Anthony Howard Martinez

US Patent:

20180211317, Jul 26, 2018

Filed:

Jan 25, 2018

Appl. No.:

15/879623

Inventors:

- London, GB
Kurt Erich Huhner - New York NY, US
Adam Levy - Monmouth Beach NJ, US
Anthony J. Martinez - Lake Grove NY, US
James J. Biancamano - Hillsborough NJ, US
Juan Carlos Mauras - West New York NJ, US

Assignee:

FIDESSA PLC - London

International Classification:

G06Q 40/04
G06Q 30/00
G06Q 30/06

Abstract:

The methods and systems described herein can be used for proactively monitoring regulatory compliance within an order management system, and for providing a real-time or near real-time recommendation relating to a subgroup of information containing suspicious attributes of a trade before the trade is executed. As such, market abuse monitoring is integrated with the order management system to provide historical trade data, identify a subgroup of information containing the suspicious attributes, and provide an actionable and contextualized real-time or near real-time recommendation to a compliance officer or other appropriate individual, officer, or office. As such, potential market abuse can be prevented by, for example, a rejection of the trade. By providing proactive surveillance rather than reactive surveillance relating to potential market abuse, fines or other consequences are also prevented. As such, compliance is improved.

Address:

1802 Celtic Ct, Bakersfield, CA 93311

Phone:

(661)6671032

VIN:

WP0AB2A7XCL060750

Make:

PORSCHE

Model:

PANAMERA

Year:

2012