Global compliance system

Details Global compliance system Global compliance system

2011-06-14

2011-06-14

Maguire, Lindsay M. (Department: 3693)

Data processing: financial, business practice, management, or co

Automated electrical financial or business practice or...

Finance

C705S037000

Reexamination Certificate

active

07962393

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.

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“Insider Trading, Prohibition of Securitied and Exchange Board of India [Prohibition of] Insider Trading) Regulations, 1992” 1992, Section 4.0.

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