System and method for monitoring securities compliance for...

G - Physics – 06 – Q

Patent

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G06Q 40/00 (2012.01)

Patent

CA 2681251

Systems, methods, and computer-executable instruction mechanisms (e.g., programming structures) for receiving from each of a plurality of commonly- controlled entities signals representing one or more reports of holdings of pluralities of securities held by the respective entity; preparing data records representing collated and aggregated totals of securities held by the plurality of commonly-controlled entities; accessing in machine-readable storage associated with the data processor data structures representing requirements imposed by one or more regulatory agencies; using the accessed data structures, determining a relative level of holdings for one or more individual securities held by the plurality of commonly-controlled entities; and storing data representing the determined relative levels in machine-readable memory.

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