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AU2001266802A1 - Method and system for automated transaction compliance processing - Google Patents

Method and system for automated transaction compliance processing

Info

Publication number
AU2001266802A1
AU2001266802A1 AU2001266802A AU6680201A AU2001266802A1 AU 2001266802 A1 AU2001266802 A1 AU 2001266802A1 AU 2001266802 A AU2001266802 A AU 2001266802A AU 6680201 A AU6680201 A AU 6680201A AU 2001266802 A1 AU2001266802 A1 AU 2001266802A1
Authority
AU
Australia
Prior art keywords
automated transaction
compliance processing
transaction compliance
processing
automated
Prior art date
Legal status (The legal status is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the status listed.)
Abandoned
Application number
AU2001266802A
Inventor
Gary Hom
Tanuja Prasad
Hans-Linhard Reich
Current Assignee (The listed assignees may be inaccurate. Google has not performed a legal analysis and makes no representation or warranty as to the accuracy of the list.)
Goldman Sachs and Co LLC
Original Assignee
Goldman Sachs and Co LLC
Priority date (The priority date is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the date listed.)
Filing date
Publication date
Application filed by Goldman Sachs and Co LLC filed Critical Goldman Sachs and Co LLC
Publication of AU2001266802A1 publication Critical patent/AU2001266802A1/en
Abandoned legal-status Critical Current

Links

Classifications

    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • G06Q40/04—Trading; Exchange, e.g. stocks, commodities, derivatives or currency exchange
    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q30/00—Commerce
    • G06Q30/02—Marketing; Price estimation or determination; Fundraising
    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q30/00—Commerce
    • G06Q30/06—Buying, selling or leasing transactions
    • G06Q30/0601—Electronic shopping [e-shopping]
    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • G06Q40/03—Credit; Loans; Processing thereof

Landscapes

  • Business, Economics & Management (AREA)
  • Accounting & Taxation (AREA)
  • Finance (AREA)
  • Engineering & Computer Science (AREA)
  • Strategic Management (AREA)
  • Development Economics (AREA)
  • General Business, Economics & Management (AREA)
  • Physics & Mathematics (AREA)
  • Marketing (AREA)
  • General Physics & Mathematics (AREA)
  • Economics (AREA)
  • Theoretical Computer Science (AREA)
  • Technology Law (AREA)
  • Entrepreneurship & Innovation (AREA)
  • Game Theory and Decision Science (AREA)
  • Financial Or Insurance-Related Operations Such As Payment And Settlement (AREA)
AU2001266802A 2000-06-08 2001-06-08 Method and system for automated transaction compliance processing Abandoned AU2001266802A1 (en)

Applications Claiming Priority (3)

Application Number Priority Date Filing Date Title
US21043100P 2000-06-08 2000-06-08
US60210431 2000-06-08
PCT/US2001/018654 WO2001095225A1 (en) 2000-06-08 2001-06-08 Method and system for automated transaction compliance processing

Publications (1)

Publication Number Publication Date
AU2001266802A1 true AU2001266802A1 (en) 2001-12-17

Family

ID=22782881

Family Applications (1)

Application Number Title Priority Date Filing Date
AU2001266802A Abandoned AU2001266802A1 (en) 2000-06-08 2001-06-08 Method and system for automated transaction compliance processing

Country Status (3)

Country Link
US (4) US7873560B2 (en)
AU (1) AU2001266802A1 (en)
WO (1) WO2001095225A1 (en)

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US8041624B2 (en) 2002-09-18 2011-10-18 Goldman Sachs & Co. Method and apparatus for monitoring and evaluating limit order trading
US7657474B1 (en) 2003-03-04 2010-02-02 Mantas, Inc. Method and system for the detection of trading compliance violations for fixed income securities
US7979334B2 (en) * 2003-09-08 2011-07-12 Blackrock, Inc. System and method for determining the buying power of an investment portfolio
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US20060184444A1 (en) * 2005-02-11 2006-08-17 Mcconaughy Jon Trading tool to enhance stock and commodity index execution
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US20070083452A1 (en) * 2005-10-07 2007-04-12 Jan Mayle Securities trade monitoring and evaluation system
US20070214491A1 (en) * 2006-03-07 2007-09-13 Shield Security Systems, L.L.C. Interactive security control system and method with automated order submission and approval process
US7805348B2 (en) * 2006-03-31 2010-09-28 Checkfree Corporation Systems and methods enabling investment activities via the creation and use of client-specific security files
US7809632B2 (en) 2006-04-12 2010-10-05 Uat, Inc. System and method for assigning responsibility for trade order execution
US7685057B2 (en) * 2006-04-12 2010-03-23 Uat, Inc. System and method for facilitating unified trading and control for a sponsoring organization's money management process
US8224758B2 (en) * 2006-10-30 2012-07-17 Sap Ag Systems and methods for managing the transportation of dangerous materials
US8156022B2 (en) 2007-02-12 2012-04-10 Pricelock, Inc. Method and system for providing price protection for commodity purchasing through price protection contracts
WO2008100902A1 (en) 2007-02-12 2008-08-21 Pricelock, Inc. System and method for estimating forward retail commodity price within a geographic boundary
WO2008124712A1 (en) 2007-04-09 2008-10-16 Pricelock, Inc. System and method for constraining depletion amount in a defined time frame
US7945500B2 (en) 2007-04-09 2011-05-17 Pricelock, Inc. System and method for providing an insurance premium for price protection
US8983857B2 (en) * 2008-01-28 2015-03-17 Blake Johnson Managing operational activities when contingent performance deliverables are in place
US20090192858A1 (en) * 2008-01-28 2009-07-30 Blake Johnson Coordination And Management Of Operational Activities Subject to Uncertainty
US8160952B1 (en) 2008-02-12 2012-04-17 Pricelock, Inc. Method and system for providing price protection related to the purchase of a commodity
US8010450B2 (en) * 2008-05-19 2011-08-30 GE Corporate Finanical Services, Inc. Systems and methods for processing commercial financial transactions
US8332299B1 (en) * 2008-12-19 2012-12-11 Wells Fargo Bank, N.A. Investment policy tool
US8447687B2 (en) * 2009-03-30 2013-05-21 Albert OGRODSKI Method and system for centralized identity and account controls
US8271366B2 (en) * 2009-05-15 2012-09-18 Itg Software Solutions, Inc. System and method for providing high performance compliance services using pre-calculated rule evaluation
US8791787B2 (en) * 2009-12-11 2014-07-29 Sony Corporation User personalization with bezel-displayed identification
US20110238465A1 (en) * 2010-03-25 2011-09-29 Leesa Shapiro Willet System for Controlling Card Transactions
US9547874B2 (en) * 2010-06-29 2017-01-17 Victor Gorelik Method, language, and system for parallel algorithmic trading and overseeing trading activity
US8494997B2 (en) 2010-07-20 2013-07-23 Samuel W. Bellamy, III System and method for validation of transaction data
US9501795B1 (en) 2010-08-23 2016-11-22 Seth Gregory Friedman Validating an electronic order transmitted over a network between a client server and an exchange server with a hardware device
US20120179558A1 (en) * 2010-11-02 2012-07-12 Mark Noyes Fischer System and Method for Enhancing Electronic Transactions
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US9578030B2 (en) 2011-02-07 2017-02-21 Tufin Software Technologies Ltd. Method and system for analyzing security ruleset by generating a logically equivalent security rule-set
US8806569B2 (en) * 2011-02-07 2014-08-12 Tufin Software Technologies Ltd. Method and system for analyzing security ruleset by generating a logically equivalent security rule-set
US20120233051A1 (en) * 2011-03-11 2012-09-13 Bionic Trader Systems, LLC System and method for managing risk in a trading environment
US20120233050A1 (en) * 2011-03-11 2012-09-13 Bionic Trader Systems, LLC System and method for managing risk in a trading environment
US20120233049A1 (en) * 2011-03-11 2012-09-13 Bionic Trader Systems, LLC System and method for managing risk in a trading environment
EP2825985A4 (en) * 2012-03-16 2015-11-18 Thomson Reuters Glo Resources System and method for automated compliance verification
US10482396B2 (en) 2012-03-16 2019-11-19 Refinitiv Us Organization Llc System and method for automated compliance verification
US10395185B2 (en) 2012-03-16 2019-08-27 Refinitiv Us Organization Llc System and method for verified compliance implementation
US8868459B2 (en) * 2012-06-18 2014-10-21 Exago Ventures, S.A. System and method for adjusting asset value and availability in data records for mitigating speculative trading in a prediction market
US20140067602A1 (en) * 2012-08-30 2014-03-06 Bank Of America Corporation Sanctions Screening
US10565315B2 (en) 2012-09-28 2020-02-18 Cerner Innovation, Inc. Automated mapping of service codes in healthcare systems
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US20140280377A1 (en) * 2013-03-14 2014-09-18 Scribestar Ltd. Systems and methods for collaborative document review
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WO2021040462A1 (en) * 2019-08-30 2021-03-04 주식회사 센스톤 Method, program and system for providing virtual corporate card-based financial transaction
US10868707B1 (en) 2019-09-16 2020-12-15 Liquid-Markets-Holdings, Incorporated Zero-latency message processing with validity checks
US11409946B2 (en) 2020-03-27 2022-08-09 Imp Partners Llc System and method for linking financial management accounts to source compliance documentation
US11030565B1 (en) 2020-05-18 2021-06-08 Grant Thornton Llp System and method for audit report generation from structured data
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Also Published As

Publication number Publication date
WO2001095225A1 (en) 2001-12-13
US20140207643A1 (en) 2014-07-24
US20110282771A1 (en) 2011-11-17
US7873560B2 (en) 2011-01-18
US20020059107A1 (en) 2002-05-16
US8244614B2 (en) 2012-08-14
US8595125B2 (en) 2013-11-26
US20120310815A1 (en) 2012-12-06

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