Private placement compliance detection system, method and device
A detection system and detection item technology, applied in the field of financial technology, can solve problems such as omissions, consume a lot of time and labor costs, and fail to disclose product report information in a timely manner, so as to reduce inspection costs, reduce the degree of manual intervention, and improve cooperation. The effect of regulatory inspection efficiency
Inactive Publication Date: 2019-03-01
杭州络町软件科技有限责任公司
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[0003] At present, when private equity institutions conduct compliance inspections, they mainly record daily operation data through paper materials, and rely on the familiarity of the corresponding compliance personnel with compliance laws to solve compliance problems arising in the daily operation process. It takes a lot of time and manpower to find documents for regulatory materials and regulatory inspections, and there are inevitably omissions in the operation process, such as failure to disclose product report information in time
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[0036] The following will clearly and completely describe the technical solutions in the embodiments of the application with reference to the drawings in the embodiments of the application. Apparently, the described embodiments are only some of the embodiments of the application, not all of them. Based on the embodiments in this application, all other embodiments obtained by persons of ordinary skill in the art without making creative efforts belong to the scope of protection of this application.
[0037] The embodiment of this application discloses a private placement compliance detection system, see figure 1 As shown, the system includes:
[0038] The compliance detection item setting module 11 is used to set the target private placement compliance detection item;
[0039] The compliance detection module 12 is used to automatically retrieve the daily operation management data of the private equity fund company after obtaining the detection start command, and check whether t...
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The invention discloses a private placement compliance detection system, a method and a device, comprising the following steps: a compliance detection item setting module is used for setting a targetprivate placement compliance detection item; the compliance detection module is configured to automatically call up the daily operation and management data of the private placement fund enterprise after the detection start command is obtained, and detect whether the daily operation and management data meets the corresponding private placement compliance requirements according to the target privateplacement compliance detection item and display the detection result. The application sets the test items to be tested before the test, after obtaining the detection start command, it will automatically call up the daily operation and management data of the private fund enterprise. According to the detection items, the routine operation management data are automatically detected, and most of theprocesses in the whole process can be completed independently through a computer background system, thereby greatly reducing the degree of manual intervention, thereby improving the reliability of theinspection result and the compliance inspection efficiency, and reducing the inspection cost.
Description
technical field [0001] This application relates to the field of financial technology, in particular to a private placement compliance detection system, method and equipment. Background technique [0002] With the vigorous development of the private equity industry and the continuous expansion of its scale, the regulatory authorities have also increased the regulation of the private equity industry, and have successively issued relevant laws and regulations to improve the industry system. In order to avoid their own compliance risks, private equity managers need to conduct compliance inspections in their daily work. [0003] At present, when private equity institutions conduct compliance inspections, they mainly record daily operation data through paper materials, and rely on the familiarity of the corresponding compliance personnel with compliance laws to solve compliance problems arising in the daily operation process. Regulatory materials and regulatory inspections requir...
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IPC IPC(8): G06Q30/00
CPCG06Q30/018G06Q40/06
Inventor 邵李斌周伟明
Owner 杭州络町软件科技有限责任公司