Patents by Inventor Waikit Ng

Waikit Ng has filed for patents to protect the following inventions. This listing includes patent applications that are pending as well as patents that have already been granted by the United States Patent and Trademark Office (USPTO).

  • Global compliance system
    Patent number: 7962393
    Abstract: A system for implementing a compliance program in a financial institution is provided and includes a list database for storing material information regarding a plurality of entities that is known to said financial institution. Also included is a list manager 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.
    Type: Grant
    Filed: October 20, 2009
    Date of Patent: June 14, 2011
    Assignee: UBS AG
    Inventors: Frederic Greenbaum, Michael Cortese, Waikit Ng
  • GLOBAL COMPLIANCE SYSTEM
    Publication number: 20100088217
    Abstract: A system for implementing a compliance program in a financial institution is provided and includes a list database for storing material information regarding a plurality of entities that is known to said financial institution. Also included is a list manager 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.
    Type: Application
    Filed: October 20, 2009
    Publication date: April 8, 2010
    Applicant: UBS AG
    Inventors: FREDERIC GREENBAUM, MICHAEL CORTESE, WAIKIT NG
  • Global compliance system
    Patent number: 7606747
    Abstract: A system for implementing a compliance program in a financial institution is provided and includes a list database for storing material information regarding a plurality of entities that is known to said financial institution. Also included is a list manager 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.
    Type: Grant
    Filed: March 4, 2002
    Date of Patent: October 20, 2009
    Assignee: UBS AG
    Inventors: Frederic Greenbaum, Michael Cortese, Waikit Ng
  • Global compliance system
    Publication number: 20020169774
    Abstract: A system for implementing a compliance program in a financial institution is provided and includes a list database for storing material information regarding a plurality of entities that is known to said financial institution. Also included is a list manager 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.
    Type: Application
    Filed: March 4, 2002
    Publication date: November 14, 2002
    Inventors: Frederic Greenbaum, Michael Cortese, Waikit Ng