Obtaining consent for electronic delivery of compliance information

• US 7,885,873 B2
• Filed: 05/21/2007
• Issued: 02/08/2011
• Est. Priority Date: 02/12/1998
• Status: Expired due to Fees

• Current Assignee: Broadridge Investor Communication Solutions, Inc. (Broadridge Financial Solutions Incorporated)
• Original Assignee: Broadridge Investor Communication Solutions, Inc. (Broadridge Financial Solutions Incorporated)
• Inventors: Burakoff, Stephen V., Fein, Robert A., Simmel, Sergiu S.
• Primary Examiner(s): APPLE, KIRSTEN SACHWITZ
• Application Number:
  US11/804,784
• Publication Number:
  US 20070219888A1
• Time in Patent Office: 1,359 Days
• Field of Search: 705/35, 283/17
• US Class Current: 705/35
• 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 sharing compliance information data stored in a compliance information database, the system comprising:

a database server system operative to;

receive an access instruction message;

determine a specific compliance information record and destination address from the access instruction message, the compliance information record being associated with one or more items of compliance information, each item of the one or more items of compliance information being subject to a legal requirement specifying obtainment of consent of a recipient to delivery of the item of compliance information to the recipient in electronic form;

create a hyperlink pointing to the specific compliance information record in the compliance information database;

obtain consent to electronic delivery of the one or more items of compliance information associated with the specific compliance information record, the obtainment of consent being unrelated to security authorization or identification; and

upon obtaining consent, send the hyperlink to the destination address.

2. The system of claim 1, wherein a first client system sends the access instruction message to the database server system over the Internet.

3. The system of claim 2, wherein the first client system sends the access instruction message to the database server system over an intranet.