Method and system for assessing compliance risk of regulated institutions
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United States of America Patent
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Sep 24, 2013
Grant Date -
May 23, 2013
app pub date -
Jan 17, 2013
filing date -
Oct 21, 2011
priority date (Note) -
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Abstract
A system and method for assessing compliance risk of a regulated institution. Data on a plurality of regulated institutions is extracted from publicly available sources and stored in an extracted information database. A client questionnaire is created and separated into a plurality of role categories. A list of employees and their area of responsibility is obtained from a client regulated institution. The client questionnaire is distributed to the employees, each employee receiving questions from a role category based on their area of responsibility. Answers are stored in a client questionnaire database. Data on the client regulated institution is located in the extracted information database. Then, based on the questionnaire answers and extracted data, the risk that the client regulated institution will not be compliant with a set of regulations is assessed.
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