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Global compliance system

  • US 20020169774A1
  • Filed: 03/04/2002
  • Published: 11/14/2002
  • Est. Priority Date: 05/10/2001
  • Status: Active Grant
First Claim
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1. A system for implementing a compliance program in a financial institution, comprising;

  • a list database for storing material information regarding a plurality of entities that is known to said financial institution;

    a list manager, said list manager receiving a compliance query from an affiliate of the financial institution having a status, said list manager providing a compliance response to said affiliate based on said plurality of entities and according to said status of said affiliate.

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