US Patent 7606747 Global compliance system

Patent 7606747 was granted and assigned to UBS (CRM&Web-sites) on October, 2009 by the United States Patent and Trademark Office.

Overview Structured Data Issues Contributors Activity

Is a

Patent

Patent attributes

Current Assignee

UBS (CRM&Web-sites)

Patent Jurisdiction

United States Patent and Trademark Office

Patent Number

7606747

Date of Patent

October 20, 2009

Patent Application Number

10090285

Date Filed

March 4, 2002

Patent Primary Examiner

‌

Kambiz Abdi

Patent 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.