发明授权
- 专利标题: System and method providing for regulatory compliance
- 专利标题(中): 提供法规符合性的系统和方法
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申请号: US11586222申请日: 2006-10-25
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公开(公告)号: US08799243B1公开(公告)日: 2014-08-05
- 发明人: Bari Havlik
- 申请人: Bari Havlik
- 申请人地址: US CA San Francisco
- 专利权人: Charles Schwab & Co., Inc.
- 当前专利权人: Charles Schwab & Co., Inc.
- 当前专利权人地址: US CA San Francisco
- 代理机构: Kilpatrick Townsend & Stockton LLP
- 主分类号: G06F7/00
- IPC分类号: G06F7/00 ; G06F17/00
摘要:
A system and method providing which provides compliance tracking in a regulated organization. A plurality of users having different positions and roles in an organization are provided with different levels of access to the compliance system, and all regulatory compliance related licensing information is processed through a common compliance engine. The compliance engine operates to monitor the regulatory compliance licensing activities of licensed individuals within the organization. Compliance administrators are provided with a level access to the system which allows the compliance administrator to run searches and generate reports which show the state of various regulatory compliance licensing processes within the organization. Supervisors are provided with a level of access which allows the supervisor to review compliance regulatory licensing activities and tasks for employees they supervise. Customer representatives are able to review their own regulatory compliance information and tasks. The system and method further provide for monitoring the status of various regulatory compliance licensing activities, and operate to automatically generate emails prompting individuals in the organization to undertake necessary regulatory compliance licensing activities.
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