Obtaining consent for electronic delivery of compliance information

• US 20070250340A1
• Filed: 05/21/2007
• Published: 10/25/2007
• 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:
  US11/804,872
• Publication Number:
  US 20070250340A1
• Time in Patent Office: Days
• US Class Current: 709/206
• 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 system for obtaining consent comprising:

a first computer subsystem programmed to;

send a computer readable message to a second computer; and

receive a computer readable response from the second computer indicating the consent of a user to receive information in electronic form.

2. The system of claim 1 wherein the first computer subsystem is further programmed to receive the consent.

3. The system of claim 2 wherein the consent is received over a computer communications link.

4. The system of claim 1 wherein the first computer subsystem is further programmed to store the consent.

5. The system of claim 1 wherein the first computer subsystem is further programmed to enable the delivery of information in electronic form.

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

7. The system of claim 5 wherein enabling the delivery of information in electronic form comprises providing instructions for obtaining the information.

8. The system of claim 5 wherein enabling the delivery of information in electronic form comprises providing an address on the World Wide Web where the information is located.

9. The system of claim 5 wherein the delivery of information in electronic form is enabled for delivery.

10. The system of claim 1 wherein the consent is deemed given after an affirmative action from the user.

11. The system of any of claims 1-10 wherein the information is sensitive information.

12. The system of claim 11 wherein the information is compliance information.

13. The system of claims 1, 2, 4, or 5 wherein the first computer subsystem s a single computer.