METHOD AND SYSTEM FOR AUTOMATED TRANSACTION COMPLIANCE PROCESSING
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United States of America Patent
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Issued Date -
Jul 24, 2014
app pub date -
Nov 22, 2013
filing date -
Jun 8, 2000
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Abstract
A system for automated transaction compliance processing comprises a list server providing access to one or more lists of securities with trading restrictions and a rules engine which processes compliance requests to determine if, based upon the relationship between the requesting party and the company on behalf the compliance is being performed, the transaction is permissible. Compliance determinations are made using a set of predefined compliance rules. When a request is evaluated, a compliance rule set indicating which rules are to be evaluated at that time is generated in accordance with a party profile indicating the relationship between the party and the company. A message indicating whether the transaction complies with trading restrictions is then returned.
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