Information, document, and compliance management for...

Details Information, document, and compliance management for... Information, document, and compliance management for...

2011-01-18

2011-01-18

Havan, Thu Thao (Department: 3695)

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

Automated electrical financial or business practice or...

Finance

C705S037000

Reexamination Certificate

active

07873557

ABSTRACT:
A method and system for integrating and managing information, documents, and compliance among financial professionals, financial professional clients, and financial professional supervisors. The method and system of the invention considers all information necessary for a financial professional to run their business and includes information relevant to the client and supervisor. This information includes full information management, electronic file management, compliance management, broker/dealer oversight, portfolio management, calendar management, and communications management. This information is presented to the financial professional, client, and supervisor in distinct yet integrated modules. Additionally, the method and system of the present invention offers tools for the financial professional, client, and supervisor that are relevant to their respective needs.

REFERENCES:
patent: 2007/0244777 (2007-10-01), Torre et al.
patent: 2008/0040258 (2008-02-01), Weber et al.
patent: 2009/0037343 (2009-02-01), Landle et al.

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