Trade surveillance and monitoring systems and/or methods
First Claim
Patent Images
1. A surveillance system, comprising:
- processing resources including at least one processor;
a first interface over which quantified representations of inferred emotional states of one or more individuals are electronically receivable; and
a second interface over which representations of activities undertaken by one or more individuals are electronically receivable;
wherein the processing resources are configured to at least;
dynamically perform a set of first pre-programmed scenarios in real-time as events continue to stream into the system via the first and second interfaces to determine whether an incident might be occurring or might have occurred, each said first scenario being implemented as a computer-executable logic sequence that takes into account at least an aspect of a representation of an activity or an aspect of a representation of an inferred emotional state, at least one of said first scenarios taking into account both an aspect of a representation of an activity undertaken by at least one given individual and an aspect of a representation of an inferred emotional state of the at least one given individual, performance of the first scenarios assigning scores to incidents;
in response to a determination that a given incident might be occurring or might have occurred with a likelihood greater than a predetermined threshold;
add a record of the given incident to a queue of incidents, wherein records are added into the queue of incidents so as to be ordered by score; and
transmit a signal to a computing system monitored by and external to the surveillance system to cause the computing system to at least temporarily halt an electronically-mediated action that is related to the incident and being undertaken by the computing system before that action can be completed; and
perform, for those incidents having records in the queue of incidents and in an order defined by the queue of incidents, a set of second pre-programmed scenarios to determine with greater certainty whether those incidents might be occurring or might have occurred, each said second scenario being implemented as a computer-executable logic sequence, the first and second scenarios being stored to a data store and being different from one another;
wherein aspects of representations of inferred emotional states include (a) quantifications of perceived subjective emotional feelings including happiness, sadness, anger, shock, or agitation themselves;
or (b) results from computations applied thereto; and
wherein computations applicable to representations of inferred emotional states in determining aspects thereof include aggregation calculations that include aspects of representations of two or more inferred emotional states.
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Abstract
Certain example embodiments relate to trade surveillance and monitoring systems and/or methods that take into account both subjective physical trader emotional attributes, and objective activity measures (e.g., trading activity, financial market activity, etc.). Detect scenarios (which may be thought of as logical sequences that define types or patterns used in detecting unwanted incidents) and context scenarios (which may be thought of as logical sequences that help provide additional context in the investigation stage of an incident) may be defined to take into account such information and be used in these and/or regards.
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Citations
24 Claims
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1. A surveillance system, comprising:
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processing resources including at least one processor; a first interface over which quantified representations of inferred emotional states of one or more individuals are electronically receivable; and a second interface over which representations of activities undertaken by one or more individuals are electronically receivable; wherein the processing resources are configured to at least; dynamically perform a set of first pre-programmed scenarios in real-time as events continue to stream into the system via the first and second interfaces to determine whether an incident might be occurring or might have occurred, each said first scenario being implemented as a computer-executable logic sequence that takes into account at least an aspect of a representation of an activity or an aspect of a representation of an inferred emotional state, at least one of said first scenarios taking into account both an aspect of a representation of an activity undertaken by at least one given individual and an aspect of a representation of an inferred emotional state of the at least one given individual, performance of the first scenarios assigning scores to incidents; in response to a determination that a given incident might be occurring or might have occurred with a likelihood greater than a predetermined threshold; add a record of the given incident to a queue of incidents, wherein records are added into the queue of incidents so as to be ordered by score; and transmit a signal to a computing system monitored by and external to the surveillance system to cause the computing system to at least temporarily halt an electronically-mediated action that is related to the incident and being undertaken by the computing system before that action can be completed; and perform, for those incidents having records in the queue of incidents and in an order defined by the queue of incidents, a set of second pre-programmed scenarios to determine with greater certainty whether those incidents might be occurring or might have occurred, each said second scenario being implemented as a computer-executable logic sequence, the first and second scenarios being stored to a data store and being different from one another; wherein aspects of representations of inferred emotional states include (a) quantifications of perceived subjective emotional feelings including happiness, sadness, anger, shock, or agitation themselves;
or (b) results from computations applied thereto; andwherein computations applicable to representations of inferred emotional states in determining aspects thereof include aggregation calculations that include aspects of representations of two or more inferred emotional states. - View Dependent Claims (2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14)
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15. A method of conducting surveillance in connection with a computer system that monitors trades made by individuals in connection with at least one market, the method comprising:
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receiving, over a first electronic interface of the computer system, quantified representations of inferred emotional states of one or more of the individuals; receiving, over a second electronic interface of the computer system, representations of activities undertaken by one or more of the individuals; dynamically performing, using at least one processor, a set of first predefined scenarios in real-time as events continue to stream in to the computer system via the first and second interfaces, to determine whether an illicit incident might be occurring or might have occurred in connection with the trades, each said first scenario being representable as program logic that includes at least an aspect of a representation of an activity or an aspect of a representation of an inferred emotional state, at least one of said first scenarios including both an aspect of a representation of an activity undertaken by at least one given individual and an aspect of a representation of an inferred emotional state of the at least one given individual, the first scenarios being stored to a non-transitory computer readable storage medium, performance of the first scenarios assigning scores to illicit incidents; in response to a determination that a given illicit incident might be occurring or might have occurred with a likelihood greater than a predetermined threshold; adding a record of the given illicit incident to a queue of illicit incidents, wherein records are added into the queue of illicit incidents so as to be ordered by score; and transmitting a signal, using the at least one processor, to at least temporarily halt an electronically-mediated action that is related to the illicit incident and currently being undertaken by a computing device monitored by and external to the computer system before that action can be completed; and performing, for those illicit incidents having records in the queue of illicit incidents and in an order defined by the queue of illicit incidents, using the at least one processor, a set of second predefined scenarios to determine with greater certainty whether those given illicit incidents might be occurring or might have occurred, each said second scenario being representable as program logic, the first and second scenarios being different from one another; wherein aspects of representations of inferred emotional states include (a) quantifications of perceived subjective emotional feelings including happiness, sadness, anger, shock, or agitation themselves;
or (b) results from computations applied thereto; andwherein computations applicable to representations of inferred emotional states in determining aspects thereof include aggregation calculations that include aspects of representations of two or more inferred emotional states. - View Dependent Claims (16, 17, 18, 19, 20, 21, 22, 23)
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24. A non-transitory computer readable storage medium tangibly storing instructions that, when executed, perform surveillance in connection with a computer system that monitors trades made by individuals in connection with at least one market by at least:
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enabling reception, over a first electronic interface of the computer system, of quantified representations of inferred emotional states of one or more of the individuals; enabling reception, over a second electronic interface of the computer system, of representations of activities undertaken by one or more of the individuals; dynamically performing a set of first predefined scenarios in real-time as events continue to stream in to the computer system via the first and second interfaces, to determine whether an illicit incident might be occurring or might have occurred in connection with the trades, each said first scenario being representable as computer-executable program logic that includes at least an aspect of a representation of an activity or an aspect of a representation of an inferred emotional state, at least one of said first scenarios including both an aspect of a representation of an activity undertaken by at least one given individual and an aspect of a representation of an inferred emotional state of the at least one given individual; in response to a determination that a given illicit incident might be occurring or might have occurred with a likelihood greater than a predetermined threshold; adding a record of the given illicit incident to a queue of illicit incidents, wherein the queue of illicit incidents is operated as a priority queue, and wherein records are added into the queue of illicit incidents based on severity or likelihood values associated therewith; and transmitting an interrupt signal to at least temporarily halt an action that is related to the given illicit incident and is being executed by a separate computer system before it can be completed, in response to a determination that the given illicit incident might be occurring or might have occurred with certainty greater than a predefined threshold; and performing, for those illicit incidents having records in the queue of illicit incidents and in an order defined by the queue of illicit incidents, a set of second predefined scenarios to determine with greater certainty whether those given illicit incidents might be occurring or might have occurred, each said second scenario being representable as computer-executable program logic, the first and second scenarios being different from one another; wherein aspects of representations of inferred emotional states include (a) quantifications of perceived subjective emotional feelings including happiness, sadness, anger, shock, or agitation themselves;
or (b) results from computations applied thereto; andwherein computations applicable to representations of inferred emotional states in determining aspects thereof include aggregation calculations that include aspects of representations of two or more inferred emotional states.
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Specification