| 摘要 |
A regulatory compliance management system, method, and program for regulatory compliance management are provided. A method for regulatory compliance management includes: based on an investment portfolio, tagging and searching, by a query module, regulatory and other documents; receiving, by an analysis module, the documents; based on the received documents: determining and displaying trade errors; summarizing and displaying transactions in different accounts in the investment portfolio; summarizing and displaying instances of long and short positions occurring within a same security in the investment portfolio; determining and displaying daily trading volume for a security in the investment portfolio; determining and displaying total price times quantity of transactions for specific broker dealers in the investment portfolio; determining and displaying commissions in the investment portfolio; determining and displaying population standard deviation and distance from the mean for transactions within accounts, brokerages, and securities in the investment portfolio over a selectable time period.
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