GLOBAL COMPLIANCE SYSTEM

摘要

A system (101) for implementing a compliance program in a financial institution is provided and includes a list database (103) for storing material information regarding a plurality of entities that is known to financial institution. Also included is a list manager (121) that receives a compliance query from an affiliate of the financial institution having a status. The list manager provides a compliance response to the affiliate based on the plurality of entities and according to the status of the affiliate.