US Patent Application No: 2002/0059,093

Number of patents in Portfolio can not be more than 2000

Methods and systems for compliance program assessment

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Abstract

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Methods and systems for identifying and quantifying compliance issues are described. In one embodiment, a system is configured to implement a method which comprises assessing at least one compliance program to identify potential risks and prioritizing the potential risks. The issues relating to the potential risks, for example, failure modes and root causes are identified and are mitigated and controlled.

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Patent Owner(s)

Patent OwnerAddressTotal Patents
GENERAL ELECTRIC CAPITAL CORPORATIONCHICAGO, IL471

International Classification(s)

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  • [Patents Count]

Inventor(s)

Inventor Name Address # of filed Patents Total Citations
Barton, Nancy E Old Greenwich, CT 1 55
Carbone, John W Niskayuna, NY 4 127
Denniston, Brackett B III Fairfield, CT 1 55
GILBERT, EDWARD S NEW YORK, NY 2 66
Green, Robert C Berkley Heights, NJ 6 96
Lacey, William - 5 57
Mensching, Eugene F JR White Plains, NY 1 55
Mitchell, Christina E Bellevue, WA 1 55
Robine, Christopher Fairfield, CT 1 55
Torres, Frank III Phillipsburg, NJ 1 55
Tucker, David E Ridgefield, CT 1 55
Vicente, Ligia B Bridgeport, CT 1 55
West, Sheri F Norwalk, CT 1 55
Whitcomb, John M Tiburon, CA 1 55

Patent Citation Ranking

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Patent Info (Count) # Cites Year
 
JPMORGAN CHASE BANK, N.A. (9)
7,433,829 System and method for managing global risk 7 2001
7,895,098 System and method for measuring and utilizing pooling analytics 36 2002
7,890,343 System and method for generating risk management curves 1 2005
7,756,896 System and method for multi-dimensional risk analysis 33 2005
7,962,391 System and method for determining elegibility and enrolling members in various programs 2 2008
8,463,687 Upside forward with early funding provision 0 2010
8,255,307 System and method for measuring and utilizing pooling analytics 0 2011
8,538,844 System and method for integrating trading operations including the generation, processing and tracking of and trade documents 0 2011
8,577,770 System and method for measuring and utilizing pooling analytics 0 2012
 
SAP AG (5)
7,739,203 Method and system for classifying retail products and services using price band categories 4 2004
8,655,697 Allocation table generation from assortment planning 0 2005
7,724,890 Focused retrieval of selected data in a call center environment 1 2005
8,099,337 Replenishment planning management 0 2007
8,068,603 Focused retrieval of selected data in a call center environment 0 2010
 
BANK OF AMERICA CORPORATION (4)
7,853,468 System and methods for integrated compliance monitoring 8 2002
8,645,263 System and method for risk prioritization 1 2007
8,548,842 Systems, methods and computer program products for assessing delivery affectivity in quality function deployment 0 2009
8,321,363 Technology evaluation and selection application 2010
 
GOLDMAN, SACHS & CO. (4)
8,140,415 Automated global risk management 6 2001
8,209,246 Proprietary risk management clearinghouse 4 2003
8,121,937 Gaming industry risk management clearinghouse 0 2003
8,843,411 Gaming industry risk management clearinghouse 0 2012
 
THE PNC FINANCIAL SERVICES GROUP, INC. (4)
7,801,758 System and method for conducting an optimized customer identification program 3 2003
8,401,893 Assessment construction tool 0 2010
8,374,899 Assessment construction tool 0 2010
7,974,867 System and method for conducting an optimized customer identification program 1 2010
 
IJET INTERNATIONAL, INC. (3)
8,249,886 Global asset risk management systems and methods 1 2009
8,805,698 Systems and methods for travel, asset, and personnel information and risk management 0 2010
8,775,195 Systems and methods for assets, personnel, and travel information and risk management 0 2011
 
GENERAL ELECTRIC COMPANY (2)
7,103,610 Method, system and computer product for integrating case based reasoning data and failure modes, effects and corrective action data 17 2002
6,909,994 Method, system and computer product for performing failure mode and effects analysis throughout the product life cycle 9 2002
 
INTERNATIONAL BUSINESS MACHINES CORPORATION (2)
7,529,842 Method, system and program product for detecting an operational risk of a node 0 2002
8,135,638 Summarizing risk ratings to facilitate an analysis of risks 2 2005
 
MICROSOFT CORPORATION (2)
7,801,712 Declaration and consumption of a causality model for probable cause analysis 4 2006
8,655,711 Linking enterprise resource planning data to business capabilities 0 2008
 
PILLSBURY WINTHROP SHAW PITTMAN, LLP (2)
7,308,414 System and method for analyzing an operation of an organization 23 2004
7,979,303 System and method for analyzing an operation of an organization 0 2007
 
ACCENTURE GLOBAL SERVICES LIMITED (1)
8,504,405 Accelerated process improvement framework 0 2011
 
AFFIRMX, LLC (1)
8,543,444 Method and system for assessing compliance risk of regulated institutions 0 2013
 
AT&T INTELLECTUAL PROPERTY II, L.P. (1)
8,499,330 Enterprise desktop security management and compliance verification system and method 1 2005
 
BANK OF AMERICA, N.A. (1)
8,448,126 Compliance program assessment tool 0 2006
 
Business Objects Software (1)
8,374,897 Apparatus and method for forecasting qualitative assessments 0 2006
 
D2C Solutions, LLC (1)
7,941,336 Segregation-of-duties analysis apparatus and method 2 2006
 
EMPLOYMENT LAW COMPLIANCE, INC. (1)
7,330,817 System and methods for employment law compliance, establishment, evaluation and review 11 2001
 
FORD MOTOR COMPANY (1)
6,816,747 Computer-implemented system and process for improving manufacturing productivity 7 2003
 
GLO SOFTWARE LLC (1)
7,778,856 System and method for measuring and managing operational risk 14 2009
 
IJET TRAVEL INTELLIGENCE, INC. (1)
7,343,303 Global asset risk management system and methods 8 2004
 
INTELLIMET, INC. (1)
7,693,738 Computer-aided methods and apparatus for assessing an organizational process or system 10 2001
 
JDA SOFTWARE GROUP, INC (1)
7,359,865 Generating a risk assessment regarding a software implementation project 32 2001
 
REGULATORY DATACORP INTERNATIONAL LLC (1)
8,762,191 Systems, methods, apparatus, and schema for storing, managing and retrieving information 0 2004
 
SAP SE (1)
8,788,372 Method and system for classifying retail products and services using characteristic-based grouping structures 0 2004
 
SIEMENS AKTIENGESELLSCHAFT (1)
7,305,351 System and method for managing risk and opportunity 16 2000
 
SUN MICROSYSTEMS, INC. (1)
6,981,246 Method and apparatus for automatic accessibility assessment 12 2001
 
TWITTER, INC. (1)
7,703,070 Method and system for assessing a software generation environment 3 2003
 
Other [Check patent profile for assignment information] (1)
8,868,456 Method and apparatus for managing financial control validation processes 0 2005