Compliance rules analytics engine
First Claim
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1. A system comprising:
- a compliance server for operation on at least one processor and configured to execute a compliance analytics engine (CAE), said CAE comprising;
a listener operative to receive an electronic request from a management system to evaluate compliance of an action,a data sensor API operative to access executable rules maintained in a repository, the executable rules being translated from an object model, the object model being converted from natural language rules,a rules.NET engine operative to communicate with the data sensor API to access the executable rules and operative to evaluate the compliance of the action based on, at least in part, the executable rules, the evaluation being performed using, at least in part, a RETE-based process, and the rules.NET engine further operative to generate exception data including data for one or more violations of the rules based upon the evaluation, andan exception API operative to communicate with the rules.NET engine and with a database, the database capable of storing the exception by accessing the exception data through the exception API.
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Abstract
The present invention relates to compliance rules analytics systems and methods for facilitating compliance, such as the compliance of an investment portfolio or a set of investment portfolios, with a rule or a set of rules.
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Citations
7 Claims
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1. A system comprising:
a compliance server for operation on at least one processor and configured to execute a compliance analytics engine (CAE), said CAE comprising; a listener operative to receive an electronic request from a management system to evaluate compliance of an action, a data sensor API operative to access executable rules maintained in a repository, the executable rules being translated from an object model, the object model being converted from natural language rules, a rules.NET engine operative to communicate with the data sensor API to access the executable rules and operative to evaluate the compliance of the action based on, at least in part, the executable rules, the evaluation being performed using, at least in part, a RETE-based process, and the rules.NET engine further operative to generate exception data including data for one or more violations of the rules based upon the evaluation, and an exception API operative to communicate with the rules.NET engine and with a database, the database capable of storing the exception by accessing the exception data through the exception API. - View Dependent Claims (2, 3, 4, 5, 6, 7)
Specification