WO2009054979A3 - System and method for assigning responsibility for trade order execution - Google Patents

System and method for assigning responsibility for trade order execution Download PDF

Info

Publication number
WO2009054979A3
WO2009054979A3 PCT/US2008/012029 US2008012029W WO2009054979A3 WO 2009054979 A3 WO2009054979 A3 WO 2009054979A3 US 2008012029 W US2008012029 W US 2008012029W WO 2009054979 A3 WO2009054979 A3 WO 2009054979A3
Authority
WO
WIPO (PCT)
Prior art keywords
trade
order
trade order
sponsoring organization
market impact
Prior art date
Application number
PCT/US2008/012029
Other languages
French (fr)
Other versions
WO2009054979A2 (en
WO2009054979A8 (en
Inventor
Allan T Chiulli
Original Assignee
Uat Inc
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
Priority claimed from US12/140,047 external-priority patent/US7831503B2/en
Application filed by Uat Inc filed Critical Uat Inc
Priority to EP08843194A priority Critical patent/EP2210231A4/en
Priority to AU2008317348A priority patent/AU2008317348A1/en
Priority to JP2010531031A priority patent/JP2011501315A/en
Priority to CN200880122647.4A priority patent/CN101911106A/en
Priority to CA2703233A priority patent/CA2703233A1/en
Publication of WO2009054979A2 publication Critical patent/WO2009054979A2/en
Publication of WO2009054979A3 publication Critical patent/WO2009054979A3/en
Priority to ZA2010/02603A priority patent/ZA201002603B/en
Publication of WO2009054979A8 publication Critical patent/WO2009054979A8/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
    • 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
    • G06Q40/03—Credit; Loans; Processing thereof
    • 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
    • G06Q40/06—Asset management; Financial planning or analysis

Abstract

An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as 'high touch' (significant effort and market impact) or 'low touch' (insignificant effort and market impact).
PCT/US2008/012029 2007-10-24 2008-10-23 System and method for assigning responsibility for trade order execution WO2009054979A2 (en)

Priority Applications (6)

Application Number Priority Date Filing Date Title
EP08843194A EP2210231A4 (en) 2007-10-24 2008-10-23 System and method for assigning responsibility for trade order execution
AU2008317348A AU2008317348A1 (en) 2007-10-24 2008-10-23 System and method for assigning responsibility for trade order execution
JP2010531031A JP2011501315A (en) 2007-10-24 2008-10-23 System and method for assigning responsibilities for trade order execution
CN200880122647.4A CN101911106A (en) 2007-10-24 2008-10-23 System and method for assigning responsibility for trade order execution
CA2703233A CA2703233A1 (en) 2007-10-24 2008-10-23 System and method for assigning responsibility for trade order execution
ZA2010/02603A ZA201002603B (en) 2007-10-24 2010-04-14 System and method for assigning responsibilty for trade order execution

Applications Claiming Priority (6)

Application Number Priority Date Filing Date Title
US98232007P 2007-10-24 2007-10-24
US60/982,320 2007-10-24
US12/140,047 US7831503B2 (en) 2006-04-12 2008-06-16 System and method for optimizing the broker selection process to minimize total execution cost of securities trades
US12/140,047 2008-06-16
US12/256,196 US7809632B2 (en) 2006-04-12 2008-10-22 System and method for assigning responsibility for trade order execution
US12/256,196 2008-10-22

Publications (3)

Publication Number Publication Date
WO2009054979A2 WO2009054979A2 (en) 2009-04-30
WO2009054979A3 true WO2009054979A3 (en) 2009-06-11
WO2009054979A8 WO2009054979A8 (en) 2010-06-17

Family

ID=40580291

Family Applications (1)

Application Number Title Priority Date Filing Date
PCT/US2008/012029 WO2009054979A2 (en) 2007-10-24 2008-10-23 System and method for assigning responsibility for trade order execution

Country Status (8)

Country Link
US (7) US7809632B2 (en)
EP (1) EP2210231A4 (en)
JP (1) JP2011501315A (en)
CN (1) CN101911106A (en)
AU (1) AU2008317348A1 (en)
CA (1) CA2703233A1 (en)
WO (1) WO2009054979A2 (en)
ZA (1) ZA201002603B (en)

Families Citing this family (101)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US7698207B2 (en) * 2003-07-11 2010-04-13 OMX Technology Automated method and a system for clearing and settling trades in a CSD-system
CN101076824B (en) 2004-03-05 2017-09-22 N·凯莱布·阿韦里 For optimal pricing and the method and system of distribution
JP2008535125A (en) * 2005-04-05 2008-08-28 リーマン・ブラザーズ・インコーポレーテッド System and method for order analysis, enhancement and execution
US7809632B2 (en) * 2006-04-12 2010-10-05 Uat, Inc. System and method for assigning responsibility for trade order execution
US7685057B2 (en) 2006-04-12 2010-03-23 Uat, Inc. System and method for facilitating unified trading and control for a sponsoring organization's money management process
WO2008101230A1 (en) * 2007-02-16 2008-08-21 Gary Ardell Systems methods, and media for trading securities
US7788167B1 (en) 2007-03-21 2010-08-31 Trading Technologies International, Inc. System and method for management and analysis of electronic trade orders
US10176523B1 (en) * 2007-03-30 2019-01-08 Vestmark, Inc. System and method for automated trade processing
US8620759B1 (en) 2007-05-23 2013-12-31 Convergex Group, Llc Methods and systems for processing orders
US7840481B2 (en) * 2007-06-07 2010-11-23 Bny Convergex Execution Solutions Llc Aged transactions in a trading system
US8239369B2 (en) * 2008-03-20 2012-08-07 DBSophic, Ltd. Method and apparatus for enhancing performance of database and environment thereof
US8332305B1 (en) 2008-09-22 2012-12-11 Optionmonster Holdings, Inc. Automatic strategy grouping for a trading system
US8352353B1 (en) * 2008-09-26 2013-01-08 Realtick Llc Method and system for maintaining trading accounts
WO2010093963A1 (en) * 2009-02-13 2010-08-19 Goldman Sachs & Co. Apparatuses, methods and systems for a marginal contribution to performance platform
US20110087618A1 (en) * 2009-10-09 2011-04-14 Barry Edward Papina RULE 10b5-1 TRADING PLAN SYSTEM AND METHOD
US10025622B2 (en) * 2009-11-12 2018-07-17 Oracle International Corporation Distributed order orchestration
US20110145094A1 (en) * 2009-12-11 2011-06-16 International Business Machines Corporation Cloud servicing brokering
US20110145165A1 (en) * 2009-12-14 2011-06-16 Trading Technologies International, Inc. Synthetic Spread Trading
JP5639187B2 (en) * 2009-12-14 2014-12-10 トレーディング テクノロジーズ インターナショナル インコーポレイテッド Synthetic spread trading
US20110196775A1 (en) * 2010-01-01 2011-08-11 Jeffrey Gavin Systems, Methods, and Media for Controlling the Exposure of Orders to Trading Platforms
US20110191229A1 (en) * 2010-02-03 2011-08-04 Itg Software Solutions, Inc. System and method for allocating electronic trade orders among a plurality of electronic trade venues
US20110208670A1 (en) * 2010-02-19 2011-08-25 Jpmorgan Chase Bank, N.A. Execution Optimizer
US8352354B2 (en) 2010-02-23 2013-01-08 Jpmorgan Chase Bank, N.A. System and method for optimizing order execution
US8285633B2 (en) * 2010-03-29 2012-10-09 Tarlow Maier J System and method for direct client access for management of securities transactions
US20110258100A1 (en) * 2010-04-15 2011-10-20 Bny Convergex Group Llc Systems, methods, and media for placing orders to trade securities
JP5481315B2 (en) * 2010-08-20 2014-04-23 株式会社東芝 Securities trading system and equipment
US10586227B2 (en) 2011-02-16 2020-03-10 Visa International Service Association Snap mobile payment apparatuses, methods and systems
SG193481A1 (en) 2011-02-16 2013-10-30 Visa Int Service Ass Snap mobile payment apparatuses, methods and systems
WO2012116125A1 (en) 2011-02-22 2012-08-30 Visa International Service Association Universal electronic payment apparatuses, methods and systems
US20120296795A1 (en) * 2011-05-20 2012-11-22 Citigroup Global Markets, Inc. Methods and systems for matching buy and sell orders
US9582598B2 (en) 2011-07-05 2017-02-28 Visa International Service Association Hybrid applications utilizing distributed models and views apparatuses, methods and systems
US10121129B2 (en) 2011-07-05 2018-11-06 Visa International Service Association Electronic wallet checkout platform apparatuses, methods and systems
US9355393B2 (en) 2011-08-18 2016-05-31 Visa International Service Association Multi-directional wallet connector apparatuses, methods and systems
US10825001B2 (en) 2011-08-18 2020-11-03 Visa International Service Association Multi-directional wallet connector apparatuses, methods and systems
US10242358B2 (en) 2011-08-18 2019-03-26 Visa International Service Association Remote decoupled application persistent state apparatuses, methods and systems
US9710807B2 (en) 2011-08-18 2017-07-18 Visa International Service Association Third-party value added wallet features and interfaces apparatuses, methods and systems
US10223730B2 (en) 2011-09-23 2019-03-05 Visa International Service Association E-wallet store injection search apparatuses, methods and systems
WO2013044175A1 (en) * 2011-09-23 2013-03-28 Visa International Service Association Consumer transaction leash control apparatuses, methods and systems
US8533104B2 (en) * 2011-10-07 2013-09-10 Trading Technologies International, Inc Multi-broker order routing based on net position
US8650113B2 (en) * 2011-10-28 2014-02-11 Chicago Mercantile Exchange Inc. Identification of accounts that are too profitable or too lossy
AU2013214801B2 (en) 2012-02-02 2018-06-21 Visa International Service Association Multi-source, multi-dimensional, cross-entity, multimedia database platform apparatuses, methods and systems
US20130246241A1 (en) * 2012-03-14 2013-09-19 Trading Technologies International, Inc. Dynamic Slicer Order Scheduling and Analysis Tool
US10755351B2 (en) 2012-03-29 2020-08-25 Trading Technologies International, Inc. Controlling operation of a trading algorithm based on operating condition rules
US20130290218A1 (en) * 2012-04-30 2013-10-31 Ascendant Compliance Management System and method for regulatory compliance management
WO2013188706A1 (en) * 2012-06-13 2013-12-19 Wefea, Inc. Real-time trading platform
US10776870B2 (en) 2012-08-09 2020-09-15 Environmental Financial Products, LLC Computer network systems for accurate market based benchmark estimates
US9196123B2 (en) * 2012-09-28 2015-11-24 Sightline Interactive LLC Systems and methods for balance transfers associated with gaming environments
US9245413B2 (en) 2012-09-28 2016-01-26 Sightline Interactive LLC Systems and methods for poker gameplay funding
US8708809B2 (en) * 2012-09-28 2014-04-29 Vantiv Llc Systems and methods for administration of non-wagering account associated with gaming environment
US20140143111A1 (en) * 2012-11-16 2014-05-22 Limited Liability Company "Simcord" Management system for electronic trade of financial instruments
US20140258178A1 (en) * 2013-03-11 2014-09-11 Mark Greenstein Selling Income from Tax Deferred Investments
US20140279366A1 (en) * 2013-03-15 2014-09-18 Integral Development Inc. Method and Apparatus for Generating and Facilitating the Application of Trading Algorithms Across a Multi-Source Liquidity Market
US20140289090A1 (en) * 2013-03-19 2014-09-25 N. Caleb Avery Systems and methods for configuring and modifying offerings and/or aspects of offerings
US20150081591A1 (en) * 2013-09-18 2015-03-19 The Bank Of New York Mellon System and method for collateral data aggregation and optimization
US20150127520A1 (en) 2013-12-31 2015-05-07 Nyse Group, Inc. Large liquidity seeking trading platform
US20160005117A1 (en) * 2014-07-03 2016-01-07 Chicago Mercantile Exchange Inc. Allocation based on order quality
US20160019644A1 (en) * 2014-07-18 2016-01-21 Chicago Mercantile Exchange Inc. Size-based allocation prioritization
CN104103013A (en) * 2014-07-29 2014-10-15 深圳市富途网络科技有限公司 Versatile information processing method and information interaction equipment thereby
US11165714B2 (en) 2014-12-15 2021-11-02 Royal Bank Of Canada Verification of data processes in a network of computing resources
EP3234792B1 (en) 2014-12-15 2023-06-07 Royal Bank Of Canada Verification of data processes in a network of computing resources
US20160180459A1 (en) * 2014-12-18 2016-06-23 Trading Technologies International Inc. Slicer order management tool
US20170032462A1 (en) 2015-07-30 2017-02-02 Fixnetix Limited Systems and methods for providing real-time pre-trade risk assessment
US11416912B2 (en) * 2016-05-13 2022-08-16 Digital River, Inc. High volume transaction queueing with machine learning
CN106127382B (en) * 2016-06-22 2018-09-07 财付通支付科技有限公司 Method for managing resource and device
US20180034703A1 (en) * 2016-07-26 2018-02-01 Cisco Technology, Inc. System and method for providing transmission of compliance requirements for cloud-based applications
US10579956B1 (en) * 2016-08-10 2020-03-03 Amazon Technologies, Inc. Verifying user-provided data feeds
US11048386B2 (en) 2016-11-18 2021-06-29 Ipreo Llc Graphical user interface to track dynamic data
US10331302B1 (en) 2016-11-18 2019-06-25 Ipreo Llc Graphical user interface to track dynamic data
US10216830B2 (en) 2016-12-08 2019-02-26 Bank Of America Corporation Multicomputer processing of client device request data using centralized event orchestrator and link discovery engine
US10310712B2 (en) 2016-12-08 2019-06-04 Bank Of America Corporation Multicomputer processing of client device request data with centralized event orchestration
US10296882B2 (en) 2016-12-08 2019-05-21 Bank Of America Corporation Multicomputer processing of client device request data using centralized event orchestrator and link discovery engine
US10440102B2 (en) 2016-12-08 2019-10-08 Bank Of America Corporation Multicomputer processing of client device request data using centralized event orchestrator and dynamic endpoint engine
US10264056B2 (en) 2016-12-08 2019-04-16 Bank Of America Corporation Multicomputer processing of an event request from an event origination device with centralized event orchestration
US10303335B2 (en) 2016-12-08 2019-05-28 Bank Of America Corporation Multicomputer processing of client device request data with centralized event orchestration
US10217087B2 (en) 2016-12-08 2019-02-26 Bank Of America Corporation Multicomputer processing of client device request data using centralized event orchestrator
US10298575B2 (en) 2016-12-08 2019-05-21 Bank Of America Corporation Multicomputer processing of an event authentication request with centralized event orchestration
US10360629B2 (en) * 2016-12-19 2019-07-23 The Bartley J. Madden Foundation Volume attentive trade liquidity builder
US10504180B2 (en) 2016-12-19 2019-12-10 The Bartley J. Madden Foundation Volume attentive trade liquidity builder
US10262371B2 (en) * 2017-02-06 2019-04-16 Idealratings, Inc. Automated compliance scoring system that analyzes network accessible data sources
WO2018183073A1 (en) * 2017-03-28 2018-10-04 The Bartley J. Madden Foundation Volume attentive trade liquidity builder
US11514521B1 (en) * 2017-05-12 2022-11-29 Jpmorgan Chase Bank, N.A. Method and system for implementing a consolidated limits repository
WO2019126390A1 (en) * 2017-12-19 2019-06-27 Baton Systems, Inc. Financial settlement systems and methods
JP7128507B2 (en) * 2018-04-05 2022-08-31 ＷｏｗＢｅｅ株式会社 Investment Transaction Agency System, Information Processing Device, Investment Transaction Agency Method, Investment Transaction Agency Program
US20190318424A1 (en) 2018-04-13 2019-10-17 Moneygram International, Inc. Systems and methods for implementing a blockchain-based money transfer
US10511520B1 (en) * 2018-05-29 2019-12-17 Ripple Labs Inc. Multi-hop path finding
CN108965474B (en) * 2018-08-27 2021-08-13 百度在线网络技术（北京）有限公司 Topic production method and device based on block chain
US20200202432A1 (en) * 2018-12-19 2020-06-25 David Sun Self-governing trade request management systems
US11568362B2 (en) 2019-01-02 2023-01-31 International Business Machines Corporation Systems and methods for visualizing a trade life cycle and detecting discrepancies
CN109711948A (en) * 2019-01-09 2019-05-03 广州视源电子科技股份有限公司 Item recommendation method, device, equipment and storage medium
US20220309585A1 (en) * 2019-06-19 2022-09-29 Su2 Systems, Inc. Multi-Broker Concurrent Portfolio Management System and Method
WO2022015542A1 (en) * 2020-07-14 2022-01-20 University Hospitals Health System, Inc. Electronic impact platform for sustainable investment in socially responsible endeavors
US20220027991A1 (en) * 2020-07-24 2022-01-27 Click IPO Holdings, LLC Systems and methods for tracking and reporting user interactions with data objects
EP4205066A1 (en) * 2020-08-27 2023-07-05 Tradeweb Markets LLC Systems and methods for competitive portfolio trading
CN112116471B (en) * 2020-09-02 2021-09-28 北京睿智融科控股股份有限公司 Real-time algorithm trading bus system in securities algorithm trading process
CN112070964A (en) * 2020-09-15 2020-12-11 般诺智能(深圳)有限公司 Vending method of desktop type vending machine
CN111932381A (en) * 2020-09-28 2020-11-13 北京口袋财富信息科技有限公司 Investment portfolio adjusting method and device, readable storage medium and computing equipment
CN112598382B (en) * 2020-12-23 2024-01-23 深圳市富途网络科技有限公司 Service resource allocation method, device, electronic equipment and storage medium
US20220215470A1 (en) * 2021-01-04 2022-07-07 Stirlingshire Investments, Inc. System and Method for Pushing Recommended Financial Transactions to a Mobile Device or Computer
CN112860629B (en) * 2021-03-05 2021-11-30 中邮消费金融有限公司 Method and system for attributing performance, computer equipment and readable storage medium thereof
CN113469710B (en) * 2021-07-06 2022-10-11 携程商旅信息服务（上海）有限公司 Consultation order prediction method, system, electronic equipment and storage medium
US20230177604A1 (en) * 2021-12-06 2023-06-08 Jonathon FLETCHER Dynamic allocation of locations of matching engines in a cloud-based exchange

Citations (4)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US20030167221A1 (en) * 2002-03-01 2003-09-04 Kochansky Joseph M. Investment portfolio compliance system
JP2004133949A (en) * 2003-11-27 2004-04-30 Daiko Shoken Business Co Ltd Online broker business outsourcing system
US20060080199A1 (en) * 2001-02-09 2006-04-13 Tarbox Brian C Systems and method for improving investment performance
US20070192170A1 (en) * 2004-02-14 2007-08-16 Cristol Steven M System and method for optimizing product development portfolios and integrating product strategy with brand strategy

Family Cites Families (54)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US5136501A (en) 1989-05-26 1992-08-04 Reuters Limited Anonymous matching system
US5132899A (en) 1989-10-16 1992-07-21 Fox Philip J Stock and cash portfolio development system
US6018722A (en) 1994-04-18 2000-01-25 Aexpert Advisory, Inc. S.E.C. registered individual account investment advisor expert system
US5918218A (en) 1994-09-01 1999-06-29 First Data Investor Services Group, Inc. Method and apparatus for automated trade transactions processing
AU4373196A (en) 1994-12-13 1996-07-03 Fs Holdings, Inc. A system for receiving, processing, creating, storing and disseminating investment information
WO1996041293A1 (en) 1995-06-07 1996-12-19 Citibank, N.A. Method and system for providing integrated brokerage and other financial services through customer activated terminals
US7249037B2 (en) 1996-09-09 2007-07-24 Bancorp Services L.L.P. System for managing a stable value protected investment plan
US5873071A (en) 1997-05-15 1999-02-16 Itg Inc. Computer method and system for intermediated exchange of commodities
US6393409B2 (en) 1997-10-31 2002-05-21 Morgan Stanley Dean Witter & Co. Computer method and apparatus for optimizing portfolios of multiple participants
AU774433B2 (en) 1998-03-11 2004-06-24 Foliofn, Inc. Method and apparatus for enabling individual or smaller investors or others to create and manage a portofolio of securities or other assets or liabilities on a cost effective basis
US6996539B1 (en) 1998-03-11 2006-02-07 Foliofn, Inc. Method and apparatus for enabling smaller investors or others to create and manage a portfolio of securities or other assets or liabilities on a cost effective basis
US6136501A (en) * 1998-08-28 2000-10-24 Shipley Company, L.L.C. Polymers and photoresist compositions comprising same
US6161098A (en) 1998-09-14 2000-12-12 Folio (Fn), Inc. Method and apparatus for enabling small investors with a portfolio of securities to manage taxable events within the portfolio
US6606606B2 (en) 1998-11-09 2003-08-12 Onecore Financial Network, Inc. Systems and methods for performing integrated financial transaction
US6360210B1 (en) 1999-02-12 2002-03-19 Folio Trade Llc Method and system for enabling smaller investors to manage risk in a self-managed portfolio of assets/liabilities
US6338047B1 (en) 1999-06-24 2002-01-08 Foliofn, Inc. Method and system for investing in a group of investments that are selected based on the aggregated, individual preference of plural investors
US6615188B1 (en) 1999-10-14 2003-09-02 Freedom Investments, Inc. Online trade aggregating system
US6820069B1 (en) 1999-11-10 2004-11-16 Banker Systems, Inc. Rule compliance system and a rule definition language
US7206760B1 (en) 2000-01-07 2007-04-17 First Trust Portfolios L.P. Method of selecting securities for a portfolio
KR20020019330A (en) 2000-09-05 2002-03-12 박종섭 Method for handoff in integrated internet protocol network
AU2001249658A1 (en) 2000-03-31 2001-10-15 Robert P. Gerometta Method, system, and computer-usable medium for computer-assisted trading
US6947901B1 (en) 2000-04-27 2005-09-20 Hunter Ip Llc Derivative securities trading product utilizing subsets of indices or portfolios
AU2001266802A1 (en) 2000-06-08 2001-12-17 Goldman Sachs And Co. Method and system for automated transaction compliance processing
KR100368540B1 (en) 2000-06-20 2003-01-24 기아특수강 주식회사 A low alloyed high speed tool steel for hot and warm working having good toughness and high strength and manufacture method thereof
US6638047B2 (en) * 2000-09-27 2003-10-28 Yazaki Corporation Molding machine
US7599869B2 (en) 2000-10-11 2009-10-06 Charles Schwab & Co. Pre-trade compliance checking in a portfolio management system
US20020143689A1 (en) 2001-03-30 2002-10-03 Naylor Mark Jeremy Melville Trade aggregation system
US7606747B2 (en) 2001-05-10 2009-10-20 Ubs Ag Global compliance system
JP2003044663A (en) * 2001-07-27 2003-02-14 Nri & Ncc Co Ltd Collation management system
US20030093352A1 (en) 2001-10-15 2003-05-15 Muralidhar Sanjay P. Method, apparatus and program for evaluating financial trading strategies and portfolios
US20030120575A1 (en) 2001-11-15 2003-06-26 Foliofn, Inc. Method and apparatus for providing investment advice to multiple investors
US20030120574A1 (en) 2001-11-15 2003-06-26 Foliofn, Inc. Method and apparatus for creating investment advice marketplace
AU2003234214A1 (en) 2002-04-25 2003-11-10 Foliofn, Inc. Method and apparatus for converting collectively owned and pooled investment accounts into individually owned accounts
US7702556B2 (en) 2002-08-14 2010-04-20 Water Street Advisers, Inc. Process for the selection and evaluation of investment portfolio asset allocation strategies
WO2004019167A2 (en) 2002-08-20 2004-03-04 Foliofn, Inc. Method and apparatus for portfolio trading using margin
JP2004227035A (en) * 2003-01-20 2004-08-12 Hitachi Kokusai Electric Inc Securities business support system
US20040162741A1 (en) * 2003-02-07 2004-08-19 David Flaxer Method and apparatus for product lifecycle management in a distributed environment enabled by dynamic business process composition and execution by rule inference
JP4331980B2 (en) * 2003-05-30 2009-09-16 株式会社大和証券グループ本社 Apparatus, method, and program for ordering a transaction by evaluating a transaction broker
US8090641B1 (en) * 2003-08-29 2012-01-03 Trading Technologies International, Inc. System and method for trading order priority levels in an electronic trading environment
US20050154662A1 (en) 2003-11-06 2005-07-14 Langenwalter James A. Asset allocation, rebalancing, and investment management system
US8799120B2 (en) 2003-11-14 2014-08-05 Capital One Financial Corporation Systems and methods for managing a financial investment fund
US20050267835A1 (en) * 2003-12-31 2005-12-01 Scott Condron System and method for evaluating exposure across a group of investment portfolios by category
US20050273424A1 (en) 2004-05-07 2005-12-08 Silverman Andrew F Methods and apparatus for pre-trade analysis
US7739183B2 (en) * 2004-06-03 2010-06-15 Voudrie Jeffrey D Real-time client portfolio management system
US20060092921A1 (en) * 2004-10-12 2006-05-04 Rajesh Narayanan Configuration for using open programming languages to dynamically configure packet processing rules
JP4316509B2 (en) * 2005-01-04 2009-08-19 株式会社大和証券グループ本社 Securities trading system, securities trading method, and program
US7603358B1 (en) 2005-02-18 2009-10-13 The Macgregor Group, Inc. Compliance rules analytics engine
US7636686B2 (en) 2005-06-07 2009-12-22 Checkfree Corporation Automated actions based on restrictions
JP2006350793A (en) * 2005-06-17 2006-12-28 Hitachi Kokusai Electric Inc Financial business support system
US7974911B2 (en) * 2005-11-30 2011-07-05 Goldman Sachs & Co. Model-based selection of trade execution strategies
JP2007272325A (en) * 2006-03-30 2007-10-18 Nomura Research Institute Ltd Sma management system and sma management method
US7685057B2 (en) 2006-04-12 2010-03-23 Uat, Inc. System and method for facilitating unified trading and control for a sponsoring organization's money management process
US7809632B2 (en) 2006-04-12 2010-10-05 Uat, Inc. System and method for assigning responsibility for trade order execution
US7831503B2 (en) 2006-04-12 2010-11-09 Uat, Inc. System and method for optimizing the broker selection process to minimize total execution cost of securities trades

Patent Citations (4)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US20060080199A1 (en) * 2001-02-09 2006-04-13 Tarbox Brian C Systems and method for improving investment performance
US20030167221A1 (en) * 2002-03-01 2003-09-04 Kochansky Joseph M. Investment portfolio compliance system
JP2004133949A (en) * 2003-11-27 2004-04-30 Daiko Shoken Business Co Ltd Online broker business outsourcing system
US20070192170A1 (en) * 2004-02-14 2007-08-16 Cristol Steven M System and method for optimizing product development portfolios and integrating product strategy with brand strategy

Also Published As

Publication number Publication date
EP2210231A2 (en) 2010-07-28
US8121935B2 (en) 2012-02-21
US20090112775A1 (en) 2009-04-30
US20160196608A1 (en) 2016-07-07
US20130046675A1 (en) 2013-02-21
US20140081827A1 (en) 2014-03-20
ZA201002603B (en) 2011-10-26
US8296222B2 (en) 2012-10-23
WO2009054979A2 (en) 2009-04-30
CN101911106A (en) 2010-12-08
CA2703233A1 (en) 2009-04-30
US20110082814A1 (en) 2011-04-07
WO2009054979A8 (en) 2010-06-17
EP2210231A4 (en) 2011-06-22
US8600867B2 (en) 2013-12-03
AU2008317348A1 (en) 2009-04-30
JP2011501315A (en) 2011-01-06
US20100299243A1 (en) 2010-11-25
AU2008317348A2 (en) 2010-10-21
US20120109848A1 (en) 2012-05-03
US7856396B2 (en) 2010-12-21
US7809632B2 (en) 2010-10-05

Similar Documents

Publication Publication Date Title
WO2009054979A8 (en) System and method for assigning responsibility for trade order execution
WO2004079531A3 (en) Minimizing security holdings risk during portfolio trading
Cubbage et al. Global timber investments, wood costs, regulation, and risk
WO2008036197A3 (en) Limiting counter-party risk in multiple party transactions
WO2007053490A3 (en) Modeling financial instruments using bid and ask prices
WO2005081912A3 (en) Money market exchange traded funds
WO2006091272A3 (en) System and method for evaluating and managing participatory real estate investments and transactions
WO2006039577A3 (en) System and methods for prioritized management of financial instruments
WO2008028084A3 (en) Method for assessing the strength of patent portfolios and valuating them for purposes of monetization
Berge et al. Global effects of US monetary policy: is Unconventional Policy Different?
WO2008063922A3 (en) System and method facilitating whole loan tri-party repurchase agreement transactions
WO2007044364A3 (en) System and methods for facilitating informed trading of financial instruments
Kulkarni et al. Unearthing zombies
Castellano et al. Global regulatory standards and secured transactions law reforms: at the crossroad between access to credit and financial stability
WO2007002661A3 (en) Life settlement contract based investment methods, systems, and products
Norbäck et al. Cross‐border acquisitions and taxes: efficiency and tax revenues
WO2013025938A3 (en) Systems and methods for electronically initiating and executing securities lending transactions
Pirard et al. Missing links between timber scarcity and industrial overcapacity: lessons from the Indonesian Pulp and Paper expansion
GB2505618A (en) Biddable financial instrument online competitive bidding platform for trading thereof and associated system and method of trading thereof
WO2004077256A3 (en) System and method for multi-jurisdictional repacking program
Hwang et al. The Value of Uncertainty
Lulewicz-Sas et al. The effectiveness of SRI funds in Poland
スケーブンス,ヘンリー Sustainable management of natural forests in the Asia-Pacific region: Implications of regional economic integration and measures to avoid potential environmental harm
Hassani et al. The application of game theory in the real option (bond and convertible bond financing)
Hedemann-Robinson European Union engagement with the international community on global forest protection

Legal Events

Date Code Title Description
WWE Wipo information: entry into national phase

Ref document number: 200880122647.4

Country of ref document: CN

121 Ep: the epo has been informed by wipo that ep was designated in this application

Ref document number: 08843194

Country of ref document: EP

Kind code of ref document: A2

WWE Wipo information: entry into national phase

Ref document number: 2008317348

Country of ref document: AU

WWE Wipo information: entry into national phase

Ref document number: 2703233

Country of ref document: CA

WWE Wipo information: entry into national phase

Ref document number: 2010531031

Country of ref document: JP

NENP Non-entry into the national phase

Ref country code: DE

ENP Entry into the national phase

Ref document number: 2008317348

Country of ref document: AU

Date of ref document: 20081023

Kind code of ref document: A

WWE Wipo information: entry into national phase

Ref document number: 2008843194

Country of ref document: EP