Patent application number | Description | Published |
20080319922 | SYSTEMS AND METHODS FOR AUTOMATED POLITICAL RISK MANAGEMENT - According to some embodiments, a computer-implemented method to facilitate management of risk related to political exposure associated with a financial transaction may comprise receiving financial transaction data associated with the transaction, determining that the participant is a politically identified person, calculating a first category political risk score based on the financial transaction data, calculating a second category political risk score based on the financial transaction data, calculating an overall transaction political risk quotient associated with the financial transaction based on the first and second category politically risk scores, generating a suggested action for the financial transaction based on the overall transaction political risk quotient, and delivering the matching name and a suggested action to a user interface in a format based on a user preference and a user device configuration. | 12-25-2008 |
20090012907 | BOND ISSUE RISK MANAGEMENT - The present invention provides an auction system that allows bond issue sales to be offered in an open and transparent manner, wherein, a certain percentage (up to 100%) of bonds in a bond issue can be offered to qualified bidders at a “buy now” pre-auction price, set by an issuer and/or lead manager. Investors can be allowed to “bid some bonds out of the auction process” and thus guarantee their allocation and also allow bidders to participate in an open auction for other bonds. Bonds to be offered in a bond issue can include a subset of pre-auction price bonds and a subset of auction price bonds. The pre-auction price bonds are offered to pre-auction bidders at a pre-auction price, and auction bonds are generally sold to the highest bidder. Pre-auction sales can serve as a catalyst for generating enthusiasm for an associated bond issue auction. | 01-08-2009 |
20100138262 | Automated Political Risk Management - A risk management method and system for facilitating analysis and quantification of risk associated with politically exposed persons is disclosed. A computerized political risk management system maintains a database relating individuals to politically sensitive positions and world events. A rating system is used to assess risk based upon criteria such as a position held, historical data and/or interpretation of world events. The system can generate a risk quotient or other rating based upon a weighted algorithm applied to the criteria. The risk quotient is indicative of risk associated with an account. Actions commensurate with a risk quotient can be presented to an institution to help the institution properly manage risk associated with a politically exposed person. A log or other stored history can be created such that utilization of the system can mitigate adverse effects relating to a problematic account. Mitigation can be accomplished by demonstrating to regulatory bodies, shareholders, news media and other interested parties that corporate governance is being addressed through tangible risk management processes. | 06-03-2010 |
20100138354 | Construction Industry Risk Management Clearinghouse - Systems, methods, apparatus, computer program code and means for gathering, organizing and presenting on a real time basis information pertinent to Risks associated with subjects related to the Construction Industry. Risks associated with the Construction Industry can be managed by gathering data relevant to the Construction Industry from multiple sources and aggregating the gathered data according to one or more Risk variables. An inquiry relating to a Risk subject can be received and portions of the aggregated data can be associated with the Risk subject. The associated portions of the aggregated data can be transmitted to an entity placing the inquiry or other designated destination. | 06-03-2010 |
20100198722 | Biometric Risk Management - The present invention provides methods and systems for managing Risk by associating a biometric profile with other data relevant to a Risk subject. Computerized systems can receive informational data that relates generally to Risk variables and relate the information to known biometric profiles. Compiled information can be situated and conveyed to a compliance department and be able to demonstrate to regulators that a financial institution has met standards relating to Risk containment. | 08-05-2010 |
20100217693 | Independent Research Consensus Earnings Estimates and Methods of Determining Such - Apparatus and methods are described for correlating business relationships and issuing earnings estimates. According to the present invention, an earnings estimate can be generated for a company as it compares to a consensus estimate, or other rating aggregate, along with an indication of an investment banking relationship or other business relationship that the entity providing the estimate has had with the company. In addition to a consensus estimate that may be based upon current and previous analyst earnings estimates, operating actuals, expected reporting dates, footnotes and company-issued guidelines, indications of investment banking relationships and a consensus estimate is provided that excludes input from banks conducting business with the company. The present invention can also include suggested actions that can be taken based upon data relating to an investment banking relationship, an earnings estimate and/or a consensus earnings estimate that excludes input from banks with substantial business relationships with the company. | 08-26-2010 |
20100235397 | LINK ANALYSIS MAPPING PROGRAM RISK MANAGEMENT - A method and system for managing risk by indicating links between one or more persons or entities which can include a process that gathers information about individuals and organizations into a computerized system where it can be analyzed to associate one or more individuals or organizations with links to other individuals or organizations. A user can designate a person or entity and the system will provide an indication of linkages associated with the designated person. Some embodiments can include a user specifying a particular type of link or limit links to a specified degree of separation between the designated person and any other person or entity. | 09-16-2010 |
20110131125 | Correspondent Bank Registry - Methods and systems are provided for facilitating the transfer of information relating to risk management, such as, for example information directed towards compliance with the USA PATRIOT Act and certification of a foreign correspondent bank. Generally, the a foreign bank or other entity can provide a risk management clearinghouse with information relating to compliance with government requirements, or other information, and allow the risk management clearinghouse to convey to information in whole or in part to interested parties. Centralized distribution of certification related information can facilitate consistent and accurate compliance with government related requirements. | 06-02-2011 |
20110131136 | Risk Management Customer Registry - Methods and systems are provided for managing Risk associated with a financial account initiated by an intermediary institution. Risk related information descriptive of a customer of the intermediary can be registered with a neutral entity and a certification can be generated that is associated with the customer and includes the registered information. An instruction can be received to convey the certification associated with the customer to a Primary Financial Institution after which the certification can be conveyed to the Primary Financial Institution. | 06-02-2011 |
20110202457 | Systems and Methods for Managing Risk Associated with a Geo-Political Area - Methods and systems are presented for managing Risks, including regulatory and reputational risk. The methods can be implemented in a computer and include receiving data descriptive of informational artifacts with content related to at least one of reputational and regulatory risk into the computer system. The computer system can have one or more geo-political areas defined within it. The computer system can also receive data descriptive of details of a financial transaction, wherein the details include an indication of at least one geopolitical area associated with the financial transaction. At least one informational artifact related to at least one of reputational and regulatory risk can be associated with the at least one geopolitical area associated with the financial transaction and the computer system can generate a report comprising data descriptive of the informational artifacts associated with the at least one geopolitical area associated with the financial transaction. | 08-18-2011 |
20110302075 | BOND ISSUE RISK MANAGEMENT - The present invention provides an auction system that allows bond issue sales to be offered in an open and transparent manner, wherein, a certain percentage (up to 100%) of bonds in a bond issue can be offered to qualified bidders at a “buy now” pre-auction price, set by an issuer and/or lead manager. Investors can be allowed to “bid some bonds out of the auction process” and thus guarantee their allocation and also allow bidders to participate in an open auction for other bonds. Bonds to be offered in a bond issue can include a subset of pre-auction price bonds and a subset of auction price bonds. The pre-auction price bonds are offered to pre-auction bidders at a pre-auction price, and auction bonds are generally sold to the highest bidder. Pre-auction sales can serve as a catalyst for generating enthusiasm for an associated bond issue auction. | 12-08-2011 |
20120036056 | Hedge Fund Risk Management - A computerized method and system for managing risk associated with a Hedge Fund is disclosed. Information relating to Hedge Funds is gathered and stored as data in preparation for a risk inquiry search relating to a Hedge Fund. Documents and sources of information can also be stored. A subscriber, such as a Financial Institution, can submit a Hedge Fund descriptor for which a risk inquiry search can be performed. The risk assessment or inquiry search can include data retrieved resultant to augmented retrieval methods. Scrubbed data as well as augmented data can be transmitted from a risk management clearinghouse to a subscriber or to a proprietary risk system utilized by a subscriber, such as a risk management system maintained in-house. Risk inquiry searches can be automated and made a part of standard operating procedure for any transaction conducted by the subscriber in which a Hedge Fund is involved. | 02-09-2012 |
20120066239 | Link Analysis Mapping Program Risk Management - A method and system for managing risk by indicating links between one or more persons or entities which can include a process that gathers information about individuals and organizations into a computerized system where it can be analyzed to associate one or more individuals or organizations with links to other individuals or organizations. A user can designate a person or entity and the system will provide an indication of linkages associated with the designated person. Some embodiments can include a user specifying a particular type of link or limit links to a specified degree of separation between the designated person and any other person or entity. | 03-15-2012 |
20120072332 | Public Offering Risk Management - The present invention provides an auction system that allows IPO sales to be offered in an open and transparent manner, wherein, a certain percentage (up to 100%) of shares in an IPO can be offered to qualified bidders at a “buy now” pre-auction price, set by an issuer and/or underwriter. Investors can be allowed to “bid some shares out of the auction process” and thus guarantee those investors' allocation while also allowing bidders to participate in an open auction for other shares. Shares of stock to be offered in an IPO can include a subset of pre-auction price shares and a subset of auction price shares. The pre-auction price shares are offered to pre-auction bidders at a pre-auction price, and auction shares are generally sold to the highest bidder. Pre-auction sales can serve as a catalyst for generating enthusiasm for an associated IPO auction. | 03-22-2012 |
20120109807 | Gaming Industry Risk Management Clearinghouse - Systems, methods, apparatus, computer program code and means for gathering, organizing and presenting on a real time basis information pertinent to Risks associated with subjects related to the Gaming Industry. Risks associated with the Gaming Industry can be managed by gathering data relevant to the Gaming Industry from multiple sources and aggregating the gathered data according to one or more risk variables. An inquiry relating to a risk subject can be received and portions of the aggregated data can be associated with the risk subject. The associated portions of the aggregated data can be transmitted to an entity placing the inquiry or other designated destination. | 05-03-2012 |
20120116954 | AUTOMATED GLOBAL RISK MANAGEMENT - A computerized risk management method and system for facilitating analysis and quantification of risk associated with a financial transaction. An automated global risk management system maintains a database relating risk variables including world events government advisories, and other information sources with potential risk for a financial institution. The system generates a risk quotient or other rating based upon a weighted algorithm applied to the criteria, wherein the risk quotient is indicative of risk associated with a financial transaction or account. The quotient can be monitored on a periodic basis, during the course of a transaction, or on demand. Actions commensurate with a risk quotient can be presented to a financial institution to help the institution properly manage risk associated with a particular entity or transaction. A log or other stored history can be created such that utilization of the system can mitigate adverse effects relating to a problematic account. | 05-10-2012 |
20120265675 | Proprietary Risk Management Clearinghouse - A computerized risk management method and system for facilitating analysis and quantification of risk associated with a risk subject on a proprietary basis. A proprietary risk management system combines gathered information with information received from a source such as an automated risk management clearinghouse system and maintains a database to relate risk variables and calculate a measurement of risk. The measurement, which can be a risk quotient or other rating based upon a weighted algorithm applied to the risk variables, is indicative of risk associated with the risk subject. Actions commensurate with a risk quotient can be presented to a user to facilitate management of risk associated with a particular entity or transaction or other transaction. A stored history can be created to mitigate adverse effects relating to a problematic transaction. | 10-18-2012 |
20120284186 | Automated Political Risk Management - A risk management method and system for facilitating analysis and quantification of risk associated with politically exposed persons is disclosed. A computerized political risk management system maintains a database relating individuals to politically sensitive positions and world events. A rating system is used to assess risk based upon criteria such as a position held, historical data and/or interpretation of world events. The system can generate a risk quotient or other rating based upon a weighted algorithm applied to the criteria. The risk quotient is indicative of risk associated with an account. Actions commensurate with a risk quotient can be presented to an institution to help the institution properly manage risk associated with a politically exposed person. A log or other stored history can be created such that utilization of the system can mitigate adverse effects relating to a problematic account. | 11-08-2012 |
20120323773 | BIOMETRIC RISK MANAGEMENT - The present invention provides methods and systems for managing Risk by associating a biometric profile with other data relevant to a Risk subject. Computerized systems can receive informational data that relates generally to Risk variables and relate the information to known biometric profiles. Compiled information can be situated and conveyed to a compliance department and be able to demonstrate to regulators that a financial institution has met standards relating to Risk containment. | 12-20-2012 |
20130018664 | CONSTRUCTION INDUSTRY RISK MANAGEMENT CLEARINGHOUSE - Systems, methods, apparatus, computer program code and means for gathering, organizing and presenting on a real time basis information pertinent to Risks associated with subjects related to the Construction Industry. Risks associated with the Construction Industry can be managed by gathering data relevant to the Construction Industry from multiple sources and aggregating the gathered data according to one or more Risk variables. An inquiry relating to a Risk subject can be received and portions of the aggregated data can be associated with the Risk subject. The associated portions of the aggregated data can be transmitted to an entity placing the inquiry or other designated destination. | 01-17-2013 |
20130060671 | SECURITIES TRADING SYSTEM - A securities trading program for trading individual lots of a security which can be run at a security trader's computer station. The program generates a trading screen comprising a listing of multiple bids for the security, each bid having a price, as well as a listing of multiple priced offers for the security. The bid and offer listings are active, enabling the trader to hit any one of the displayed bids or take any one of the displayed offers, for example by selecting and clicking on a displayed bid or offer. In one embodiment, the bids and offers are arranged in side-by-side columns on the trader's screen, helping the trader to rapidly overview the market for a particular security, and compare different, possibly competitive, securities by paging through level-of-interest windows for each security. The invention's easily manipulated insights into market dynamics offers a sophisticated trader new opportunities to profitably exploit market niches, for example by browsing for attractive bids or offers on closely comparable securities. | 03-07-2013 |
20130073482 | Hedge Fund Risk Management - A computerized method and system for managing risk associated with a Hedge Fund is disclosed. Information relating to Hedge Funds is gathered and stored as data in preparation for a risk inquiry search relating to a Hedge Fund. Documents and sources of information can also be stored. A subscriber, such as a Financial Institution, can submit a Hedge Fund descriptor for which a risk inquiry search can be performed. The risk assessment or inquiry search can include data retrieved resultant to augmented retrieval methods. Scrubbed data as well as augmented data can be transmitted from a risk management clearinghouse to a subscriber or to a proprietary risk system utilized by a subscriber, such as a risk management system maintained in-house. Risk inquiry searches can be automated and made a part of standard operating procedure for any transaction conducted by the subscriber in which a Hedge Fund is involved. | 03-21-2013 |
20130218737 | Independent Research Consensus Earnings Estimates And Methods Of Determining Such - Apparatus and methods are described for correlating business relationships and issuing earnings estimates. According to the present invention, an earnings estimate can be generated for a company as it compares to a consensus estimate, or other rating aggregate, along with an indication of an investment banking relationship or other business relationship that the entity providing the estimate has had with the company. In addition to a consensus estimate that may be based upon current and previous analyst earnings estimates, operating actuals, expected reporting dates, footnotes and company-issued guidelines, indications of investment banking relationships and a consensus estimate is provided that excludes input from banks conducting business with the company. The present invention can also include suggested actions that can be taken based upon data relating to an investment banking relationship, an earnings estimate and/or a consensus earnings estimate that excludes input from banks with substantial business relationships with the company. | 08-22-2013 |
20130246401 | Method, System, Apparatus, Program Code And Means For Determining A Redundancy Of Information - Some embodiments include a system, method, apparatus and means for determining that first information in an input data packet is not redundant with second information previously stored in a database system, includes receiving the input data packet, generating a database query based on one or more tagged portions in the input data packet, comparing second information retrieved by the database query with the first information to identify at least a first portion of the first information that is different than the second information, and causing storage of the at least a first portion of the first information in the database system. | 09-19-2013 |
20130297484 | Public Offering Risk Management - The present invention provides an auction system that allows IPO sales to be offered in an open and transparent manner, wherein, a certain percentage (up to 100%) of shares in an IPO can be offered to qualified bidders at a “buy now” pre-auction price, set by an issuer and/or underwriter. Investors can be allowed to “bid some shares out of the auction process” and thus guarantee those investors' allocation while also allowing bidders to participate in an open auction for other shares. Shares of stock to be offered in an IPO can include a subset of pre-auction price shares and a subset of auction price shares. The pre-auction price shares are offered to pre-auction bidders at a pre-auction price, and auction shares are generally sold to the highest bidder. Pre-auction sales can serve as a catalyst for generating enthusiasm for an associated IPO auction. | 11-07-2013 |
20140067636 | Automated Account Risk Management - A computerized system and method for structuring risk management and assist a financial institution quantify financial, legal, regulatory and reputational risk associated with opening accounts related to management of financial assets and investments and facilitate analysis and quantification of risk. An automated account opening risk management system receives information quantifying factors relating to financial, legal, regulatory and/or reputational risk. The information is utilized to generate a risk quotient or other rating based upon a weighting algorithm applied to the criteria. The risk quotient is indicative of risk associated with an account. The quotient can be monitored on account opening, periodically or during a transaction. A log or other stored history can be created to help mitigate adverse effects relating to a problematic account by demonstrating to regulatory bodies, shareholders, news media and other interested parties that corporate governance is being addressed through tangible risk management processes. | 03-06-2014 |
20140074548 | Systems And Methods For Managing Information Associated With Legal, Compliance And Regulatory Risk - Some embodiments include a system, method, apparatus and means for managing information associated with risk. In some embodiments, information associated with risk is collected, analyzed, stored, and disseminated. According to some embodiments, the information associated with risk is utilized to identify risk. | 03-13-2014 |
20140344130 | Systems And Methods For Automated Political Risk Management - Some embodiments include a system, method, apparatus and means for automated political risk management. According to some embodiments, a computer-implemented method to facilitate management of risk related to political exposure associated with a financial transaction may include receiving financial transaction data associated with the transaction, determining that a participant is a politically identified person, calculating a first category political risk score based on the financial transaction data, calculating a second category political risk score based on the financial transaction data, calculating an overall transaction political risk quotient associated with the financial transaction based on the first and the second category politically risk scores, and generating a suggested action for the financial transaction based on the overall transaction political risk quotient. | 11-20-2014 |
20150019406 | Systems, Methods, Apparatus, And Schema For Storing, Managing And Retrieving Information - Some embodiments include a system, method, apparatus and schema for managing and retrieving information associated with risk. | 01-15-2015 |
20150073861 | Gaming Industry Risk Management Clearinghouse - Systems, methods, apparatus, computer program code and means for gathering, organizing and presenting on a real time basis information pertinent to Risks associated with subjects related to the Gaming Industry. Risks associated with the Gaming Industry can be managed by gathering data relevant to the Gaming Industry from multiple sources and aggregating the gathered data according to one or more risk variables. An inquiry relating to a risk subject can be received and portions of the aggregated data can be associated with the risk subject. The associated portions of the aggregated data can be transmitted to an entity placing the inquiry or other designated destination. | 03-12-2015 |
Patent application number | Description | Published |
20100037612 | FUEL DIVIDER SYSTEM FOR GAS TURBINE ENGINE - A fuel divider system includes a housing assembly and a flow passage network having an inlet, a primary outlet, and a secondary outlet. A fuel divider piston is slidably disposed within the housing assembly and movable between a flow biasing position and a flow equalizing position. A control chamber is fluidly coupled to the flow passage network and fluidly communicates with the piston. An inlet chamber, at least partially defined by the piston and the housing assembly, is fluidly coupled to the inlet. At least one channel is provided through the piston and configured to cooperate with the flow passage network to port the FD control chamber to: (i) the fuel pressure at the secondary outlet when the FD piston is in the flow biasing position, and (ii) the fuel pressure within the inlet chamber when the FD piston is in the flow equalizing position. | 02-18-2010 |
20100050593 | FLOW EQUALIZING OVERRIDE ASSEMBLY FOR FUEL DIVIDER SYSTEM - A flow equalizing override assembly is provided for use in conjunction with a gas turbine engine (GTE) and a fuel divider system. In one embodiment, the flow equalizing override assembly includes a housing assembly, a fuel divider (FD) valve, a remotely-actuatable valve, and a controller. The FD valve includes: (i) a piston slidably disposed within the housing assembly and movable between a default position and a flow equalizing position, and (ii) a control chamber defined by the piston and the housing assembly. The remotely-actuatable valve is fluidly coupled to the control chamber and is configured to selectively adjust the fuel pressure therein. The controller is configured to command the remotely-actuatable valve to adjust the pressure within the control chamber such that the piston moves from the default position to the flow equalizing position after ignition of the GTE. | 03-04-2010 |
20100058733 | ECOLOGY VALVE FUEL RETURN SYSTEM FOR GAS TURBINE ENGINE - An ecology valve (EV) fuel return system is provided. In one embodiment, the EV fuel return system includes a housing assembly having a fuel return outlet and a first manifold inlet. The fuel return outlet is fluidly coupled to a fuel supply system, and the first manifold inlet is fluidly coupled to a first manifold of a gas turbine engine (GTE). An ecology valve is disposed in the housing assembly and fluidly coupled to the fuel return outlet and to the first manifold inlet. A fuel routing assembly is fluidly coupled between the first manifold inlet, the fuel return outlet, and the ecology valve. The fuel routing assembly routes fuel: (i) from the first manifold inlet to the ecology valve when the GTE is in a shut-down mode, and (ii) from the ecology valve to the fuel return outlet when the GTE is in an engine start mode. | 03-11-2010 |
20100132368 | ECOLOGY VALVE FUEL RETURN SYSTEM OPERABLE IN FLUID ISOLATION DURING GAS TURBINE ENGINE SHUT-DOWN - In one embodiment, an ecology valve (EV) fuel return system includes a housing assembly, an ecology valve, and a fuel routing assembly. The ecology valve includes an EV piston slidably disposed within the housing assembly for movement between a fuel storage position and a fuel return position, a fuel storage chamber defined by the EV piston and the housing assembly, and an EV control chamber defined by the EV piston and the housing assembly. The fuel routing assembly, which is fluidly coupled to the EV control chamber and to the fuel storage chamber, is configured to route fuel: (i) from the fuel storage chamber to a fuel supply system when a gas turbine engine (GTE) is in a start-up mode, and (ii) from the first fuel manifold and from the EV control chamber to the fuel storage chamber when the GTE is in a shut-down mode. | 06-03-2010 |
20120067022 | GAS TURBINE ENGINE FUEL CONTROL THRUST CONTROL OVERRIDE SYSTEM - A gas turbine engine fuel control system is provided that includes a fuel metering valve and a thrust control valve. The fuel metering valve includes a metering valve inlet and a metering valve outlet. The metering valve inlet is adapted to receive a flow of fuel, and is configured to control the flow of fuel through the metering valve outlet. The thrust control valve is adapted to receive thrust control valve override signals and is configured, in response thereto, to move from a first position, in which flow from the metering valve is not impacted, and a second position, in which flow from the metering valve is blocked while flow through a fixed-area orifice is allowed. | 03-22-2012 |
20130320147 | GEAR PUMP, PUMPING APPARATUS INCLUDING THE SAME, AND AIRCRAFT FUEL SYSTEM INCLUDING GEAR PUMP - A pumping apparatus includes a gear pump in fluid communication with a boost pump. The gear pump includes a pump housing, a first gear, and a second gear. The first and second gear have gear teeth and trunnions on opposite sides thereof, and are disposed in the pump housing. The gear teeth of the first and second gear are meshed in a mesh region. An inlet cavity is defined adjacent to the first and second gear, on one side of the mesh region. A pump outlet is defined on an opposite side of the mesh region from the inlet cavity. A bearing is configured to support at least one trunnion of the first gear and/or the second gear. A bearing interface is defined between the bearing and the at least one trunnion. A flow path is defined between the bearing interface and the inlet cavity. | 12-05-2013 |