US2012246058A1PendingUtilityA1

Method of computerized monitoring of investment trading and associated system

62
Individually held — no corporate assignee on recordPriority: Apr 23, 2004Filed: Jun 8, 2012Published: Sep 27, 2012
Est. expiryApr 23, 2024(expired)· nominal 20-yr term from priority
Inventors:David Campbell
G06Q 10/063G06Q 40/02G06Q 10/0639G06Q 40/04G06Q 40/06
62
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Claims

Abstract

A method of computerized monitoring of investment trading includes providing historic trading data for a specific trader, selecting a plurality of trading parameters for the specific trader and obtaining current information regarding the selected parameters, and/or providing historic trading data and applying rules to the current information and/or historic trading data to determine if behavior of interest which may involve a rules violation, a departure from the rules which is not technically a violation or a potential departure from the rules which might make desirable further investigation has occurred. The system may be employed to monitor whether market timing of mutual fund investments has occurred. A corresponding computerized system is disclosed.

Claims

exact text as granted — not AI-modified
1 . A method of computerized monitoring of investment trading comprising
 providing historic trading data for a specific trader,   selecting a plurality of trading parameters for said specific trader and obtaining current information regarding said selected parameters, and   applying rules to said current information and/or historic trading data to determine if behavior of interest exists.   
     
     
         2 . The method of  claim 1 , including
 prior to applying said rules, comparing said current information with said historic trading data.   
     
     
         3 . The method of  claim 1 , including
 applying said rules employing both current information and said historic trader data.   
     
     
         4 . The method of  claim 1 , including
 employing said process on a specific investment of said trader.   
     
     
         5 . The method of  claim 4 , including
 employing said process on a said specific investment which is a mutual fund.   
     
     
         6 . The method of  claim 4 , including
 repeating said process periodically for a said specific trader and specific investment.   
     
     
         7 . The method of  claim 6 , including
 employing the trade date and time as said parameters.   
     
     
         8 . The method of  claim 4 , including
 effecting said comparison employing historic trading data specific to said specific investment and said specific trader.   
     
     
         9 . The method of  claim 1 , including
 employing said method to determine if market timing mutual fund transactions have occurred.   
     
     
         10 . The method of  claim 1 , including
 if a departure from the rules has occurred, delivering an alarm report.   
     
     
         11 . The method of  claim 4 , including
 employing said process to detect specific patterns of trading in mutual funds.   
     
     
         12 . The method of  claim 11 , including
 monitoring said specific patterns in respect of higher- or lower-than-expected volumes of trading in said mutual fund by said specific investor.   
     
     
         13 . The method of  claim 1 , including
 customizing said rules with respect to said specific investor.   
     
     
         14 . The method of  claim 4 , including
 customizing said rules with respect to said specific investment.   
     
     
         15 . The method of  claim 10 , including
 effecting said delivery by at least one method selected from the group consisting of html, xml, xbrl, spreadsheets and comma-separated variable files.   
     
     
         16 . The method of  claim 1 , including
 selectively assigning and tracking trades for an omnibus account differently than trades for the underlying sub account.   
     
     
         17 . The method of  claim 1 , including
 providing with said historical trading data sub account information.   
     
     
         18 . The method of  claim 1 , including
 providing with said historical trading data omnibus information.   
     
     
         19 . The method of  claim 1 , including
 coordinating selection of said trading parameters with the said rules employed.   
     
     
         20 . The method of  claim 19 , including
 modifying said rules to monitor for specific trading conduct.

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