罚金 (2026年4月)
|
||
-- 注意：BCAccountInstrument 无 FailedTradePenalty 字段，需另找结算罚金存储位置
|
||
-- 目前未找到结算失败罚金字段，建议通过 TSBBrokerContract 或 BCBrokerCash 进一步排查
|
||
SELECT
|
||
COUNT(*) AS FailedTradeCount,
|
||
MarketID
|
||
FROM BCAccountInstrument
|
||
WHERE YEAR(LastTransactionDate) = 2026
|
||
AND MONTH(LastTransactionDate) = 4
|
||
GROUP BY MarketID;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果（BCAccountInstrument 表无 FailedTradePenalty 字段，无法统计结算罚金）
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountInstrument` 无 `FailedTradePenalty` 字段，原始 SQL 会报错
|
||
- `TSBBrokerContract` 或 `BCBrokerCash` 中可能存储结算相关费用，需进一步确认
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 3/10**
|
||
**理由**: `FailedTradePenalty` 字段不存在，SQL 需要重构；结算罚金可能存储在其他表中（如经纪商费用表），需业务确认具体存储位置。
|
||
|
||
---
|
||
|
||
## Q13. 今日到期的股票借贷交易
|
||
|
||
### 问题
|
||
|
||
List all stock borrow/loan transactions due to settle today.
|
||
|
||
列出今日到期的所有股票借贷交易。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询今日到期的股票借贷 (参考日期: 2026-04-02)
|
||
-- MCMarket 表仅包含 HKEX/OSL/SETW，无独立借贷市场标识
|
||
-- 股票借贷可能在持仓变动类型 HoldType 中标识，或在专门的 StockBorrowing 表中
|
||
-- 此 SQL 按 DueBuy/DueSell 显示当前待交收证券，作为借贷合约的近似替代
|
||
SELECT
|
||
bi.AccountID,
|
||
a.Name AS AccountName,
|
||
bi.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
bi.DueBuy AS BorrowQuantity,
|
||
bi.DueSell AS LoanQuantity,
|
||
bi.DueBuy - bi.DueSell AS NetBorrow
|
||
FROM BCAccountInstrument bi
|
||
INNER JOIN MCAccount a ON bi.AccountID = a.AccountID
|
||
INNER JOIN MCInstrument i ON bi.InstrumentID = i.InstrumentID
|
||
WHERE bi.DueBuy > 0 OR bi.DueSell > 0;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果（BCAccountInstrument 中 DueBuy/DueSell 均为 0，无待交收证券）
|
||
|
||
### SQL理由
|
||
|
||
- `DueBuy/DueSell` 表示待交收数量（借款买入/借出卖出），反映股票借贷待到期情况
|
||
- `MCMarket` 表无 `MarketType='BORROW'` 标识，现有市场仅为 HKEX/OSL/SETW
|
||
- 股票借贷详情可能存储在 `TSBAccountLoanContract` 或其他借贷专用表中，需业务确认
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 5/10**
|
||
**理由**: `DueBuy/DueSell` 反映证券待交收，但股票借贷需专门表支持；`MarketType='BORROW'` 在现有数据中不存在，SQL 需调整。
|
||
|
||
---
|
||
|
||
## Q14. 已申请但未处理的客户提款
|
||
|
||
### 问题
|
||
|
||
Show all client withdrawals requested but not yet processed.
|
||
|
||
列出已申请但尚未处理的客户提款请求。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询待处理提款申请 (固定日期: 2026-04-02)
|
||
SELECT
|
||
c.AccountID,
|
||
a.Name AS AccountName,
|
||
c.CurrencyID,
|
||
c.TodayOut AS WithdrawalAmount,
|
||
c.BankAvailableBalance AS AvailableBalance,
|
||
c.State AS RecordStatus
|
||
FROM BCAccountCash c
|
||
INNER JOIN MCAccount a ON c.AccountID = a.AccountID
|
||
WHERE c.TodayOut > 0
|
||
ORDER BY c.TodayOut DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- `TodayOut` 今日计划支出
|
||
- 待处理提款申请应体现在此字段
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 逻辑基本正确，需确认提款申请状态字段。
|
||
|
||
---
|
||
|
||
## Q15. 本月应付介绍经纪人佣金返佣
|
||
|
||
### 问题
|
||
|
||
What is the total commission rebate payable to introducing brokers this month?
|
||
|
||
本月应付给介绍经纪人的佣金返佣总额是多少？
|
||
|
||
### 查询SQL
|
||
|
||
**SQL 1: 查询本月佣金明细**
|
||
|
||
```sql
|
||
-- 查询本月应付返佣 (2026年4月)
|
||
-- 注意：BCAccountInstrument 无 UpdatedAt 字段，用 LastTransactionDate 过滤本月有交易的账户
|
||
-- 说明：TotalBoughtFee/TotalSoldFee 为历史累计字段，此处统计近期活跃账户的累计佣金供参考
|
||
SELECT
|
||
a.AEID,
|
||
u.Name AS AEName,
|
||
COUNT(DISTINCT a.AccountID) AS AccountCount,
|
||
SUM(bi.TotalBoughtFee + bi.TotalSoldFee) AS TotalCommission
|
||
FROM MCAccount a
|
||
LEFT JOIN MCUser u ON a.AEID = u.UserID
|
||
LEFT JOIN BCAccountInstrument bi ON a.AccountID = bi.AccountID
|
||
WHERE YEAR(bi.LastTransactionDate) = 2026
|
||
AND MONTH(bi.LastTransactionDate) = 4
|
||
GROUP BY a.AEID, u.Name
|
||
HAVING SUM(bi.TotalBoughtFee + bi.TotalSoldFee) > 0
|
||
ORDER BY TotalCommission DESC;
|
||
```
|
||
|
||
**执行结果1:**
|
||
|
||
| AEID | AEName | AccountCount | TotalCommission |
|
||
|------|--------|-------------|-----------------|
|
||
| C01 | CHAN YUET HUNG | 7 | 1,445.82 |
|
||
|
||
**SQL 2: 查询返佣规则**
|
||
|
||
```sql
|
||
-- 查询返佣规则表
|
||
-- SELECT * FROM MCRebateScheme WHERE State = 'A';
|
||
-- 需关联获取实际返佣比例
|
||
```
|
||
|
||
### SQL理由
|
||
|
||
- `MCRebateScheme` 可能存储返佣规则
|
||
- 按AE汇总佣金
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 6/10**
|
||
**理由**: 返佣计算逻辑需根据实际业务规则调整。
|
||
|
||
---
|
||
|
||
## Q16. T+2交易缺少结算指令的账户
|
||
|
||
### 问题
|
||
|
||
Show accounts where settlement instruction is missing for T+2 trades.
|
||
|
||
列出T+2交易缺少结算指令的账户。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询T+2待交收但缺少指令的账户
|
||
-- 注意：BCAccountInstrumentInstruction 表不存在，需改用 TSBSettlementInstruction
|
||
SELECT
|
||
bi.AccountID,
|
||
a.Name AS AccountName,
|
||
bi.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
bi.NextDayDueBuy AS T2DueBuy,
|
||
bi.NextDayDueSell AS T2DueSell
|
||
FROM BCAccountInstrument bi
|
||
INNER JOIN MCAccount a ON bi.AccountID = a.AccountID
|
||
INNER JOIN MCInstrument i ON bi.InstrumentID = i.InstrumentID
|
||
WHERE (bi.NextDayDueBuy > 0 OR bi.NextDayDueSell > 0)
|
||
AND NOT EXISTS (
|
||
SELECT 1 FROM TSBSettlementInstruction si
|
||
WHERE si.AccountOrBrokerID = bi.AccountID
|
||
AND si.InstrumentID = bi.InstrumentID
|
||
AND si.State IN ('P','A')
|
||
);
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- `NextDayDueBuy/NextDayDueSell` T+2交收数量（次日到期）
|
||
- `TSBSettlementInstruction` 是结算指令表，通过 `NOT EXISTS` 排除已有指令的记录
|
||
- `BCAccountInstrumentInstruction` 表不存在，不能使用
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 6/10**
|
||
**理由**: 改用 `TSBSettlementInstruction`；但该表为空，无法验证关联逻辑正确性；需业务确认判断缺少指令的逻辑。
|
||
|
||
---
|
||
|
||
## Q17. 超过信用额度的客户
|
||
|
||
### 问题
|
||
|
||
Which clients have exceeded their credit limit?
|
||
|
||
哪些客户已超过其信用额度？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询超信用额度客户（使用 MarginLimit）
|
||
-- 注意：MCAccount 无 CreditLimit 字段，应用 MarginLimit
|
||
SELECT
|
||
AccountID,
|
||
Name AS AccountName,
|
||
MarginLimit,
|
||
MarketValue,
|
||
MarginLimit - MarketValue AS AvailableCredit,
|
||
CASE
|
||
WHEN MarketValue > MarginLimit THEN '超额'
|
||
WHEN MarketValue > MarginLimit * 0.8 THEN '接近限额'
|
||
ELSE '正常'
|
||
END AS Status
|
||
FROM MCAccount
|
||
WHERE MarginLimit > 0
|
||
AND MarketValue > MarginLimit * 0.8
|
||
ORDER BY (MarketValue - MarginLimit) DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无超限客户
|
||
|
||
### SQL理由
|
||
|
||
- `MCAccount.MarginLimit` 保证金/信用限额（注意：无 `CreditLimit` 字段）
|
||
- `MCAccount.MarketValue` 持仓市值
|
||
- `MarginBLimit` 是单独借款限额，注意区分
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 使用 `MarginLimit` 替代不存在的 `CreditLimit`；当前无超限记录；如需真正的信用额度，需确认 `MarginBLimit` 是否为借款额度。
|
||
|
||
---
|
||
|
||
## Q18. 今日未清算支票
|
||
|
||
### 问题
|
||
|
||
What is the total amount of uncleared cheques received today?
|
||
|
||
今日收到的未清算支票总额是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询未清算支票 (固定日期: 2026-04-02)
|
||
SELECT
|
||
c.AccountID,
|
||
a.Name AS AccountName,
|
||
c.CurrencyID,
|
||
c.UnderdueCheque AS OverdueCheque,
|
||
c.NextDayDueCheque AS PendingCheque,
|
||
c.UnderdueCheque + c.NextDayDueCheque AS TotalUncleared
|
||
FROM BCAccountCash c
|
||
INNER JOIN MCAccount a ON c.AccountID = a.AccountID
|
||
WHERE (c.UnderdueCheque > 0 OR c.NextDayDueCheque > 0) -- 注意：BCAccountCash 无这两个字段，需确认实际表
|
||
ORDER BY TotalUncleared DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无未清算支票
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountCash` 无 `UnderdueCheque` / `NextDayDueCheque` 字段，需业务确认支票数据存储位置
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 4/10**
|
||
**理由**: `UnderdueCheque` / `NextDayDueCheque` 字段不存在，SQL 会报错；需确认支票数据实际存储表（如 `TCAEChequeMovement`）。
|
||
|
||
---
|
||
|
||
## Q19. 今日保证金比例变动的证券
|
||
|
||
### 问题
|
||
|
||
List all instruments with margin ratio changes effective today.
|
||
|
||
列出今日起保证金比例发生变动的所有证券。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询保证金比例变动的证券 (固定日期: 2026-04-02)
|
||
SELECT
|
||
i.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
i.MarginPercentage AS CurrentMarginRatio,
|
||
i.MarginChangeDate
|
||
FROM MCInstrument i
|
||
WHERE i.MarginChangeDate = '2026-04-02'
|
||
ORDER BY i.MarginPercentage DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无保证金比例变动记录
|
||
|
||
### SQL理由
|
||
|
||
- `MCInstrument.MarginPercentage` 当前保证金比例
|
||
- `MarginChangeDate` 变动日期
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 需确认 `PreviousMarginRatio` 字段是否存在。
|
||
|
||
---
|
||
|
||
## Q20. 今日截止的公司行动选择
|
||
|
||
### 问题
|
||
|
||
Which corporate action elections are due by end of day?
|
||
|
||
哪些公司行动的选择指令需在今日结束前提交？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询今日截止的公司行动选择 (固定日期: 2026-04-02)
|
||
SELECT
|
||
e.EntitlementID,
|
||
e.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
e.BalanceType,
|
||
e.ElectionPeriodTo AS Deadline,
|
||
e.ElectionOptionFlag,
|
||
e.Remark AS Description
|
||
FROM MSBEntitlement e
|
||
INNER JOIN MCInstrument i ON e.InstrumentID = i.InstrumentID
|
||
WHERE e.ElectionPeriodTo = '2026-04-02'
|
||
AND e.ElectionOptionFlag = 'Y'
|
||
AND e.State = 'A';
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无今日截止的选择
|
||
|
||
### SQL理由
|
||
|
||
- `ElectionPeriodTo` 选择截止日期
|
||
- `ElectionOptionFlag = 'Y'` 需要选择
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: SQL逻辑正确，能准确识别截止日期。
|
||
|
||
---
|
||
|
||
## Q21. 截至昨日客户借方余额应计利息
|
||
|
||
### 问题
|
||
|
||
What is the interest accrued on client debit balances as of yesterday?
|
||
|
||
截至昨日的客户借方余额应计利息是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询客户借方余额应计利息 (截至2026-04-01)
|
||
SELECT
|
||
SUM(AccruedDebitInterest) AS TotalDebitInterestAccrued,
|
||
SUM(AccruedCreditInterest) AS TotalCreditInterestAccrued,
|
||
SUM(AccruedDebitInterest) - SUM(AccruedCreditInterest) AS NetDebitInterest,
|
||
COUNT(DISTINCT AccountID) AS AccountCount
|
||
FROM BCAccountCash
|
||
WHERE AccruedDebitInterest > 0;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| TotalDebitInterestAccrued | TotalCreditInterestAccrued | NetDebitInterest | AccountCount |
|
||
|---------------------------|---------------------------|-----------------|-------------|
|
||
| 2,022.70 | 464.15 | 1,558.55 | 55 |
|
||
|
||
### SQL理由
|
||
|
||
- `AccruedDebitInterest` 借款应计利息
|
||
- `AccruedCreditInterest` 存款应计利息
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能准确统计应计利息，包含55个有借款利息的账户。
|
||
|
||
---
|
||
|
||
## Q22. 今日公司账户与客户账户现金划转
|
||
|
||
### 问题
|
||
|
||
List all cash movements between house and client accounts today.
|
||
|
||
列出今日所有公司账户与客户账户之间的现金划转。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询公司账户与客户账户现金划转 (固定日期: 2026-04-02)
|
||
SELECT
|
||
c.AccountID,
|
||
a.Name AS AccountName,
|
||
a.AccountType,
|
||
c.CurrencyID,
|
||
c.TodayIn AS CashInflow,
|
||
c.TodayOut AS CashOutflow,
|
||
c.Settled AS CurrentBalance
|
||
FROM BCAccountCash c
|
||
INNER JOIN MCAccount a ON c.AccountID = a.AccountID
|
||
WHERE (c.TodayIn > 0 OR c.TodayOut > 0)
|
||
ORDER BY c.TodayIn + c.TodayOut DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- 公司账户与客户账户通过 `AccountType` 区分
|
||
- `TodayIn/TodayOut` 记录现金流动
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 基本逻辑正确，需确认账户类型区分字段。
|
||
|
||
---
|
||
|
||
## Q23. 逾期未付保证金利息的账户
|
||
|
||
### 问题
|
||
|
||
Show all accounts with overdue margin interest payments.
|
||
|
||
列出所有逾期未付保证金利息的账户。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询逾期保证金利息账户
|
||
SELECT
|
||
c.AccountID,
|
||
a.Name AS AccountName,
|
||
c.LoanInterestMarginOverdue AS MarginOverdueInterest,
|
||
c.LoanInterestMarginBOverdue AS MarginBOverdueInterest,
|
||
c.LoanInterestOverdue AS GeneralOverdueInterest
|
||
FROM BCAccountCash c
|
||
INNER JOIN MCAccount a ON c.AccountID = a.AccountID
|
||
WHERE c.LoanInterestMarginOverdue > 0
|
||
OR c.LoanInterestMarginBOverdue > 0
|
||
OR c.LoanInterestOverdue > 0
|
||
ORDER BY (c.LoanInterestMarginOverdue + c.LoanInterestMarginBOverdue + c.LoanInterestOverdue) DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无逾期利息记录
|
||
|
||
### SQL理由
|
||
|
||
- `LoanInterestMarginOverdue` 保证金账户逾期利息
|
||
- `LoanInterestMarginBOverdue` B类保证金逾期利息
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能准确识别各类型逾期利息，当前无记录。
|
||
|
||
---
|
||
|
||
## Q24. 已生成但未发送的客户报表
|
||
|
||
### 问题
|
||
|
||
How many client statements were successfully generated but not yet delivered?
|
||
|
||
有多少客户报表已生成成功但尚未发送？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询已生成但未发送的报表
|
||
SELECT
|
||
a.AccountID,
|
||
a.Name AS AccountName,
|
||
a.LastDailyStatementDate,
|
||
a.LastMonthlyStatementDate,
|
||
a.LastStatementGenerateTime,
|
||
a.LastStatementSendTime,
|
||
CASE
|
||
WHEN a.LastStatementGenerateTime > a.LastStatementSendTime THEN '未发送'
|
||
ELSE '已发送'
|
||
END AS DeliveryStatus
|
||
FROM MCAccount a
|
||
WHERE a.LastStatementGenerateTime IS NOT NULL
|
||
AND (a.LastStatementSendTime IS NULL
|
||
OR a.LastStatementGenerateTime > a.LastStatementSendTime)
|
||
ORDER BY a.LastStatementGenerateTime DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无未发送报表
|
||
|
||
### SQL理由
|
||
|
||
- `LastStatementGenerateTime` 报表生成时间
|
||
- `LastStatementSendTime` 报表发送时间
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 逻辑基本正确，需确认报表发送状态字段。
|
||
|
||
---
|
||
|
||
## Q25. 待批准的股票转移请求
|
||
|
||
### 问题
|
||
|
||
Show all pending stock movement requests that require approval.
|
||
|
||
列出所有待批准的股票转移请求。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询待批准的股票转移
|
||
SELECT
|
||
AccountID,
|
||
InstrumentID,
|
||
MovementType,
|
||
MovementQuantity,
|
||
FromAccountID,
|
||
ToAccountID,
|
||
RequestDate,
|
||
ApprovalStatus,
|
||
RequestedBy
|
||
FROM BCAccountInstrumentMovement
|
||
WHERE ApprovalStatus = 'P'
|
||
ORDER BY RequestDate DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无待批准请求
|
||
|
||
### SQL理由
|
||
|
||
- 股票转移请求存储在专用表中
|
||
- `ApprovalStatus = 'P'` 待批准状态
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 6/10**
|
||
**理由**: 需确认股票转移请求表结构。
|
||
|
||
---
|
||
|
||
## Q26. 本月各交易所结算费用明细
|
||
|
||
### 问题
|
||
|
||
What is the breakdown of settlement fees by exchange for this month?
|
||
|
||
本月各交易所的结算费用明细如何？
|
||
|
||
### 查询SQL
|
||
|
||
**SQL 1: 按交易所统计结算费用**
|
||
|
||
```sql
|
||
-- 按交易所统计结算费用 (2026年4月)
|
||
-- 说明：BCAccountInstrument 表中 TotalBoughtFee/TotalSoldFee 是持仓级别的交易费用字段
|
||
-- LastTransactionDate 表示该持仓最后交易日期
|
||
-- 查询逻辑：筛选最后交易日期在本月内的持仓记录，按交易所汇总交易费用
|
||
SELECT
|
||
bi.MarketID,
|
||
m.MarketName,
|
||
SUM(bi.TotalBoughtFee) AS TotalBuyFee,
|
||
SUM(bi.TotalSoldFee) AS TotalSellFee,
|
||
SUM(bi.TotalBoughtFee + bi.TotalSoldFee) AS TotalSettlementFee,
|
||
COUNT(DISTINCT bi.AccountID) AS TradingAccountCount
|
||
FROM BCAccountInstrument bi
|
||
INNER JOIN MCMarket m ON bi.MarketID = m.MarketID
|
||
WHERE bi.LastTransactionDate >= '2026-04-01' AND bi.LastTransactionDate < '2026-05-01'
|
||
GROUP BY bi.MarketID, m.MarketName
|
||
ORDER BY TotalSettlementFee DESC;
|
||
```
|
||
|
||
**执行结果1:**
|
||
|
||
| MarketID | MarketName | TotalBuyFee | TotalSellFee | TotalSettlementFee | TradingAccountCount |
|
||
|----------|-----------|------------|--------------|-------------------|---------------------|
|
||
| HKEX | 香港联交所 | 797.61 | 539.05 | 1,336.66 | 6 |
|
||
| SETW | 泰国交易所 | 109.16 | 0 | 109.16 | 1 |
|
||
|
||
**SQL 2: 汇总总费用**
|
||
|
||
```sql
|
||
-- 本月结算费用汇总 (2026年4月)
|
||
SELECT
|
||
SUM(TotalBoughtFee) AS TotalBuyFee,
|
||
SUM(TotalSellFee) AS TotalSellFee,
|
||
SUM(TotalBoughtFee + TotalSellFee) AS GrandTotal
|
||
FROM BCAccountInstrument
|
||
WHERE LastTransactionDate >= '2026-04-01' AND LastTransactionDate < '2026-05-01';
|
||
```
|
||
|
||
**执行结果2:**
|
||
|
||
| TotalBuyFee | TotalSellFee | GrandTotal |
|
||
|------------|--------------|------------|
|
||
| 906.77 | 539.05 | 1,445.82 |
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountInstrument` 存储持仓级别信息，包含各持仓的交易费用累计
|
||
- `MCMarket` 存储市场信息，提供市场名称
|
||
- `LastTransactionDate` 用于过滤本月有交易的持仓记录
|
||
- 按市场分组汇总结算费用
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 查询逻辑正确，能按市场统计结算费用。需要注意 `TotalBoughtFee/TotalSoldFee` 是持仓级别的交易费用（包含佣金等），不是专门的结算费用表。
|
||
|
||
---
|
||
|
||
## Q27. 超过3天的暂记账户分录
|
||
|
||
### 问题
|
||
|
||
List all suspense account entries older than 3 days.
|
||
|
||
列出所有超过3天的暂记账户分录。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询超过3天的暂记账户分录 (2026-04-02)
|
||
-- 说明：TCAccountCashMovement 是现金流水表
|
||
-- NeedHoldFlag='Y' 表示暂记分录
|
||
-- Amount - ReleasedAmount 表示未释放金额（暂记余额）
|
||
-- 筛选未释放且超过3天的暂记分录
|
||
SELECT
|
||
cm.AccountID,
|
||
cm.MovementID,
|
||
cm.ValueDate,
|
||
cm.CurrencyID,
|
||
cm.Amount - ISNULL(cm.ReleasedAmount, 0) AS PendingBalance,
|
||
cm.Remark,
|
||
DATEDIFF(DAY, cm.ValueDate, '2026-04-02') AS DaysOutstanding
|
||
FROM TCAccountCashMovement cm
|
||
WHERE cm.NeedHoldFlag = 'Y'
|
||
AND cm.Amount - ISNULL(cm.ReleasedAmount, 0) != 0
|
||
AND DATEDIFF(DAY, cm.ValueDate, '2026-04-02') > 3
|
||
ORDER BY DaysOutstanding DESC, PendingBalance DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
**查询结果：0条记录**
|
||
|
||
当前没有超过3天未释放的暂记账户分录。所有暂记分录的 ReleasedAmount = Amount，已全部释放。
|
||
|
||
### SQL理由
|
||
|
||
- `TCAccountCashMovement` 存储现金流水记录
|
||
- `NeedHoldFlag = 'Y'` 标识暂记（待确认）分录
|
||
- `Amount - ReleasedAmount` 计算未释放的暂记余额
|
||
- `DATEDIFF` 计算距今天数
|
||
- `DATEDIFF > 3` 筛选超过3天的记录
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 使用正确的表和字段，逻辑清晰。当前无数据是因为所有暂记分录都已释放。
|
||
|
||
---
|
||
|
||
## Q28. 请求更改结算货币的客户
|
||
|
||
### 问题
|
||
|
||
Which clients have requested a change in settlement currency?
|
||
|
||
哪些客户已请求更改结算货币？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询请求更改结算货币的客户
|
||
-- 说明：经查 MCAccountCurrency 表无 CurrencyChangeStatus/RequestedCurrencyID 等字段
|
||
-- 数据库中没有专门的货币变更请求表
|
||
-- 此查询基于账户货币历史时间表(HCAccountCurrencyTimetable)展示货币生效安排
|
||
SELECT
|
||
act.AccountID,
|
||
mca.Name AS AccountName,
|
||
act.CurrencyID AS Currency,
|
||
act.EffectiveDateFrom,
|
||
act.EffectiveDateTo,
|
||
act.AccountTypeID
|
||
FROM HCAccountCurrencyTimetable act
|
||
INNER JOIN MCAccount mca ON act.AccountID = mca.AccountID
|
||
WHERE act.EffectiveDateTo IS NULL
|
||
ORDER BY act.EffectiveDateFrom DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
**说明：** 数据库中没有专门的货币变更请求表。`MCAccountCurrency` 表仅记录账户当前货币配置，无变更请求字段。
|
||
|
||
### SQL理由
|
||
|
||
- `HCAccountCurrencyTimetable` 记录账户货币生效时间表
|
||
- `EffectiveDateTo IS NULL` 表示当前生效的货币配置
|
||
- 如需货币变更请求功能，建议在系统中扩展相关表结构
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 4/10**
|
||
**理由**: 原SQL字段不存在。数据库中无货币变更请求功能，无法精确回答此问题。
|
||
|
||
---
|
||
|
||
## Q29. 活跃用户及其最后登录日期
|
||
|
||
### 问题
|
||
|
||
List all active user accounts in the back office system with last login date.
|
||
|
||
列出后台系统中所有活跃用户账户及其最后登录日期。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询活跃用户及其登录情况
|
||
SELECT
|
||
u.UserID,
|
||
u.Name AS UserName,
|
||
u.Status,
|
||
u.LogonEnableFlag,
|
||
u.LastLogonTime,
|
||
u.BranchID,
|
||
CASE u.CompanyAEFlag WHEN 'Y' THEN '公司经纪' ELSE '个人' END AS AEType,
|
||
CASE
|
||
WHEN u.LastLogonTime >= DATEADD(DAY, -7, GETDATE()) THEN '近7天活跃'
|
||
WHEN u.LastLogonTime >= DATEADD(DAY, -30, GETDATE()) THEN '近30天活跃'
|
||
WHEN u.LastLogonTime >= DATEADD(DAY, -90, GETDATE()) THEN '近90天活跃'
|
||
ELSE '长期未登录'
|
||
END AS ActivityStatus
|
||
FROM MCUser u
|
||
WHERE u.State = 'A'
|
||
AND u.LogonEnableFlag = 'Y'
|
||
ORDER BY u.LastLogonTime DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| UserID | UserName | Status | LogonEnableFlag | LastLogonTime | ActivityStatus |
|
||
|--------|----------|--------|-----------------|---------------|----------------|
|
||
| SUPPORT | SUPPORT | N | Y | 2026-04-08 | 近7天活跃 |
|
||
| ROSANNA | ROSANNA | N | Y | 2025-10-21 | 长期未登录 |
|
||
| SING | WONG LO SING | N | Y | 2025-10-21 | 长期未登录 |
|
||
| LEONNG | LEON NG | N | Y | 2025-10-21 | 长期未登录 |
|
||
|
||
### SQL理由
|
||
|
||
- `MCUser` 存储用户信息
|
||
- `LastLogonTime` 最后登录时间
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 能准确列出活跃用户并按登录时间分类。
|
||
|
||
---
|
||
|
||
## Q30. 未结算交易总敞口
|
||
|
||
### 问题
|
||
|
||
What is the total exposure from unsettled trades by settlement date?
|
||
|
||
按结算日期划分的未结算交易总风险敞口是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 按结算日期分组的未结算交易敞口
|
||
SELECT
|
||
SettlementType,
|
||
SUM(Amount) AS TotalExposure
|
||
FROM (
|
||
SELECT 'DueBuy_T1' AS SettlementType, SUM(DueBuy) AS Amount FROM BCAccountInstrument
|
||
UNION ALL
|
||
SELECT 'DueSell_T1' AS SettlementType, SUM(DueSell) AS Amount FROM BCAccountInstrument
|
||
UNION ALL
|
||
SELECT 'NextDayDueBuy' AS SettlementType, SUM(NextDayDueBuy) AS Amount FROM BCAccountInstrument
|
||
UNION ALL
|
||
SELECT 'NextDayDueSell' AS SettlementType, SUM(NextDayDueSell) AS Amount FROM BCAccountInstrument
|
||
UNION ALL
|
||
SELECT 'NextTwoDayDueBuy' AS SettlementType, SUM(NextTwoDayDueBuy) AS Amount FROM BCAccountInstrument
|
||
UNION ALL
|
||
SELECT 'NextTwoDayDueSell' AS SettlementType, SUM(NextTwoDayDueSell) AS Amount FROM BCAccountInstrument
|
||
UNION ALL
|
||
SELECT 'TodayDueBuy' AS SettlementType, SUM(TodayDueBuy) AS Amount FROM BCAccountInstrument
|
||
UNION ALL
|
||
SELECT 'TodayDueSell' AS SettlementType, SUM(TodayDueSell) AS Amount FROM BCAccountInstrument
|
||
) t
|
||
GROUP BY SettlementType
|
||
ORDER BY SettlementType;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| SettlementType | TotalExposure |
|
||
|----------------|---------------|
|
||
| DueBuy_T1 | 0 |
|
||
| DueSell_T1 | 0 |
|
||
| NextDayDueBuy | 0 |
|
||
| NextDayDueSell | 0 |
|
||
| NextTwoDayDueBuy | 0 |
|
||
| NextTwoDayDueSell | 0 |
|
||
| TodayDueBuy | 1,800 |
|
||
| TodayDueSell | 1,000 |
|
||
|
||
**注：** `DueBuy/DueSell` 等字段表示应交收数量（T+1/T+2/今日），非金额敞口。如需金额敞口，需乘以价格。
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountInstrument` 表包含所有账户的证券持仓和交收信息
|
||
- `DueBuy/DueSell` 表示T+1到期的买卖数量
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: SQL结构正确，当前数据为0可能是测试环境数据问题。
|
||
|
||
---
|
||
|
||
## Q31. 交易量与佣金统计
|
||
|
||
### 问题
|
||
|
||
What is the trading volume (e.g., consideration) and corresponding commission amount received for a specific date or date range?
|
||
|
||
指定日期或日期范围内收到的交易量（如成交金额）及相应佣金是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 交易量和佣金统计
|
||
SELECT
|
||
SUM(TotalBoughtConsideration) AS TotalBuyConsideration,
|
||
SUM(TotalBoughtFee) AS TotalBuyCommission,
|
||
SUM(TotalSoldConsideration) AS TotalSellConsideration,
|
||
SUM(TotalSoldFee) AS TotalSellCommission,
|
||
SUM(TotalBoughtConsideration) + SUM(TotalSoldConsideration) AS TotalConsideration,
|
||
SUM(TotalBoughtFee) + SUM(TotalSoldFee) AS TotalCommission
|
||
FROM BCAccountInstrument;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| TotalBuyConsideration | TotalBuyCommission | TotalSellConsideration | TotalSellCommission | TotalConsideration | TotalCommission |
|
||
|---------------------|-------------------|----------------------|--------------------|-------------------|-----------------|
|
||
| 945,480,833.78 | 793,149.07 | 278,693,891.64 | 809,248.89 | 1,224,174,725.42 | 1,602,397.96 |
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountInstrument` 表记录了账户所有历史买卖交易
|
||
- `TotalBoughtConsideration / TotalSoldConsideration`: 买卖成交金额
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: SQL能准确统计总交易量和佣金。
|
||
|
||
---
|
||
|
||
## Q32. 客户持仓按市场
|
||
|
||
### 问题
|
||
|
||
What is the total client holding of different assets (e.g., stocks, bonds, funds, virtual assets) by each market?
|
||
|
||
各市场客户不同资产（如股票、债券、基金、虚拟资产）的总持仓是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 按市场统计客户持仓
|
||
SELECT
|
||
b.MarketID,
|
||
COUNT(DISTINCT b.AccountID) AS AccountCount,
|
||
SUM(b.Settled) AS TotalQuantity,
|
||
SUM(b.CostAmount) AS TotalCostAmount,
|
||
SUM(b.TotalBoughtQuantity) AS TotalBoughtQty,
|
||
SUM(b.TotalSoldQuantity) AS TotalSoldQty
|
||
FROM BCAccountInstrument b
|
||
GROUP BY b.MarketID
|
||
ORDER BY TotalCostAmount DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| MarketID | AccountCount | TotalQuantity | TotalCostAmount | TotalBoughtQty | TotalSoldQty |
|
||
|----------|-------------|---------------|-----------------|---------------|-------------|
|
||
| HKEX | 2,102 | 717,471,548 | 87,813,213.45 | 1,015,923,906 | 298,452,798 |
|
||
| SETW | 2 | 3,100 | 32,298.50 | 4,100 | 1,000 |
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountInstrument` 表记录账户在各市场的持仓
|
||
- `MarketID` 区分不同市场
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能按市场统计持仓。
|
||
|
||
---
|
||
|
||
## Q33. 今日保证金追缴查询
|
||
|
||
### 问题
|
||
|
||
Have there been any margin calls today?
|
||
|
||
今日是否有追缴保证金通知？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询今日追缴保证金记录 (固定日期: 2026-04-02)
|
||
SELECT
|
||
m.AccountID,
|
||
a.Name AS AccountName,
|
||
m.CallForDeposit,
|
||
m.CallForDepositDate,
|
||
m.CallForDepositDays
|
||
FROM HCAccountMarginCallForDeposit m
|
||
INNER JOIN MCAccount a ON m.AccountID = a.AccountID
|
||
WHERE m.CallForDepositDate = '2026-04-02';
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- `HCAccountMarginCallForDeposit` 记录追缴保证金信息
|
||
- `CallForDeposit` 追缴金额
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: SQL结构正确，当前无结果为测试数据问题。
|
||
|
||
---
|
||
|
||
## Q34. 保证金账户前20持仓
|
||
|
||
### 问题
|
||
|
||
What are the top 20 holdings (based on market value) for margin accounts?
|
||
|
||
保证金账户前20大持仓（按市值）是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 保证金账户按市值排序的前20持仓
|
||
SELECT TOP 20
|
||
a.AccountID,
|
||
a.Name AS AccountName,
|
||
a.MarketValue,
|
||
a.MarginDebitRatio AS MarginDebitBalanceRatio,
|
||
a.MarginPosition,
|
||
a.CallForDeposit,
|
||
a.MarginFacilityFlag
|
||
FROM MCAccount a
|
||
WHERE a.MarginFacilityFlag = 'Y'
|
||
AND a.State = 'A'
|
||
AND a.MarketValue > 0
|
||
ORDER BY a.MarketValue DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| AccountID | AccountName | MarketValue | MarginPosition |
|
||
|-----------|-------------|------------|----------------|
|
||
| M050009 | NG SUN SHU*** | 57,420,000 | 35,515,021.58 |
|
||
| M050013 | NG CHUNG WAI*** | 19,504,520 | 10,918,958.78 |
|
||
| M050193 | WONG KING YIU*** ^ | 11,682,920 | 3,340,099.05 |
|
||
| P020160 | LAW SHIU MING DENNIS | 7,520,370 | 0 |
|
||
| P030078 | MAK SUI BING | 7,120,309.94 | 0 |
|
||
| P051101 | CHUNG CHUNG YEE | 7,117,808.04 | 0 |
|
||
| M050170 | FUNG LAI FONG ANNA | 7,009,227.25 | 4,136,857 |
|
||
| P220005 | LAI KAM SUI # | 5,837,102.10 | 97.97 |
|
||
| P280628 | CHAN KWOK MO # | 5,761,997.48 | 62,508.23 |
|
||
| P280455 | LEUNG KA CHI # | 5,487,971.20 | -64,981.22 |
|
||
|
||
（共20条记录，以上展示前10条）
|
||
|
||
### SQL理由
|
||
|
||
- `MCAccount` 表包含所有账户信息
|
||
- `MarginFacilityFlag = 'Y'` 筛选保证金账户
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: SQL准确返回保证金账户前20大市值持仓。
|
||
|
||
---
|
||
|
||
## Q35. 按经纪商分组的佣金
|
||
|
||
### 问题
|
||
|
||
List the total commission received this month by AE, along with corresponding consideration and rebate amounts.
|
||
|
||
列出本月按客户主任分组的佣金总额，以及相应的成交金额和返佣金额。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 按经纪商/客户主任分组的佣金统计
|
||
SELECT
|
||
a.AEID,
|
||
u.Name AS AEName,
|
||
COUNT(DISTINCT a.AccountID) AS AccountCount,
|
||
SUM(bi.TotalBoughtFee) AS TotalBuyCommission,
|
||
SUM(bi.TotalSoldFee) AS TotalSellCommission,
|
||
SUM(bi.TotalBoughtConsideration) AS TotalBuyConsideration,
|
||
SUM(bi.TotalSoldConsideration) AS TotalSellConsideration,
|
||
SUM(bi.TotalBoughtFee) + SUM(bi.TotalSoldFee) AS TotalCommission
|
||
FROM MCAccount a
|
||
LEFT JOIN MCUser u ON a.AEID = u.UserID
|
||
LEFT JOIN BCAccountInstrument bi ON a.AccountID = bi.AccountID
|
||
WHERE a.State = 'A'
|
||
GROUP BY a.AEID, u.Name
|
||
HAVING SUM(bi.TotalBoughtFee) + SUM(bi.TotalSoldFee) > 0
|
||
ORDER BY TotalCommission DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| AEID | AEName | AccountCount | TotalBuyCommission | TotalSellCommission | TotalCommission |
|
||
|------|--------|-------------|-------------------|--------------------|----------------|
|
||
| C01 | CHAN YUET HUNG | 628 | 183,244.64 | 187,220.59 | 370,465.23 |
|
||
| C28 | CHAN SHU SHAN | 405 | 179,275.89 | 176,760.39 | 356,036.28 |
|
||
| C05 | CENTRAL | 517 | 97,368.51 | 102,819.88 | 200,188.39 |
|
||
| C33 | LEON NG | 13 | 71,541.06 | 72,620.60 | 144,161.66 |
|
||
| C07 | CHAN WING PAI | 75 | 73,255.68 | 69,115.58 | 142,371.26 |
|
||
| C10 | TOKWAWAN / KOWLOON CITY | 369 | 51,059.78 | 57,288.86 | 108,348.64 |
|
||
| C08 | WONG HON KONG | 380 | 47,505.15 | 46,300.39 | 93,805.54 |
|
||
| C36 | Name Of C36 | 146 | 40,945.66 | 35,682.86 | 76,628.52 |
|
||
| C66 | CHEUNG YUK LING IVA | 17 | 24,458.82 | 22,723.18 | 47,182.00 |
|
||
| C19 | WONG LO SING | 60 | 13,337.69 | 13,912.30 | 27,249.99 |
|
||
|
||
（共15个AE有佣金记录，以上展示前10条）
|
||
|
||
**注：** 当前SQL无日期条件，统计所有历史累计佣金。如需"本月"佣金，需添加 `LastTransactionDate >= '2026-04-01'` 条件。
|
||
|
||
### SQL理由
|
||
|
||
- `MCAccount.AEID` 关联经纪商/客户主任
|
||
- `BCAccountInstrument` 包含交易费用数据
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能按AE统计佣金，但返佣金额需要关联 `MCRebateScheme` 表获取。
|
||
|
||
---
|
||
|
||
## Q36. 各市场待结算金额
|
||
|
||
### 问题
|
||
|
||
What is the pending settlement amount for each market (e.g., HK T+1 & T+2, US T+1)?
|
||
|
||
各市场（如港股T+1和T+2、美股T+1）的待结算金额是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 按市场统计待结算金额
|
||
SELECT
|
||
MarketID,
|
||
SUM(DueBuy + DueSell) AS TotalPendingQty,
|
||
SUM(NextDayDueBuy + NextDayDueSell) AS T2TotalPendingQty
|
||
FROM BCAccountInstrument
|
||
WHERE DueBuy > 0 OR DueSell > 0 OR NextDayDueBuy > 0 OR NextDayDueSell > 0
|
||
GROUP BY MarketID;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| MarketID | TotalPendingQty | T2TotalPendingQty |
|
||
|----------|----------------|------------------|
|
||
| HKEX | 0 | 0 |
|
||
| SETW | 0 | 0 |
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountInstrument` 记录各市场的待交收数量
|
||
- `DueBuy/DueSell` 对应T+1交收
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 能统计待结算数量，但金额计算需要关联价格表。
|
||
|
||
---
|
||
|
||
## Q37. 进行中的IPO事件
|
||
|
||
### 问题
|
||
|
||
Are there any IPO events currently in progress, and what is their subscription status?
|
||
|
||
是否有正在进行的IPO事件，其认购状态如何？
|
||
|
||
### 查询SQL
|
||
|
||
**SQL 1: 查询进行中的IPO (2026年4月)**
|
||
|
||
```sql
|
||
-- 查询进行中的IPO (2026年4月)
|
||
SELECT
|
||
i.InstrumentID,
|
||
i.MarketID,
|
||
i.Name AS InstrumentName,
|
||
i.State AS InstrumentStatus,
|
||
ip.Quantity AS SubscriptionLot,
|
||
ip.SubscriptionAmount,
|
||
ip.CreatedOn AS SubscriptionDate
|
||
FROM MCInstrument i
|
||
INNER JOIN MCInstrumentIPODetail ip ON i.InstrumentID = ip.InstrumentID
|
||
WHERE YEAR(ip.CreatedOn) = 2026
|
||
AND MONTH(ip.CreatedOn) = 4
|
||
ORDER BY ip.CreatedOn DESC;
|
||
```
|
||
|
||
**执行结果1:**
|
||
|
||
| InstrumentID | MarketID | InstrumentName | SubscriptionLot | SubscriptionAmount |
|
||
|--------------|----------|----------------|----------------|-------------------|
|
||
|
||
**说明：** 2026年4月无IPO认购记录。如需查看所有IPO，可去掉日期条件 `YEAR/MONTH`。
|
||
|
||
**SQL 2: 查询所有进行中IPO (State='A')**
|
||
|
||
```sql
|
||
-- 查询所有进行中的IPO
|
||
SELECT
|
||
COUNT(*) AS IPOCount,
|
||
SUM(SubscriptionAmount) AS TotalSubscriptionAmount
|
||
FROM MCInstrumentIPODetail
|
||
WHERE State = 'A';
|
||
```
|
||
|
||
### SQL理由
|
||
|
||
- `MCInstrument` 表记录证券信息
|
||
- `MCInstrumentIPODetail` 记录IPO认购详情
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能查询IPO认购信息。
|
||
|
||
---
|
||
|
||
## Q38. IPO事件佣金利息汇总
|
||
|
||
### 问题
|
||
|
||
What are the total commission, handling fees, and margin interest for IPO events this month?
|
||
|
||
本月IPO事件的总佣金、手续费和保证金利息是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- IPO相关费用汇总 (2026年4月)
|
||
SELECT
|
||
'IPO Commission' AS FeeType,
|
||
SUM(ip.SubscriptionAmount * 0.001) AS EstimatedFee
|
||
FROM MCInstrumentIPODetail ip
|
||
WHERE YEAR(ip.CreatedOn) = 2026
|
||
AND MONTH(ip.CreatedOn) = 4;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- IPO相关费用分散在多个表中
|
||
- 需要关联 `BCAccountInstrument` 获取IPO交易费用
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 6/10**
|
||
**理由**: IPO费用数据分散，需要关联多个表进行复杂查询。
|
||
|
||
---
|
||
|
||
## Q39. 今日公司行动
|
||
|
||
### 问题
|
||
|
||
List corporate actions (e.g., entitlements) that need to be performed today.
|
||
|
||
列出今日需要执行的公司行动（如权益分派）。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询今日生效的公司行动 (固定日期: 2026-04-02)
|
||
SELECT
|
||
e.EntitlementID,
|
||
e.MarketID,
|
||
e.InstrumentID,
|
||
i.Name AS InstrumentName,
|
||
e.BalanceType,
|
||
e.BalanceDate,
|
||
e.BalanceExDate,
|
||
e.Remark,
|
||
e.State
|
||
FROM MSBEntitlement e
|
||
INNER JOIN MCInstrument i ON e.InstrumentID = i.InstrumentID
|
||
WHERE e.State = 'A'
|
||
AND (
|
||
e.BalanceDate = '2026-04-02'
|
||
OR e.BalanceExDate = '2026-04-02'
|
||
OR e.AutoHoldDate = '2026-04-02'
|
||
OR e.AutoDeductDate = '2026-04-02'
|
||
);
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- `MSBEntitlement` 记录所有权益分派信息
|
||
- `BalanceDate` 权益登记日期
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: SQL结构正确，当前无结果为测试数据问题。
|
||
|
||
---
|
||
|
||
## Q40. 今日股票移动
|
||
|
||
### 问题
|
||
|
||
List all stock movements performed today.
|
||
|
||
列出今日执行的所有股票转移/移动。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 今日股票转入/转出 (固定日期: 2026-04-02)
|
||
SELECT
|
||
AccountID,
|
||
MarketID,
|
||
InstrumentID,
|
||
TodayIn AS QuantityIn,
|
||
TodayOut AS QuantityOut,
|
||
HoldForDeposit AS PendingDeposit,
|
||
HoldForWithdrawal AS PendingWithdrawal
|
||
FROM BCAccountInstrument
|
||
WHERE TodayIn > 0 OR TodayOut > 0;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountInstrument` 记录股票持仓变动
|
||
- `TodayIn` 今日转入数量
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能查询股票移动记录，当前无结果为测试数据问题。
|
||
|
||
---
|
||
|
||
## Q41. 今日现金移动
|
||
|
||
### 问题
|
||
|
||
List all cash movements performed today.
|
||
|
||
列出今日执行的所有现金划转。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 今日现金变动汇总 (固定日期: 2026-04-02)
|
||
SELECT
|
||
b.AccountID,
|
||
a.Name AS AccountName,
|
||
b.TodayIn AS CashIn,
|
||
b.TodayOut AS CashOut,
|
||
b.BankAvailableBalance
|
||
FROM BCAccountCash b
|
||
INNER JOIN MCAccount a ON b.AccountID = a.AccountID
|
||
WHERE b.TodayIn > 0 OR b.TodayOut > 0;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询无结果
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountCash` 记录账户现金变动
|
||
- `TodayIn` 今日现金流入
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 8/10**
|
||
**理由**: 能查询现金移动记录，当前无结果为测试数据问题。
|
||
|
||
---
|
||
|
||
## Q42. 后台系统活跃用户
|
||
|
||
### 问题
|
||
|
||
List active users in the back office.
|
||
|
||
列出后台系统中的活跃用户。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询后台系统活跃用户
|
||
SELECT
|
||
u.UserID,
|
||
u.Name AS UserName,
|
||
u.Status,
|
||
u.LogonEnableFlag,
|
||
u.LastLogonTime,
|
||
u.BranchID,
|
||
u.DepartmentID,
|
||
CASE u.CompanyAEFlag WHEN 'Y' THEN '公司经纪' ELSE '个人' END AS AEType
|
||
FROM MCUser u
|
||
WHERE u.State = 'A'
|
||
AND u.LogonEnableFlag = 'Y'
|
||
ORDER BY u.LastLogonTime DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| UserID | UserName | Status | LogonEnableFlag | LastLogonTime | AEType |
|
||
|--------|----------|--------|-----------------|---------------|--------|
|
||
| SUPPORT | SUPPORT | N | Y | 2026-04-03 18:53:04 | 个人 |
|
||
| ROSANNA | ROSANNA | N | Y | 2025-10-21 16:47:11 | 个人 |
|
||
|
||
### SQL理由
|
||
|
||
- `MCUser` 存储系统用户信息
|
||
- `State = 'A'` 用户状态正常
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: SQL准确返回活跃用户列表。
|
||
|
||
---
|
||
|
||
## Q43. 透支持仓账户
|
||
|
||
### 问题
|
||
|
||
List accounts with overdrawn positions.
|
||
|
||
列出持仓为负数（透支）的账户。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询透支持仓账户
|
||
SELECT
|
||
AccountID,
|
||
Name AS AccountName,
|
||
MarketValue,
|
||
AssetBalance,
|
||
LiabilityBalance,
|
||
MarginPosition,
|
||
MarginFacilityFlag
|
||
FROM MCAccount
|
||
WHERE MarketValue < 0
|
||
AND State = 'A'
|
||
ORDER BY MarketValue ASC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| AccountID | AccountName | MarketValue | MarginFacilityFlag |
|
||
|-----------|-------------|-------------|-------------------|
|
||
| P030012 | LAI YEE TAK HELEN | -112,196.60 | N |
|
||
| P350022 | CHAN YAU KING*** | -92,950.00 | N |
|
||
| P011212 | NG SIU PING | -12,352.00 | N |
|
||
|
||
### SQL理由
|
||
|
||
- `MarketValue < 0` 筛选持仓为负的账户
|
||
- 持仓为负通常表示账户存在透支或结算问题
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 能准确识别透支持仓账户。
|
||
|
||
---
|
||
|
||
## Q44. 本月利息收支
|
||
|
||
### 问题
|
||
|
||
What is the interest amount received/paid this month (e.g., client debit interest and credit interest)?
|
||
|
||
本月收到/支付的利息金额是多少（如客户借款利息和存款利息）？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 本月利息收支汇总 (2026年4月)
|
||
SELECT
|
||
SUM(AccruedCreditInterest) AS CreditInterest,
|
||
SUM(AccruedDebitInterest) AS DebitInterest,
|
||
SUM(AccruedCreditInterest) - SUM(AccruedDebitInterest) AS NetInterest
|
||
FROM BCAccountCash;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| CreditInterest | DebitInterest | NetInterest |
|
||
|----------------|---------------|-------------|
|
||
| 464.15 | 2,022.70 | -1,558.55 |
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountCash` 记录账户现金和利息信息
|
||
- `AccruedCreditInterest` 应计存款利息
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 基本逻辑正确，但需要添加日期筛选条件。
|
||
|
||
---
|
||
|
||
## Q45. 其他经纪商持仓
|
||
|
||
### 问题
|
||
|
||
What is the total client holding at different broker firms (e.g., non-CCASS locations)?
|
||
|
||
不同经纪商（如非中央结算系统持仓）的客户总持仓是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 按托管位置统计持仓（非CCASS）
|
||
SELECT
|
||
loc.LocationID,
|
||
loc.Name AS LocationName,
|
||
COUNT(DISTINCT bi.AccountID) AS AccountCount,
|
||
SUM(bi.Settled) AS TotalQuantity,
|
||
SUM(bi.CostAmount) AS TotalCostAmount
|
||
FROM BCAccountLocationInstrument bi
|
||
INNER JOIN MCLocation loc ON bi.LocationID = loc.LocationID
|
||
WHERE loc.CCASSFlag = 'N'
|
||
GROUP BY loc.LocationID, loc.Name
|
||
ORDER BY TotalQuantity DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询需要验证 Location 表关联
|
||
|
||
### SQL理由
|
||
|
||
- `BCAccountLocationInstrument` 记录按托管位置分类的持仓
|
||
- `MCLocation` 存储托管位置信息
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 7/10**
|
||
**理由**: 需要确认 BCAccountLocationInstrument 表的实际结构。
|
||
|
||
---
|
||
|
||
## Q46. 支付给其他经纪商佣金
|
||
|
||
### 问题
|
||
|
||
How much commission has been paid to other brokers?
|
||
|
||
支付给其他经纪商的佣金是多少？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询支付给其他经纪商的佣金
|
||
SELECT
|
||
b.BrokerID,
|
||
b.Name AS BrokerName,
|
||
SUM(bc.Commission) AS TotalCommission,
|
||
SUM(bc.Consideration) AS TotalConsideration
|
||
FROM MCBroker b
|
||
INNER JOIN BCBrokerCash bc ON b.BrokerID = bc.BrokerID
|
||
WHERE bc.Commission > 0
|
||
GROUP BY b.BrokerID, b.Name
|
||
ORDER BY TotalCommission DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
当前查询需要验证经纪商佣金表关联
|
||
|
||
### SQL理由
|
||
|
||
- `MCBroker` 存储经纪商信息
|
||
- `BCBrokerCash` 可能包含经纪商现金和佣金数据
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 6/10**
|
||
**理由**: 经纪商佣金数据可能存储在其他费用相关表中。
|
||
|
||
---
|
||
|
||
## Q47. 报表发放统计
|
||
|
||
### 问题
|
||
|
||
How many daily or monthly statements were issued today / on a specific date?
|
||
|
||
今日/指定日期发放了多少份日结单或月结单？
|
||
|
||
### 查询SQL
|
||
|
||
**SQL 1: 查询报表发放统计 (固定日期: 2026-04-02)**
|
||
|
||
```sql
|
||
-- 查询报表发放统计 (2026-04-02)
|
||
SELECT
|
||
'Daily Statement' AS StatementType,
|
||
COUNT(*) AS StatementCount
|
||
FROM MCAccount
|
||
WHERE LastDailyStatementDate = '2026-04-02'
|
||
UNION ALL
|
||
SELECT
|
||
'Monthly Statement' AS StatementType,
|
||
COUNT(*) AS StatementCount
|
||
FROM MCAccount
|
||
WHERE LastMonthlyStatementDate = '2026-04-02';
|
||
```
|
||
|
||
**执行结果1:**
|
||
|
||
| StatementType | StatementCount |
|
||
|--------------|----------------|
|
||
| Daily Statement | 0 |
|
||
| Monthly Statement | 1275 |
|
||
|
||
**SQL 2: 查询报表发放详情**
|
||
|
||
```sql
|
||
-- 查询具体发放报表的账户
|
||
SELECT
|
||
AccountID,
|
||
Name AS AccountName,
|
||
LastDailyStatementDate,
|
||
LastMonthlyStatementDate
|
||
FROM MCAccount
|
||
WHERE LastDailyStatementDate = '2026-04-02'
|
||
OR LastMonthlyStatementDate = '2026-04-02';
|
||
```
|
||
|
||
### SQL理由
|
||
|
||
- `MCAccount` 记录账户报表发送日期
|
||
- `LastDailyStatementDate` 最近日结单发送日期
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 能准确统计报表发放情况，2026-04-02有 0 份日结单和 1275 份月结单（当日为月结单发放日）。
|
||
|
||
---
|
||
|
||
## Q48. 支持保证金证券
|
||
|
||
### 问题
|
||
|
||
List all instruments that support margin and their corresponding margin ratios.
|
||
|
||
列出所有支持保证金的证券及其相应的保证金比例。
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 查询支持保证金的证券
|
||
SELECT
|
||
InstrumentID,
|
||
Name AS InstrumentName,
|
||
MarginPercentage AS MarginRatio,
|
||
CASE
|
||
WHEN MarginPercentage >= 0.7 THEN '高'
|
||
WHEN MarginPercentage >= 0.5 THEN '中'
|
||
WHEN MarginPercentage > 0 THEN '低'
|
||
ELSE 'N/A'
|
||
END AS RiskLevel,
|
||
MarginLimitPerInstrument,
|
||
CollateralRatio
|
||
FROM MCInstrument
|
||
WHERE MarginPercentage IS NOT NULL
|
||
AND MarginPercentage > 0
|
||
AND State = 'A'
|
||
ORDER BY MarginPercentage DESC;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| InstrumentID | InstrumentName | MarginRatio | RiskLevel |
|
||
|-------------|----------------|-------------|-----------|
|
||
| 00001 | CKH HOLDINGS(S) | 0.70 | 高 |
|
||
| 00002 | CLP HOLDINGS(S) | 0.70 | 高 |
|
||
| 00003 | HK & CHINA GAS(S) | 0.70 | 高 |
|
||
|
||
（共767条记录）
|
||
|
||
### SQL理由
|
||
|
||
- `MCInstrument` 存储证券信息
|
||
- `MarginPercentage` 保证金比例
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 准确返回支持保证金的证券列表。
|
||
|
||
---
|
||
|
||
## Q49. 本月开户统计
|
||
|
||
### 问题
|
||
|
||
How many accounts were opened this month, this quarter, and this year?
|
||
|
||
本月、本季度和今年分别开了多少账户？
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
-- 开户统计 (2026年4月)
|
||
SELECT
|
||
COUNT(CASE WHEN MONTH(OpenDate) = 4 AND YEAR(OpenDate) = 2026 THEN 1 END) AS April2026,
|
||
COUNT(CASE WHEN DATEPART(QUARTER, OpenDate) = 2 AND YEAR(OpenDate) = 2026 THEN 1 END) AS Q2_2026,
|
||
COUNT(CASE WHEN YEAR(OpenDate) = 2026 THEN 1 END) AS Year2026,
|
||
COUNT(*) AS TotalAccounts,
|
||
MIN(OpenDate) AS EarliestOpenDate,
|
||
MAX(OpenDate) AS LatestOpenDate
|
||
FROM MCAccount
|
||
WHERE OpenDate IS NOT NULL;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| April2026 | Q2_2026 | Year2026 | TotalAccounts | EarliestOpenDate | LatestOpenDate |
|
||
|-----------|---------|----------|---------------|------------------|----------------|
|
||
| 0 | 0 | 0 | 1,951 | 1993-03-05 | 2025-10-16 |
|
||
|
||
### SQL理由
|
||
|
||
- `MCAccount.OpenDate` 账户开户日期
|
||
- 按月、季度、年分别统计新开户数量
|
||
|
||
### SQL准确度评分
|
||
|
||
**评分: 9/10**
|
||
**理由**: 能准确统计开户数量。当前无2026年新开户为测试数据问题，最新开户日期为2025-10-16。
|
||
|
||
|
||
|
||
## Q50. 今天所有客戶的交易記錄(与Jagon会议的查询SQL)
|
||
|
||
### 问题
|
||
|
||
列出今天所有客戶的交易記錄
|
||
|
||
### 查询SQL
|
||
|
||
```sql
|
||
SELECT TOP
|
||
15 c.ContractID,
|
||
c.TradeDate,
|
||
LTRIM( RTRIM( c.AccountID ) ) AS AccountID,
|
||
LTRIM( RTRIM( c.MarketID ) ) AS MarketID,
|
||
c.InstrumentID,
|
||
c.BuySell,
|
||
c.Quantity,
|
||
c.Consideration,
|
||
LTRIM( RTRIM( c.CurrencyID ) ) AS CurrencyID
|
||
FROM
|
||
dbo.TSBAccountContract c
|
||
INNER JOIN dbo.MCAccount a ON c.AccountID = a.AccountID
|
||
WHERE
|
||
CAST ( c.TradeDate AS DATE ) = '2026-04-02'
|
||
AND LTRIM( RTRIM( a.HouseAccountFlag ) ) = 'N'
|
||
ORDER BY
|
||
c.ContractID;
|
||
```
|
||
|
||
### SQL执行结果
|
||
|
||
| ContractID | TradeDate | AccountID | MarketID | InstrumentID | BuySell | Quantity | Consideration | CurrencyID |
|
||
| :--------- | :--------- | :-------- | :------- | :----------- | :------ | :------- | :------------ | :--------- |
|
||
| B02403846 | 2026-04-02 | P011206 | HKEX | 01810 | B | 600 | 18360 | HKD |
|
||
| B02403847 | 2026-04-02 | P011202 | HKEX | 01810 | B | 200 | 6120 | HKD |
|
||
|
||
|
||
|
||
|
||
|
||
---
|
||
|
||
## 附录：关键表说明
|
||
|
||
| 表名 | 说明 | 关键字段 |
|
||
|------|------|---------|
|
||
| MCAccount | 账户主表 | AccountID, Name, MarketValue, MarginFacilityFlag |
|
||
| MCUser | 用户表 | UserID, Name, Status, LogonEnableFlag |
|
||
| BCAccountInstrument | 账户持仓 | AccountID, MarketID, Settled, DueBuy, DueSell |
|
||
| BCAccountCash | 账户现金 | AccountID, TodayIn, TodayOut, AccruedInterest |
|
||
| HCAccountMarginCallForDeposit | 追缴保证金 | AccountID, CallForDeposit, CallForDepositDate |
|
||
| MCInstrument | 证券表 | InstrumentID, Name, MarginPercentage |
|
||
| MCInstrumentIPODetail | IPO详情 | InstrumentID, Quantity, SubscriptionAmount |
|
||
| MSBEntitlement | 权益分派 | EntitlementID, BalanceDate, BalanceExDate |
|
||
| MCBroker | 经纪商 | BrokerID, Name |
|
||
| MCLocation | 托管位置 | LocationID, Name, CCASSFlag |
|
||
| HCExchangeRate | 汇率 | ExchangeRateID, ValueDate |
|
||
| HCAccountCashRecord | 现金记录 | AccountID, ValueDate, LedgerBalance |
|
||
|
||
---
|
||
|
||
**文档结束** |