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SYSTEM AND METHOD FOR AUTOMATING FINANCIAL DOCUMENT COMPLIANCE

  • US 20070239544A1
  • Filed: 05/25/2007
  • Published: 10/11/2007
  • Est. Priority Date: 06/10/1996
  • Status: Active Grant
First Claim
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1. A method of preparing personalized communication documents for a plurality of clients, the method comprising:

  • a) providing information concerning a set of financial product and/or financial services for the personalized communication documents;

    b) automatically determining variable compliance and/or regulatory information associated with said set of financial products and/or financial services to be offered to said plurality of clients;

    c) automatically preparing a personalized communication document for each client with a computing system, said personalized communication document comprising personalized content for said consumer entity relating to an offering for one or more financial products and/or services;

    wherein said personalized content includes said variable compliance and/or regulatory information associated with one or more jurisdictions, such that said computing system can generate automatically and without human intervention successive personalized communication documents which can include different compliance and/or regulatory information based on a financial product and/or financial service identified in the personalized communication documents and/or requirements of respective jurisdictions associated with recipients of such successive customized communication documents;

    d) delivering each personalized communication document to a respective one of the plurality of clients.

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