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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ATTORNEY / AGENT: (SPONSORED)

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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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First Claim

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Patent Owner(s)

Patent OwnerAddressTotal Patents
GENERAL ELECTRIC CAPITAL CORPORATION, AS AGENTCHICAGO, IL220

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 59
Carbone, John W Niskayuna, NY 4 131
Denniston, Brackett B III Fairfield, CT 1 59
Gilbert, Edward S New York, NY 2 71
Green, Robert C Newton, PA 6 107
Lacey, William Cleveland, OH 3 61
Mensching, Eugene F JR White Plains, NY 1 59
Mitchell, Christina E Bellevue, WA 1 59
Robine, Christopher Fairfield, CT 1 59
Torres, Frank III Phillipsburg, NJ 1 59
Tucker, David E Ridgefield, CT 1 59
Vicente, Ligia B Bridgeport, CT 1 59
West, Sheri F Norwalk, CT 1 59
Whitcomb, John M Tiburon, CA 1 59

Cited Art Landscape

Patent Info (Count) # Cites Year
 
Other [Check patent profile for assignment information] (1)
* 2002/0120,642 System and method for assisting an organization to implement and maintain compliance with various obligations 74 2002
 
INTERNATIONAL BUSINESS MACHINES CORPORATION (1)
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GENWORTH HOLDINGS, INC. (1)
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GENERAL ELECTRIC COMPANY (1)
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Aircraft Technical Publishers (1)
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CITIBANK, N.A. (1)
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NATUS MEDICAL INCORPORATED (1)
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TMRC (1)
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TAYLOR MICROTECHNOLOGY INC. (1)
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SCHERING CORPORATION (1)
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Bodenseewerk Gerätetechnik GmbH (1)
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ACCENTURE GLOBAL SERVICES LIMITED (1)
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SOLUTION STRATEGIES, LLC (1)
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CHRYSALLIS, INC. (1)
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FOOD SAFETY SOLUTIONS CORP. (1)
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THE RECEIVERSHIP ESTATE OF POWER3 MEDICAL PRODUCTS, INC. (1)
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Ameriprise Financial, Inc. (1)
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EASTMAN CHEMICAL COMPANY (1)
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UniVirtual Corp. (1)
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SAFEOPERATIONS, INC. (1)
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* Cited By Examiner

Patent Citation Ranking

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Patent Info (Count) # Cites Year
 
Other [Check patent profile for assignment information] (4)
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BP AUSTRALIA PTY LTD (1)
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AFFIRMX, LLC (1)
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BUSINESS OBJECTS SOFTWARE LTD. (1)
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SOFILOGIC LLC (1)
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HITACHI, LTD. (1)
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Business Objects Software (1)
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ORACLE AMERICA, INC. (1)
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REGULATORY DATACORP INTERNATIONAL LLC (4)
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ORACLE INTERNATIONAL CORPORATION (2)
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HONDA MOTOR CO., LTD. (1)
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ETHICON, INC. (1)
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INTERNATIONAL BUSINESS MACHINES CORPORATION (4)
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7,529,842 Method, system and program product for detecting an operational risk of a node 0 2002
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SAP SE (7)
7,739,203 Method and system for classifying retail products and services using price band categories 4 2004
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8,655,697 Allocation table generation from assortment planning 0 2005
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Goldman, Sachs & Co. (6)
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8,843,411 Gaming industry risk management clearinghouse 0 2012
 
HEWLETT-PACKARD DEVELOPMENT COMPANY, L.P. (1)
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EMPLOYMENT LAW COMPLIANCE, INC. (2)
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DAIMLERCHRYSLER CORPORATION (1)
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MCKINSEY & COMPANY (1)
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ACCENTURE GLOBAL SERVICES LIMITED (2)
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AT&T INTELLECTUAL PROPERTY II, L.P. (2)
8,868,456 Method and apparatus for managing financial control validation processes 0 2005
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SAP AG (3)
* 2005/0197,971 Method and system for classifying retail products and services using price band categories 17 2004
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ACUITY RISK MANAGEMENT LLP (1)
* 2011/0047,114 METHOD, APPARATUS AND COMPUTER PROGRAM FOR ENABLING MANAGEMENT OF RISK AND/OR OPPORTUNITY 0 2008
 
INTELLIMET, INC. (1)
* 7,693,738 Computer-aided methods and apparatus for assessing an organizational process or system 11 2001
 
BISTEL AMERICA, INC (1)
* 2013/0173,332 ARCHITECTURE FOR ROOT CAUSE ANALYSIS, PREDICTION, AND MODELING AND METHODS THEREFOR 0 2011
 
ALGORITHMICS SOFTWARE LLC (1)
* 2003/0149,657 System and method for measuring and managing operational risk 41 2002
 
HEWLETT PACKARD ENTERPRISE DEVELOPMENT LP (1)
* 2008/0270,198 Systems and Methods for Providing Remediation Recommendations 2 2007
 
SERVICENOW, INC. (2)
* 8,135,638 Summarizing risk ratings to facilitate an analysis of risks 3 2005
* 2006/0247,957 Method and system for facilitating analysis of risks 1 2005
 
MASTERCARD INTERNATIONAL INCORPORATED (1)
* 2013/0096,988 NOMINATION ENGINE 4 2012
 
TWITTER, INC. (2)
7,703,070 Method and system for assessing a software generation environment 4 2003
* 2004/0230,551 Method and system for assessing a software generation environment 1 2003
 
JPMORGAN CHASE BANK, N.A. (12)
* 7,433,829 System and method for managing global risk 11 2001
* 2002/0129,221 System and method for managing global risk 30 2001
7,895,098 System and method for measuring and utilizing pooling analytics 37 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 37 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
* 2010/0325,033 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
8,880,437 System and method for integrating trading operations including the generation, processing and tracking of and trade documents 0 2013
 
JANIK L.L.P. (1)
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ALTERNATIVE LEGAL SOLUTIONS, INC. (1)
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MICROSOFT TECHNOLOGY LICENSING, LLC (5)
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* 2007/0294,051 Declaration and Consumption of A Causality Model for Probable Cause Analysis 0 2006
8,655,711 Linking enterprise resource planning data to business capabilities 0 2008
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D2C Solutions, LLC (1)
* 7,941,336 Segregation-of-duties analysis apparatus and method 6 2006
 
BANK OF AMERICA, N.A., AS SUCCESSOR AGENT (2)
* 8,448,126 Compliance program assessment tool 0 2006
* 2007/0226,721 COMPLIANCE PROGRAM ASSESSMENT TOOL 6 2006
 
BANK OF AMERICA CORPORATION (10)
* 7,853,468 System and methods for integrated compliance monitoring 9 2002
* 2003/0229,525 System and methods for integrated compliance monitoring 76 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
* 2011/0145,154 Policy Development Criticality And Complexity Ratings 0 2009
* 2011/0145,885 Policy Adherence And Compliance Model 1 2009
* 2011/0145,884 Policy Needs Assessment 0 2009
* 2012/0005,115 PROCESS RISK PRIORITIZATION APPLICATION 0 2010
8,321,363 Technology evaluation and selection application 0 2010
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GENWORTH FINANCIAL, INC. (1)
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GENERAL ELECTRIC COMPANY (3)
7,103,610 Method, system and computer product for integrating case based reasoning data and failure modes, effects and corrective action data 18 2002
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THE BANK OF NEW YORK COMPANY, INC. (3)
* 2006/0036,526 Cash flow monitoring mechanism and methodology 1 2005
* 2006/0036,525 Regulation compliance monitoring, reporting and documentation support system 8 2005
* 2008/0015,913 GLOBAL COMPLIANCE MANAGEMENT SYSTEM 6 2007
 
THE PNC FINANCIAL SERVICES GROUP, INC. (6)
* 7,801,758 System and method for conducting an optimized customer identification program 6 2003
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8,374,899 Assessment construction tool 0 2010
* 7,974,867 System and method for conducting an optimized customer identification program 1 2010
* 2011/0066,463 System and Method for Conducting an Optimized Customer Identification Program 0 2010
 
FORD MOTOR COMPANY (2)
6,816,747 Computer-implemented system and process for improving manufacturing productivity 10 2003
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HONEYWELL INTERNATIONAL INC. (1)
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PILLSBURY WINTHROP SHAW PITTMAN, LLP (4)
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THE BOEING COMPANY (1)
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JDA Software Group, Inc. (1)
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GLO SOFTWARE LLC (2)
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CATERPILLAR INC. (1)
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Fiduciary Audit Services, LLC (1)
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* Cited By Examiner