Systems and methods for facilitating fulfillment of regulatory requirements

• US 20030204422A1
• Filed: 04/30/2002
• Published: 10/30/2003
• Est. Priority Date: 04/30/2002
• Status: Abandoned Application

• Current Assignee: Goldman Sachs & Co. LLC (Goldman Sachs Group Incorporated)
• Original Assignee: Goldman Sachs & Co. LLC (Goldman Sachs Group Incorporated)
• Inventors: Reich, Hans-Linhard
• Application Number:
  US10/135,621
• Publication Number:
  US 20030204422A1
• Time in Patent Office: Days
• US Class Current: 705/7
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling
• CPC Class Codes: G06Q 10/06311 Scheduling, planning or task assignment for a person or group
• CPC Class Codes: G06Q 10/06395 Quality analysis or management
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

Systems and methods are provided to facilitate the fulfillment of regulatory requirements. According to some embodiments, information associated with a user is determined, one or more regulatory requirements are determined based at least on the information, one or more unfulfilled regulatory requirements of the one or more regulatory requirements are determined based at least on the information, and an indication of the one or more unfulfilled regulatory requirements is presented to the user.

Claims

1. A method comprising:

determining information associated with a user;

determining one or more regulatory requirements based at least on the information;

determining one or more unfulfilled regulatory requirements of the one or more regulatory requirements based at least on the information; and

presenting an indication of the one or more unfulfilled regulatory requirements to the user.

2. A method according to claim 1, further comprising:

receiving a request from the user for the indication of the one or more unfulfilled regulatory requirements.

3. A method according to claim 1, wherein the step of determining the one or more regulatory requirements comprises determining the one or more regulatory requirements based at least on a corporate position associated with the user.

4. A method according to claim 3, further comprising:

updating the corporate position associated with the user;

in response to the updating step, determining another one or more regulatory requirements based at least on the updated corporate position, the another one or more regulatory requirements being identical to, completely different from, or partially different from the one or more regulatory requirements; and

presenting an indication of another one or more regulatory requirements to the user.

5. A method according to claim 1, wherein the step of determining the one or more regulatory requirements comprises determining the one or more regulatory requirements based at least on job activities associated with the user.

6. A method according to claim 5, further comprising:

updating the job activities associated with the user;

in response to the updating step, determining another one or more regulatory requirements based at least on the updated job activities, the another one or more regulatory requirements being identical to, completely different from, or partially different from the one or more regulatory requirements; and

presenting an indication of another one or more regulatory requirements to the user.

7. A method according to claim 1, wherein the step of determining the one or more regulatory requirements comprises determining the one or more regulatory requirements based at least on a location associated with the user.

8. A method according to claim 7, further comprising:

updating the location associated with the user;

in response to the updating step, determining another one or more regulatory requirements based at least on the updated location, the another one or more regulatory requirements being identical to, completely different from, or partially different from the one or more regulatory requirements; and

presenting an indication of another one or more regulatory requirements to the user.

9. A method according to claim 1, wherein the step of determining the one or more regulatory requirements comprises determining the one or more regulatory requirements based at least on completed fulfillment activities associated with user.

10. A method according to claim 1, further comprising:

determining fulfillment activities usable to fulfill one or more of the one or more unfulfilled regulatory requirements; and

presenting the determined fulfillment activities to the user.

11. A method according to claim 10, wherein the step of determining fulfillment activities comprises:

querying a device operated by a fulfillment provider for fulfillment activities usable to fulfill one or more of the one or more unfulfilled regulatory requirements.

12. A method according to claim 10, wherein the step of determining fulfillment activities comprises:

identifying fulfillment activities associated with the one or more unfulfilled regulatory requirements based on a stored data structure associating fulfillment activities with regulatory requirements.

13. A method according to claim 1, wherein the step of determining regulatory requirements comprises:

querying a device operating by a regulatory agency.

14. A method according to claim 1, wherein the steps of the method are performed in response to detection of a triggering event.

15. A method according to claim 14, wherein detection of the triggering event comprises:

detecting an elapsed time period.

16. A method according to claim 14, wherein detection of the triggering event comprises:

detecting a regulatory requirement update.

17. A method according to claim 14, wherein detection of the triggering event comprises:

detecting completion of a fulfillment activity.

18. A method according to claim 17, wherein the step of detecting completion of a fulfillment activity comprises:

receiving an indication of completion of the fulfillment activity from a fulfillment provider.

19. A method according to claim 1, wherein one or more of the one or more regulatory requirements comprise requirements of a company employing the user.

20. A user interface for determining regulatory requirements, comprising:

an identification area for receiving information identifying a user; and

an unfulfilled requirements area for presenting to the user one or more unfulfilled regulatory requirements determined based at least on the user and on fulfillment activity information associated with the user.

21. A user interface according to claim 20, further comprising:

a fulfillment activity input area for receiving the fulfillment activity information from the user.

22. A user interface according to claim 20, further comprising:

an area for presenting fulfillment activities usable to fulfill one or more of the one or more unfulfilled regulatory requirements.

23. A user interface according to claim 20, further comprising:

a fulfillment activity area for presenting the fulfillment activity information to the user.

24. A method comprising:

inputting user information identifying a user;

receiving fulfillment activity information associated with the user; and

receiving unfulfilled regulatory requirements determined based at least on the user information and the fulfillment activity information.

25. A method according to claim 24, further comprising:

receiving regulatory requirements associated with the user, the regulatory requirements determined based at least on the user information.

26. A system comprising:

a user administration server for determining information associated with a user, determining one or more regulatory requirements based at least on the information, for determining one or more unfulfilled regulatory requirements of the one or more regulatory requirements based at least on the information, and for transmitting an indication of the one or more unfulfilled regulatory requirements; and

a user device for receiving the indication of the unfulfilled regulatory requirements, and for presenting the one or more unfulfilled regulatory requirements.

27. A system according to claim 26, further comprising:

a regulatory agency device for transmitting the regulatory requirements to the user administration server.

28. A system according to claim 26, further comprising:

a fulfillment provider device for transmitting fulfillment activities usable to fulfill one or more of the one or more unfulfilled regulatory requirements.

29. A system according to claim 28, wherein the user administration server receives the fulfillment activities usable to fulfill one or more of the unfulfilled regulatory requirements.

30. A system according to claim 26, wherein one or more of the one or more regulatory requirements comprise requirements of a company employing the user.