WO2004072803A3 - Insider trading risk management - Google Patents

Insider trading risk management Download PDF

Info

Publication number
WO2004072803A3
WO2004072803A3 PCT/US2004/003766 US2004003766W WO2004072803A3 WO 2004072803 A3 WO2004072803 A3 WO 2004072803A3 US 2004003766 W US2004003766 W US 2004003766W WO 2004072803 A3 WO2004072803 A3 WO 2004072803A3
Authority
WO
WIPO (PCT)
Prior art keywords
insider trading
generated
digital information
risk management
computer
Prior art date
Application number
PCT/US2004/003766
Other languages
French (fr)
Other versions
WO2004072803A2 (en
Inventor
David Lawrence
Original Assignee
Goldman Sachs & Co
David Lawrence
Priority date (The priority date is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the date listed.)
Filing date
Publication date
Application filed by Goldman Sachs & Co, David Lawrence filed Critical Goldman Sachs & Co
Publication of WO2004072803A2 publication Critical patent/WO2004072803A2/en
Publication of WO2004072803A3 publication Critical patent/WO2004072803A3/en

Links

Classifications

    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • G06Q40/04—Trading; Exchange, e.g. stocks, commodities, derivatives or currency exchange

Landscapes

  • Business, Economics & Management (AREA)
  • Accounting & Taxation (AREA)
  • Finance (AREA)
  • Engineering & Computer Science (AREA)
  • Development Economics (AREA)
  • Economics (AREA)
  • Marketing (AREA)
  • Strategic Management (AREA)
  • Technology Law (AREA)
  • Physics & Mathematics (AREA)
  • General Business, Economics & Management (AREA)
  • General Physics & Mathematics (AREA)
  • Theoretical Computer Science (AREA)
  • Financial Or Insurance-Related Operations Such As Payment And Settlement (AREA)

Abstract

Methods and systems are disclosed for facilitating the detection and reporting of insider trading activities (120). Digital information related to one or more financial transactions is received into a computer acid rules are created that relate the digital information to insider trading laws (410). An indicaiton that execution of the ifnancial transaction is in violation of one or more of the insider trading rules is generated by the computer (311). The digital information cap include, for example, supporting documentation for the transactions. An action responsive to a particular legal violation can be generated (314). In some embodiments, and indication to block execution of the one or more financial transactions can be generated and transmitted.
PCT/US2004/003766 2003-02-10 2004-02-10 Insider trading risk management WO2004072803A2 (en)

Applications Claiming Priority (2)

Application Number Priority Date Filing Date Title
US44612703P 2003-02-10 2003-02-10
US60/446,127 2003-02-10

Publications (2)

Publication Number Publication Date
WO2004072803A2 WO2004072803A2 (en) 2004-08-26
WO2004072803A3 true WO2004072803A3 (en) 2005-09-15

Family

ID=32869453

Family Applications (1)

Application Number Title Priority Date Filing Date
PCT/US2004/003766 WO2004072803A2 (en) 2003-02-10 2004-02-10 Insider trading risk management

Country Status (1)

Country Link
WO (1) WO2004072803A2 (en)

Families Citing this family (11)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US8121937B2 (en) 2001-03-20 2012-02-21 Goldman Sachs & Co. Gaming industry risk management clearinghouse
US20040193532A1 (en) * 2001-03-20 2004-09-30 David Lawrence Insider trading risk management
US8510300B2 (en) 2004-07-02 2013-08-13 Goldman, Sachs & Co. Systems and methods for managing information associated with legal, compliance and regulatory risk
US8762191B2 (en) 2004-07-02 2014-06-24 Goldman, Sachs & Co. Systems, methods, apparatus, and schema for storing, managing and retrieving information
US8442953B2 (en) 2004-07-02 2013-05-14 Goldman, Sachs & Co. Method, system, apparatus, program code and means for determining a redundancy of information
US8996481B2 (en) 2004-07-02 2015-03-31 Goldman, Sach & Co. Method, system, apparatus, program code and means for identifying and extracting information
US8156022B2 (en) 2007-02-12 2012-04-10 Pricelock, Inc. Method and system for providing price protection for commodity purchasing through price protection contracts
WO2008100902A1 (en) 2007-02-12 2008-08-21 Pricelock, Inc. System and method for estimating forward retail commodity price within a geographic boundary
WO2008124719A1 (en) 2007-04-09 2008-10-16 Pricelock, Inc. System and method for providing an insurance premium for price protection
WO2008124712A1 (en) 2007-04-09 2008-10-16 Pricelock, Inc. System and method for constraining depletion amount in a defined time frame
US8160952B1 (en) 2008-02-12 2012-04-17 Pricelock, Inc. Method and system for providing price protection related to the purchase of a commodity

Citations (4)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US20020059093A1 (en) * 2000-05-04 2002-05-16 Barton Nancy E. Methods and systems for compliance program assessment
US20020091622A1 (en) * 2000-08-03 2002-07-11 Mastwyk Angelica M.T. Check and trade, the pre-trading compliance enforcement system for insiders in a company
US20020103744A1 (en) * 2000-02-03 2002-08-01 Llewelyn Sean Reveille Property futures exchange
US20020194014A1 (en) * 2000-04-19 2002-12-19 Starnes Curt R. Legal and regulatory compliance program and legal resource database architecture

Patent Citations (4)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US20020103744A1 (en) * 2000-02-03 2002-08-01 Llewelyn Sean Reveille Property futures exchange
US20020194014A1 (en) * 2000-04-19 2002-12-19 Starnes Curt R. Legal and regulatory compliance program and legal resource database architecture
US20020059093A1 (en) * 2000-05-04 2002-05-16 Barton Nancy E. Methods and systems for compliance program assessment
US20020091622A1 (en) * 2000-08-03 2002-07-11 Mastwyk Angelica M.T. Check and trade, the pre-trading compliance enforcement system for insiders in a company

Also Published As

Publication number Publication date
WO2004072803A2 (en) 2004-08-26

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