Global compliance system
US7962393B2 · kind B2 · utility
6Cited by
10References
19Claims
0Family size
Assignee
Inventors
Key dates
| Filing date | Oct 20, 2009 |
| Grant date | Jun 14, 2011 |
| Priority date | — |
| Expiry date | Oct 20, 2029 |
Classification
- Technology area (CPC G)Physics
- CPC primaryG06Q40/04
- WIPO fieldIT methods for management
- WIPO sectorElectrical engineering
Abstract
A system for implementing a compliance program in a financial institution is provided and includes a list database for storing material information regarding a plurality of entities that is known to said financial institution. Also included is a list manager that receives a compliance query from an affiliate of the financial institution having a status. The list manager provides a compliance response to the affiliate based on the plurality of entities and according to the status of the affiliate.
Source: USPTO / EPO open patent data. Objective bibliographic and citation counts.