Patent SG-11201901969R-A (SG)
Title: Real-time regulatory compliance alerts using modularized and taxonomy-based classification of regulatory obligations
Inventor: CLARK BRIAN
IPC: G06Q50/00
Filed: 2017-09-06
Abstract: INTERNATIONAL APPLICATION PUBLISHED UNDER THE PATENT COOPERATION TREATY (PCT) (19) World Intellectual Property MD 1101111 0 DOI HIM 011101 0 0111111111111111111111111111111111111110111111 Organization International Bureau (10) International Publication Number (43) International Publication Date .....0 WO 2018/048919 Al 15 March 2018 (15.03.2018) WIP0 I PCT (51) International Patent Classification: (72) Inventor: CLARK, Brian, T.; 445 E. Illinois, #6305, G06Q 50/00 (2012.01) Chicago, IL 60611 (US). (21) International Application Number: (74) Agent: RESTAURI, Nicholas, A. et al.; Morgan, Lewis PCT/US2017/050304 & Bockius LLP, Attn: Docketing Dept., 1111 Pennsylvania Avenue N.W., Washington, DC 20004 (US). (22) International Filing Date: 06 September 2017 (06.09.2017) (81) Designated States (unless otherwise indicated, for every (25) Filing Language: English kind of national protection available): AE, AG, AL, AM, AO, AT, AU, AZ, BA, BB, BG, BH, BN, BR, BW, BY, BZ, (26) Publication Language: English CA, CH, CL, CN, CO, CR, CU, CZ, DE, DJ, DK, DM, DO, (30) Priority Data: DZ, EC, EE, EG, ES, FI, GB, GD, GE, GH, GM, GT, HN, 62/385,551 09 September 2016 (09.09.2016) US HR, HU, ID, IL, IN, IR, IS, JO, JP, KE, KG, KH, KN, KP, KR, KW, KZ, LA, LC, LK, LR, LS, LU, LY, MA, MD, ME, (71) Applicant: ASCENT TECHNOLOGIES INC. [US/US]; MG, MK, MN, MW, MX, MY, MZ, NA, NG, NI, NO, NZ, 332 S. Michigan, 9th Floor, Chicago, IL 60607 (US). OM, PA, PE, PG, PH, PL, PT, QA, RO, RS, RU, RW, SA, SC, SD, SE, SG, SK, SL, SM, ST, SV, SY, TH, TJ, TM, TN, TR, TT, TZ, UA, UG, US, UZ, VC, VN, ZA, ZM, ZW. _ (54) Title: REAL-TIME REGULATORY COMPLIANCE ALERTS USING MODULARIZED AND TAXONOMY-BASED OF REGULATORY OBLIGATIONS CLASSIFICATION of a the one = UserNameo• = la Account: AccountName y Corporation: CompanyName 0 UserName Company Names Dashboard .----803 801 802 = — 810 Tasks Week: 0% Month: Reviewed -,_805 0% Year: 0% .2 , Dashboard 1 6 I Regulators --/- — User Guide Accounts E Corporations 0 Navigator (4 ModBuilder Ea References H Tasks & Issues w Reports g Compliance Manual 1 9 I Modules /811 = 1432 1 Rules -812 813 = 1739 I Requirements = 1 1 I Users —'814 = _ Activity-- 806 Alerts _,--807 Documents updates -..`-. 808 = No recent activities 5m ago No recent alerts No recent document updates. = = — -N-815 = = 1-1 C;N (57) 1-1 ON regulatory pt prising C plurality ---, to the *t received 1-1 c;;;; ) of the ei FIG. 8 : A system is provided for generating real-time regulatory compliance alerts using taxonomy based classifications obligations. The system may comprise a database storing taxonomy based classifications of regulatory obligation data com- a plurality of categories, modules, subjects, and rules within the regulatory obligation data. The system may also comprise of processors that monitor user activity associated with the system and monitoring circuitry that receives data corresponding monitored user activity and identifies at least one of the plurality of categories, modules, subjects, and rules as related to data. The system may further comprise alert circuitry that issues a compliance alert corresponding to the identified at least plurality of categories, modules, subjects, and rules within the regulatory obligation data. C [Continued on next page] WO 2018/048919 Al MIDEDIMOMOIDEIREEMOOVIVEIHOEHMEHOIS (84) Designated States (unless otherwise indicated, for every kind of regional protection available): ARIPO (BW, GH, GM, KE, LR, LS, MW, MZ, NA, RW, SD, SL, ST, SZ, TZ, UG, ZM, ZW), Eurasian (AM, AZ, BY, KG, KZ, RU, TJ, TM), European (AL, AT, BE, BG, CH, CY, CZ, DE, DK, EE, ES, FI, FR, GB, GR, HR, HU, IE, IS, IT, LT, LU, LV, MC, MK, MT, NL, NO, PL, PT, RO, RS, SE, SI, SK, SM, TR), OAPI (BF, BJ, CF, CG, CI, CM, GA, GN, GQ, GW, KM, ML, MR, NE, SN, TD, TG). Declarations under Rule 4.17: — of inventorship (Rule 4.17(iv)) Published: — with international search report (Art. 21(3)) — before the expiration of the time limit for amending the claims and to be republished in the event of receipt of amendments (Rule 48.2(h))