Method for creating and delivering customized compliance information
First Claim
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1. At least one computer-readable tangible medium having software instructions encoded thereon which, when executed, cause at least one computer to perform a method for providing securities information to a user, the method comprising:
- obtaining user information comprising one or more of contact information for the user, an identification of at least one security owned by the user, display preference information for the user and delivery preference information for the user;
obtaining securities information relating to a plurality of securities, a first subset of the plurality of securities being the at least one security owned by the user;
in response to at least one event comprising a time event, transfer event, market event and/or change in securities information relating to one or more of the first subset of the plurality of securities, identifying, based on the user information, a portion of the securities information to deliver to the user, the identified portion relating to at least the one or more of the first subset of the plurality of securities;
customizing, based on one or more of the contact information for the user, identification of the at least one security owned by the user, display preference information for the user or delivery preference information for the user, the identified portion of securities information; and
causing the customized portion of securities information to be sent to the user.
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Abstract
A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.
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Citations
34 Claims
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1. At least one computer-readable tangible medium having software instructions encoded thereon which, when executed, cause at least one computer to perform a method for providing securities information to a user, the method comprising:
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obtaining user information comprising one or more of contact information for the user, an identification of at least one security owned by the user, display preference information for the user and delivery preference information for the user; obtaining securities information relating to a plurality of securities, a first subset of the plurality of securities being the at least one security owned by the user; in response to at least one event comprising a time event, transfer event, market event and/or change in securities information relating to one or more of the first subset of the plurality of securities, identifying, based on the user information, a portion of the securities information to deliver to the user, the identified portion relating to at least the one or more of the first subset of the plurality of securities; customizing, based on one or more of the contact information for the user, identification of the at least one security owned by the user, display preference information for the user or delivery preference information for the user, the identified portion of securities information; and causing the customized portion of securities information to be sent to the user. - View Dependent Claims (2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17)
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18. A system, comprising:
at least one processor programmed to; obtain user information comprising one or more of contact information for the user, an identification of at least one security owned by the user, display preference information for the user and delivery preference information for the user; obtain securities information relating to a plurality of securities, a first subset of the plurality of securities being the at least one security owned by the user; in response to at least one event comprising a time event, transfer event, market event and/or change in securities information relating to the one or more of the first subset of the plurality of securities, identify, based on the user information, a portion of the securities information to deliver to the user, the identified portion relating to at least the one or more of the first subset of the plurality of securities; customize, based on one or more of the contact information for the user, identification of the at least one security owned by the user, display preference information for the user or delivery preference information for the user, the identified portion of securities information; and cause the customized portion of securities information to be sent to the user. - View Dependent Claims (19, 20, 21, 22, 23, 24, 25, 26, 27, 28, 29, 30, 31, 32, 33, 34)
Specification