System and method for verified compliance implementation

Abstract

A compliance computer creates compliance documents referencing one or more rules with which an entity must comply and/or a jurisdiction and topic related to rules with which the company must comply. A transmission object is created based on the compliance documents. The transmission object includes general information pertinent to the rules and/or the entity (e.g., jurisdictional or topical information). An operator server receives one or more transmission objects from one or more compliance computers. The operator server identifies rules pertinent to each transmission object and conducts a search to determine whether any of those rules have been modified. The operator server sends a signal that is associated with the one or more compliance rules to the compliance computer.

We claim: 
     
         1 . A computer-implemented method comprising:
 identifying, by a compliance computer, compliance rules in a compliance document, the compliance document containing an entity's confidential information;   creating, by the compliance computer, metadata identifying the compliance rules in the compliance document;   creating, by the compliance computer, a transmission object, which does not include the entity's confidential information, by incorporating the metadata identifying the compliance rules into the transmission object;   sending, by the compliance computer, the transmission object; and   receiving by the compliance computer, in response to sending the transmission object, a notification identifying an update to at least one of the compliance rules in the compliance document.   
     
     
         2 . The method of  claim 1 , wherein the metadata in the transmission object identifies a set of jurisdictions and a set of topics. 
     
     
         3 . The method of  claim 1 , wherein the metadata identifies a section of the compliance document in which the compliance rules are located. 
     
     
         4 . The method of  claim 1 , wherein the update to the at least one compliance rule is a modification to the at least one compliance rule, and wherein the method further comprises updating the compliance document by incorporating the modification into the compliance document. 
     
     
         5 . The method of  claim 1 , further comprising:
 receiving, by the compliance computer, a template containing a prompt for information relating to the compliance rules; and   using the information prompted by the template to create the compliance document.   
     
     
         6 . The method of  claim 1 , further comprising:
 generating a template based on the compliance document; and   storing the metadata in the template.   
     
     
         7 . The method of  claim 6 , wherein identifying the compliance rules in the compliance document includes automatically searching the compliance document to identify the compliance rules. 
     
     
         8 . The method of  claim 7 , wherein the automatically searching the compliance document includes searching the compliance document for predetermined key words relating to the compliance rules. 
     
     
         9 . The method of  claim 1 , wherein the notification includes updated text of an updated compliance rule, the method further comprising:
 searching, by the compliance computer, the metadata for the updated compliance rule; and   incorporating the updated text of the updated compliance rule into the compliance document.   
     
     
         10 . A system comprising:
 a compliance computer comprising memory containing instructions to cause a processor to:
 identify compliance rules in a compliance document, 
 create metadata identifying the compliance rules in the compliance document, 
 create a transmission object by incorporating the metadata identifying the compliance rule into the transmission object, 
 send the transmission object, and 
 update at least one of the compliance rules in the compliance document in response to a notification that at least one of the compliance rules has been updated, 
 wherein the compliance document contains an entity's confidential information, wherein the transmission object does not include the entity's confidential information, wherein the update occurs after the transmission object is sent. 
   
     
     
         11 . The system of  claim 10 , further comprising:
 a server comprising a database storing a set of compliance rules, the server is configured to:
 receive the transmission object from the compliance computer, 
 search the set of compliance rules in the database for matches of the compliance rules identified by the metadata, 
 determine that at least one of the compliance rules identified by the metadata has been updated, 
 generate and send the notification to the compliance computer identifying which of the compliance rules from the compliance document has been updated. 
   
     
     
         12 . The system of  claim 11 , wherein the server is configured to search sources for updates to the set of compliance rules stored in the database. 
     
     
         13 . The system of  claim 12 , wherein the server is configured to search sources for updates using key words referencing the set of compliance rules. 
     
     
         14 . The system of  claim 12 , wherein the server is configured to update the database in response to determining that at least one of the set of compliance rules has been updated from one of the sources. 
     
     
         15 . The system of  claim 10 , wherein the metadata identifies a section of the compliance document in which the compliance rules are located. 
     
     
         16 . The system of  claim 10 , wherein the notification includes updated text of the updated compliance rule, the instructions configured to cause the processor to:
 search the metadata for the updated compliance rule, and   incorporate the updated text of the updated compliance rule into the compliance document.   
     
     
         17 . The system of  claim 10 , wherein the instructions are configured to cause the processor to:
 generate a template based on the compliance document; and   store the metadata in the template.   
     
     
         18 . The system of  claim 17 , wherein identifying the compliance rules in the compliance document includes automatically searching the compliance document to identify the compliance rules. 
     
     
         19 . The system of  claim 18 , wherein the automatically searching the compliance document includes searching the compliance document for predetermined key words relating to the compliance rules. 
     
     
         20 . The system of  claim 10 , wherein the metadata is stored in a computer object on the compliance computer.