Compliance Monitoring Method and Apparatus

Abstract

A compliance monitoring system and method identifies an individual or entity to be monitored for account compliance and receives account information associated with the individual or entity. The compliance monitoring system and method obtains holdings in the account and determines whether the holdings in the account comply with a predetermined rule.

1 . A method comprising:
 storing compliance data, rules and settings, comprising account registration rules, account trading rules, and screening criteria in a compliance monitoring system;   identifying an individual to be monitored for account compliance;   registering the individual with the compliance monitoring system;   receiving from the individual account information associated with the individual;   storing the received account information;   obtaining holdings in the account;   determining whether the holdings in the account comply with a predetermined rule;   automatically retrieving updated account information from the account; and   storing the updated account information.   
     
     
         2 - 38 . (canceled)