Obtaining consent for electronic delivery of compliance information

• US 20070226101A1
• Filed: 05/21/2007
• Published: 09/27/2007
• Est. Priority Date: 02/12/1998
• Status: Abandoned Application

• Current Assignee: Newriver Incorporated (Broadridge Financial Solutions Incorporated)
• Original Assignee: Newriver Incorporated (Broadridge Financial Solutions Incorporated)
• Inventors: Fein, Robert, Burakoff, Stephen, Simmel, Sergiu
• Application Number:
  US11/804,783
• Publication Number:
  US 20070226101A1
• 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 delivery of information in electronic form, the method comprising:

sending a computer readable message notifying an entity of the availability of information in electronic form;

allowing the entity to indicate the entity'"'"'s level of consent to viewing information in electronic form.

2. The method of claim 1 wherein the sending occurs over a computer communications link.

3. The method of claim 1 further comprising enabling the delivery of information in electronic form.

4. The method of claim 3 wherein enabling the delivery of information in electronic form comprises providing instructions for obtaining the information.

5. The system of claim 4 wherein enabling the delivery of information in electronic form comprises sending the information.

6. The method of claim 3 wherein enabling the delivery of information in electronic form comprises providing an address on the World Wide Web where the information is located.

7. The method of claim 3 wherein the delivery of information in electronic form is enabled for delivery to the entity.

8. The method of claim 1 wherein the level of consent is determined through an affirmative action from the entity.

9. The method of claim 1 wherein the computer readable message is contained on a portable computer readable device.

10. The method of any of claims 1-9 wherein the information is sensitive information.

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

12. The method of claim 1 further comprising storing a record of the entity'"'"'s level of consent.