SYSTEMS AND METHODS FOR CLIENT SCREENING IN THE FINANCIAL SERVICES INDUSTRY
First Claim
1. A system for screening clients for security compliance, the system comprising:
- a client screening engine adapted to filter client account data based on one or more filtering criteria;
a database adapted to store client account information and verification status information; and
a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen.
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Accused Products
Abstract
Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.
3 Citations
20 Claims
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1. A system for screening clients for security compliance, the system comprising:
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a client screening engine adapted to filter client account data based on one or more filtering criteria; a database adapted to store client account information and verification status information; and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. - View Dependent Claims (2, 3, 4, 5, 6, 7, 8, 9, 10)
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11. A method of screening clients for security compliance, the method comprising the steps of:
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initiating a client screening request and receiving client account data for one or more new or existing clients from an account custodian; associating the account data received from the account custodian with a unique client identification tag for each client; identifying for each client whether the client'"'"'s identification has been previously verified; filtering the client account data received from the account custodian based on one or more filtering criteria and outputting a filtered subset of the client account data for review by a user; outputting customer identifying information of only unverified clients to a customer identification program vendor for verification of each client'"'"'s identity; receiving the verification status of each submitted client from the customer identification program vendor; and notifying the user of the verification status of one or more submitted clients. - View Dependent Claims (12, 13, 14, 15, 16, 17, 18, 19, 20)
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Specification