| 摘要 |
The disclosure relates to an integrated platform for obtaining and managing information and documents relating to regulatory compliance, determining compliance obligations and compliance actions, graphically providing representations of and/or tools for facilitating such compliance, including historical, current and future compliance requirements of municipal bonds and other securities and associated information. The integrated platform may receive selections of compliance templates used to determine compliance with disclosure requirements of municipal bonds, obtain securities-related information related to a municipal bond (including information related to the bond issuer), automatically populate a disclosure document with required information based on the selected compliance template related to a municipal bond using securities-related information obtained by the system, provide an indication of required information based on the compliance template, automatically determine whether provided information satisfies regulatory requirements, and graphically illustrate current and historical compliance of the municipal bond. |
| 主权项 |
1. A system configured to provide information related to compliance of obligors with one or more regulatory requirements governing municipal bonds, the system comprising:
a computer system comprising one or more physical processors programmed to execute one or more computer program instructions which, when executed, cause the computer system to:
receive, via a graphical user interface, a selection of a bond obligor;obtain, from data storage in operative communication with the computer system, securities information associated with a portfolio of the selected bond obligor, the portfolio comprising each bond associated with the selected bond obligor;determine, based on the obtained securities information, for each bond associated with the selected bond obligor: i) a current compliance status of the selected bond obligor with one or more regulatory requirements for a current year; and ii) a historical compliance status of the selected bond obligor with the one or more regulatory requirements for one or more previous years;display, in a common view of the graphical user interface, for each bond associated with the selected bond obligor: i) a graphical indicator that depicts the determined current compliance status of the selected bond obligor for the current year; and ii) a graphical indicator that depicts the determined historical compliance status of the selected bond obligor for each of the one or more previous years; andresponsive to receipt of a selection of a first selectable interface component displayed in the common view of the graphical user interface, retrieve and display, for each bond associated with the selected bond obligor, an identification of any applicable continuing disclosure requirement. |
