Obtaining consent for electronic delivery of compliance information

• US 20070226100A1
• Filed: 05/21/2007
• Published: 09/27/2007
• Est. Priority Date: 02/12/1998
• Status: Active Grant

• Current Assignee: Broadridge Investor Communication Solutions, Inc. (Broadridge Financial Solutions Incorporated)
• Original Assignee: Newriver Incorporated (Broadridge Financial Solutions Incorporated)
• Inventors: Fein, Robert, Burakoff, Stephen, Simmel, Sergiu
• Granted Patent: US 7,890,399 B2
• Time in Patent Office: Days
• US Class Current: 705/35
• CPC Class Codes: G06F 21/606 by securing the transmission between two devices or processes
• CPC Class Codes: G06F 21/6209 to a single file or object, e.g. in a secure envelope, encrypted and accessed using a key, or with access control rules appended to the object itself
• CPC Class Codes: G06F 21/6245 Protecting personal data, e.g. for financial or medical purposes
• CPC Class Codes: G06F 40/134 Hyperlinking
• CPC Class Codes: G06Q 10/107 Computer-aided management of electronic mailing [e-mailing]
• CPC Class Codes: G06Q 20/40 Authorisation, e.g. identification of payer or payee, verification of customer or shop credentials; Review and approval of payers, e.g. check credit lines or negative lists
• CPC Class Codes: G06Q 30/018 Certifying business or products
• CPC Class Codes: G06Q 40/00 Finance; Insurance; Tax strategies; Processing of corporate or income taxes
• CPC Class Codes: G06Q 40/02 Banking, e.g. interest calculation or account maintenance credit or loans G06Q40/03
• CPC Class Codes: G06Q 40/03 Credit; Loans; Processing thereof
• CPC Class Codes: G06Q 40/04 Trading; Exchange, e.g. stocks, commodities, derivatives or currency exchange
• CPC Class Codes: G06Q 40/06 Asset management; Financial planning or analysis
• CPC Class Codes: G06Q 99/00 Subject matter not provided for in other groups of this subclass
• CPC Class Codes: H04L 51/18 Commands or executable codes

Abstract

A method and related system obtains consent from an individual for computer-aided delivery of compliance information. Initially, a computer-readable data storage device is provided to the individual. The device stores the compliance information and computer-executable instructions. By inserting the device into a computer, the instructions are executed and the individual is prompted by the computer to consent to the computer-aided delivery of additional compliance information. Once consent is indicated, it is communicated from the individual'"'"'s computer to another computer such as a server over, for example, a modem connection. Having secured the individual'"'"'s consent, the additional compliance information can be delivered to the individual'"'"'s computer as, for example, a file attachment to an email message.

Claims

1. A method for obtaining consent for computer-aided delivery of information, the method comprising:

providing, to an individual, information relating to consent to computer-aided delivery of information to the individual;

prompting the individual to consent to the computer-aided delivery of information; and

communicating the individual'"'"'s consent to a computer.

2. The method of claim 1 further comprising delivering a notification to the individual about the information.

3. The method of claim 2 wherein the notification comprises an identification of the location of the additional information.

4. The method of claim 2 wherein the notification comprises an address of a site on the World Wide Web where the additional information is located.

5. The method of claim 2 wherein the notification comprises instructions on accessing the information with the assistance of a computer.

6. The method of claim 1 further comprising storing the communicated consent.

7. The method of claim 1 further comprising sending the individual the information via computer-aided delivery.

8. The method of claim 1, 2, 3, 4 or 5 wherein the delivery occurs over a computer communications link.

9. The method of claim 7 wherein the sending occurs over a computer communications link.

10. The method of claim 1, 2, 3, 4, 5, 6 or 7 wherein the additional information is sensitive information.

11. The method of claim 10 wherein the additional information is compliance information.