Methods and systems for entity linking in compliance policy monitoring
a technology of compliance policy and entity linking, applied in the field of compliance monitoring of electronic enterprise transactions, can solve the problems of affecting the integrity of transactions and reporting of an enterprise, affecting the business continuity of the enterprise, and affecting the integrity of the transaction, so as to reduce asset loss, increase operational effectiveness, and increase corporate and shareholder confiden
a technology of compliance policy and entity linking, applied in the field of compliance monitoring of electronic enterprise transactions, can solve the problems of affecting the integrity of transactions and reporting of an enterprise, affecting the business continuity of the enterprise, and affecting the integrity of the transaction, so as to reduce asset loss, increase operational effectiveness, and increase corporate and shareholder confiden
US20080082377A1Inactive Publication Date: 2008-04-03KENNIS PETER H +7
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[0102]Prior to a detailed description of the invention(s), the following definitions are provided as an aid to understanding the subject matter and terminology of aspects of the present invention(s), and not necessarily limiting of the invention(s), which are expressed in the claims. Whether or not a term is capitalized is not considered definitive or limiting of the meaning of a term. As used in this document, a capitalized term shall have the same meaning as an uncapitalized term, unless the context of the usage specifically indicates that a more restrictive meaning for the capitalized term is intended. A capitalized term within the glossary usually indicates that the capitalized term has a separate definition within the glossary. However, the capitalization or lack thereof within the remainder of this document is not intended to be necessarily limiting unless the context clearly indicates that such limitation is intended.
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[0103]Actor: an individual responsible ...
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A system for linking entities associated with electronic transactions that are monitored for compliance with predetermined compliance policies of an enterprise. The system allows establishment, codification, and maintenance of enterprise policies, monitors electronic transactions of the enterprise from various data sources, detects exceptions to established policies, reports exceptions to authorized users such as managers and auditors, and / or provides a case management system for tracking exceptions and their underlying transactions. A monitoring database stores data corresponding to monitored transactions and support entities. A transactions analysis engine executes computer-executable compliance policy statements against the monitoring database to determine whether a transaction has indicated an exception to a policy. The transaction analysis engine retrieves information corresponding to a particular prestored support entity that causes an exception. Information is retrieved corresponding to other support entities that are related to the particular prestored support entity, so as to link related transactional entities.
Description
CROSS-REFERENCE TO RELATED APPLICATION[0001]This application is a continuation of copending U.S. patent application entitled “METHODS AND SYSTEMS FOR TRANSACTION COMPLIANCE MONITORING” by Peter H. Kennis, Daniel R. Kuokka, Charles A. Coombs, Stayton D. Addison, Andrew T. Otwell, Jeffrey Z. Johnson, Patrick Taylor, and Michael E. Lortz, having application no. 11 / 085,725, filed on Mar. 21, 2005, which claims the benefit of and priority on U.S. Provisional Patent Application No. 60 / 554,784 entitled “METHODS AND SYSTEMS FOR CONTINUOUS MONITORING OF TRANSACTION DATA FLOW” BY Peter H. Kennis, Stayton D. Addison, Charles A. Coombs, Andrew T. Otwell, and Daniel R. Kuokka, filed on Mar. 19, 2004, the disclosures of which are hereby incorporated herein by reference in their entirety.[0002]This application is also related to and incorporates by reference herein the following US patent applications:(1) application Ser. No. 11 / ______, filed on ______, entitled “Methods and Systems for Extraction...
Claims
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Patent Timeline
03 Apr 2008
Publication
US20080082377A1
- IPC
- G06Q10/00; G06F17/30; G06F17/40; G06Q40/00
- CPC
- G06F17/30569; G06Q10/06; G06Q10/063; G06Q10/06311; G06Q40/00; G06Q10/0635; G06Q10/0637; G06Q10/06393
- Inventors
- KENNIS, PETER H.; KUOKKA, DANIEL R.