Patent ID: 7314168

Claim:
A system for analyzing account information having a processor configured to: assign an individual to an access group based on an assessment of a level of access to investment information among each of said plurality of individuals; assign said individual to a department group based on departmental access to said investment information by said individual; assign said individual to a location group based on a proximity of a working location to said trading information by said individual; assign said individual to a certification group based on said access group, said department group and said location group, wherein said certification group has certification rules defining account information that said individual is to provide; facilitate said certification process, wherein said certification process collects account information from said individual in accordance with said certification rules; provide an advance authorization for future account transactions prior to receiving a trading order, wherein said advance authorization is determined according to said account information and said certification group associated with said individual; and, perform an audit to determine whether previous account transactions are in accordance with said certification group of each said individual grouping, wherein said audit is triggered prior to receiving a trading order.