公开(公告)号：US20140074756A1

公开(公告)日：2014-03-13

申请号：US14082747

申请日：2013-11-18

申请人： UAT, Inc.

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/06

CPC分类号： G06Q40/04 ,  G06Q40/00 ,  G06Q40/025 ,  G06Q40/06 ,  G06Q40/12

摘要： An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.

摘要翻译： 本发明的一个实施例提供了一种系统，方法，过程，软件和标准，其使赞助组织和资产管理者（资金管理者）利用子建议或外部管理的投资组合来统一交易和控制过程，以增加对 赞助机构的交易过程，加强监管合规性，大幅度降低交易成本，并为股东和受益人投资注册和非注册共同基金和机构投资组合的经常性改进投资业绩。

公开(公告)号：US07809632B2

公开(公告)日：2010-10-05

申请号：US12256196

申请日：2008-10-22

申请人： Allan T. Chiulli ,  Tom H. Warren

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04 ,  G06Q40/025 ,  G06Q40/06

摘要： An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

公开(公告)号：US20100138327A1

公开(公告)日：2010-06-03

申请号：US12700218

申请日：2010-02-04

申请人： Allan T. Chiulli ,  Tom H. Warren

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04 ,  G06Q40/00 ,  G06Q40/025 ,  G06Q40/06 ,  G06Q40/12

摘要： An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.

摘要翻译： 本发明的一个实施例提供了一种系统，方法，过程，软件和标准，其使赞助组织和资产管理者（资金管理者）利用子建议或外部管理的投资组合来统一交易和控制过程，以增加对 赞助机构的交易过程，加强监管合规性，大幅度降低交易成本，并为股东和受益人投资注册和非注册共同基金和机构投资组合的经常性改进投资业绩。

公开(公告)号：US08396786B2

公开(公告)日：2013-03-12

申请号：US13292500

申请日：2011-11-09

申请人： Allan T. Chiulli ,  Tom H. Warren

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/00

CPC分类号： G06Q40/00 ,  G06Q30/02 ,  G06Q40/04 ,  G06Q40/06 ,  G06Q40/12

摘要： An embodiment of the present invention provides a system and method for creating an electronic marketplace, utilizing an electronic non-currency unit of exchange, that provides for and facilitates the cost effective exchange of institutional research and trade order execution services between asset management firms and executing brokers in such manner as to substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in mutual funds and other investment portfolios.

摘要翻译： 本发明的一个实施例提供了一种用于创建电子市场的系统和方法，该系统和方法利用电子非货币交换单位，其规定并促进资产管理公司之间的机构研究和交易订单执行服务的成本有效的交换并执行 经纪人以大量降低交易成本，并为投资于共同基金和其他投资组合的股东和受益人经常性改进投资业绩。

公开(公告)号：US20130046675A1

公开(公告)日：2013-02-21

申请号：US13632767

申请日：2012-10-01

申请人： UAT, Inc.

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04 ,  G06Q40/025 ,  G06Q40/06

摘要： An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

摘要翻译： 本发明的实施例提供了一种用于赞助组织的系统和方法：（1）利用基于规则的计算机系统来从子顾问（货币管理公司）捕获交易订单，以便实施贸易合规审查过程 从而使赞助组织能够防止违反证券法和/或账户限制的次级顾问执行交易订单; 和（2）根据贸易订单的预期市场影响来确定和分配买卖证券，执行交易订单的责任（与执行交易订单的何时，何时以及与谁一起执行的决定的酌情权）是 分配给货币管理公司进行投资组合或投资组合的投资组合。 贸易订单实时分类为高触摸（重大的努力和市场影响）或低触摸（无关紧要的努力和市场影响）。

公开(公告)号：US08296222B2

公开(公告)日：2012-10-23

申请号：US13344789

申请日：2012-01-06

申请人： Allan T. Chiulli ,  Tom H. Warren

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04 ,  G06Q40/025 ,  G06Q40/06

摘要： An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

摘要翻译： 本发明的实施例提供了一种用于赞助组织的系统和方法：（1）利用基于规则的计算机系统来从子顾问（货币管理公司）捕获交易订单，以便实施贸易合规审查过程 从而使赞助组织能够防止违反证券法和/或账户限制的次级顾问执行交易订单; 和（2）根据贸易订单的预期市场影响来确定和分配买卖证券，执行交易订单的责任（与执行交易订单的何时，何时以及与谁一起执行的决定的酌情权）是 分配给货币管理公司进行投资组合或投资组合的投资组合。 贸易订单实时分类为高触摸（重大的努力和市场影响）或低触摸（无关紧要的努力和市场影响）。

公开(公告)号：US20110131151A1

公开(公告)日：2011-06-02

申请号：US13020121

申请日：2011-02-03

申请人： Allan T. Chiulli ,  Tom H. Warren

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04 ,  G06Q40/00 ,  G06Q40/025 ,  G06Q40/06 ,  G06Q40/12

摘要： An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.

摘要翻译： 本发明的一个实施例提供了一种系统，方法，过程，软件和标准，其使赞助组织和资产管理者（资金管理者）利用子建议或外部管理的投资组合来统一交易和控制过程，以增加对 赞助机构的交易过程，加强监管合规性，大幅度降低交易成本，并为股东和受益人投资注册和非注册共同基金和机构投资组合的经常性改进投资业绩。

公开(公告)号：US07856396B2

公开(公告)日：2010-12-21

申请号：US12849032

申请日：2010-08-03

申请人： Allan T. Chiulli ,  Tom H. Warren

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04 ,  G06Q40/025 ,  G06Q40/06

摘要： An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

摘要翻译： 本发明的实施例提供了一种用于赞助组织的系统和方法：（1）利用基于规则的计算机系统来从子顾问（货币管理公司）捕获交易订单，以便实施贸易合规审查过程 从而使赞助组织能够防止违反证券法和/或账户限制的次级顾问执行交易订单; 和（2）根据贸易订单的预期市场影响来确定和分配买卖证券，执行交易订单的责任（与执行交易订单的何时，何时以及与谁一起执行的决定的酌情权）是 分配给货币管理公司进行投资组合或投资组合的投资组合。 贸易订单被实时分类为“高触摸”（重大的努力和市场影响）或“低触摸”（微不足道的努力和市场影响）。

公开(公告)号：US20090112775A1

公开(公告)日：2009-04-30

申请号：US12256196

申请日：2008-10-22

申请人： ALLAN T. CHIULLI ,  Tom H. Warren

发明人： ALLAN T. CHIULLI ,  Tom H. Warren

IPC分类号： G06Q40/00 ,  G06Q10/00

CPC分类号： G06Q40/04 ,  G06Q40/025 ,  G06Q40/06

摘要： An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

摘要翻译： 本发明的实施例提供了一种用于赞助组织的系统和方法：（1）利用基于规则的计算机系统来从子顾问（货币管理公司）捕获交易订单，以便实施贸易合规审查过程 从而使赞助组织能够防止违反证券法和/或账户限制的次级顾问执行交易订单; 和（2）根据贸易订单的预期市场影响来确定和分配买卖证券，执行交易订单的责任（与执行交易订单的何时，何时以及与谁一起执行的决定的酌情权）是 分配给货币管理公司进行投资组合或投资组合的投资组合。 贸易订单被实时分类为“高触摸”（重大的努力和市场影响）或“低触摸”（微不足道的努力和市场影响）。

公开(公告)号：US08600867B2

公开(公告)日：2013-12-03

申请号：US13632767

申请日：2012-10-01

申请人： UAT, Inc.

发明人： Allan T. Chiulli ,  Tom H. Warren

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04 ,  G06Q40/025 ,  G06Q40/06

摘要： An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

摘要翻译： 本发明的实施例提供了一种用于赞助组织的系统和方法：（1）利用基于规则的计算机系统来从子顾问（货币管理公司）捕获交易订单，以便实施贸易合规审查过程 从而使赞助组织能够防止违反证券法和/或账户限制的次级顾问执行交易订单; 和（2）根据贸易订单的预期市场影响来确定和分配买卖证券，执行交易订单的责任（与执行交易订单的何时，何时以及与谁一起执行的决定的酌情权）是 分配给货币管理公司进行投资组合或投资组合的投资组合。 贸易订单被实时分类为“高触摸”（重大的努力和市场影响）或“低触摸”（微不足道的努力和市场影响）。