Data processing: financial – business practice – management – or co – Automated electrical financial or business practice or... – Finance
Reexamination Certificate
2002-03-04
2009-10-20
Abdi, Kambiz (Department: 3692)
Data processing: financial, business practice, management, or co
Automated electrical financial or business practice or...
Finance
C705S037000
Reexamination Certificate
active
07606747
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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International Search Report for PCT/US02/14922, Nov. 29, 2002.
Cortese Michael
Greenbaum Frederic
Ng Waikit
Abdi Kambiz
Maguire Lindsay M.
Proskauer Rose LLP
UBS AG
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