Is a
Patent attributes
Current Assignee
Patent Jurisdiction
Patent Number
Patent Inventor Names
Waikit Ng0
Frederic Greenbaum0
Michael Cortese0
Date of Patent
June 14, 2011
0Patent Application Number
125821950
Date Filed
October 20, 2009
0Patent Primary Examiner
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.
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