Patent ID: 7831500
Filing Date: 2010-11-09
Classification: G06Q

Abstract:
1. A system for automatically identifying securities compliance issues, said system comprising: a processor having a communications connection configured to receive at a first time, first shareholder data concerning shareholders of securities, said first shareholder data consisting of historic data relating to securities and historic data relating to shareholders of securities; said processor configured to receive at a second time, second shareholder data consisting of historic data relating to securities and historic data relating to shareholders of securities; said processor configured to compare the first shareholder data received at the first time with the second shareholder data received at the second time to create comparison data; a storage device accessible by said processor, said storage device having stored thereon a set of rules; and wherein said processor is configured to compare the comparison data against the set of rules in order to evaluate whether the comparison data complies with the set of rules.