U.S. patent application number 13/556020 was filed with the patent office on 2012-11-15 for management of corporate entities.
This patent application is currently assigned to Goldman, Sachs & Co.. Invention is credited to Jean Boulet, Stacy Lyons, James B. McHugh, Thomas B. Zingale.
Application Number | 20120290986 13/556020 |
Document ID | / |
Family ID | 32045198 |
Filed Date | 2012-11-15 |
United States Patent
Application |
20120290986 |
Kind Code |
A1 |
Zingale; Thomas B. ; et
al. |
November 15, 2012 |
Management Of Corporate Entities
Abstract
Systems and methods are provided to facilitate corporate entity
management. According to some embodiments, a user interface is
provided including an entity selection area allowing selection of
at least one corporate entity from a plurality of corporate
entities, and a plurality of selectable elements, each of the
selectable elements being selectable to cause presentation of an
associated area, wherein an area associated with each of the
plurality of selectable elements presents information relating to
the at least one corporate entity and to the associated selectable
element.
Inventors: |
Zingale; Thomas B.; (Pomona,
NY) ; Lyons; Stacy; (Brooklyn, NY) ; McHugh;
James B.; (Maplewood, NJ) ; Boulet; Jean;
(Brooklyn, NY) |
Assignee: |
Goldman, Sachs & Co.
New York
NY
|
Family ID: |
32045198 |
Appl. No.: |
13/556020 |
Filed: |
July 23, 2012 |
Related U.S. Patent Documents
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Application
Number |
Filing Date |
Patent Number |
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10635252 |
Aug 6, 2003 |
8230363 |
|
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13556020 |
|
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60401285 |
Aug 6, 2002 |
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Current U.S.
Class: |
715/841 |
Current CPC
Class: |
G06F 16/284 20190101;
G06Q 10/10 20130101; G06F 3/0481 20130101 |
Class at
Publication: |
715/841 |
International
Class: |
G06F 3/048 20060101
G06F003/048 |
Claims
1-31. (canceled)
32. A processor-implemented method comprising: generating a user
interface including a plurality of user selectable corporate
entities; receiving a user selection of a corporate entity via the
user interface; retrieving via a processor, corporate information
of the corporate entity, wherein the corporate information includes
at least ownership information; determining a plurality of
corporate entities having ownership relationships with the user
selected corporate entity based on the retrieved corporate
information; presenting, based on the retrieved corporate
information, a tiered selectable corporate ownership structure
including the determined plurality of corporate entities showing
ownership relationships and a user selectable corporate information
category tab, wherein a first one of the plurality of corporate
entities is at least a partial owner of a second one of the
plurality of corporate entities; receiving a selection of the
second corporate entity; receiving a selection of the user
selectable corporate information category tab; retrieving a
category of corporate information corresponding to the selected
corporate information category tab and determining at least a
portion of the retrieved category of corporate information to be
related to the second corporate entity; and presenting the
determined information to a user.
33. A method according to claim 32, wherein the determined
information comprises one or more of: information relating to a
formation of the second corporate entity; a location of corporate
documents relating to the second corporate entity; contact
information relating to the second corporate entity; ownership
information relating to the second corporate entity; information
relating to regulators of the second corporate entity; information
relating to officers of the second corporate entity; information
relating to jurisdictions in which the second corporate entity is
qualified to do business; information relating to reports filed or
to be filed on behalf of the second corporate entity; controllers
information relating to the second corporate entity; and funds
information relating to the second corporate entity.
34. A method according to claim 32, further comprising: receiving
instructions to generate a document including document information
relating to the second corporate entity; determining the document
information; generating the document; and presenting the document
to the user.
35. A method according to claim 32, further comprising: receiving
instructions to edit the determined information; determining
whether the user is authorized to edit the determined information;
and editing the determined information if it is determined that the
user is authorized to edit the determined information.
36. A method according to claim 35, further comprising: associating
information identifying the user with the edited information.
37. A method according to claim 35, further comprising: presenting
an indication that the determined information is in the process of
being edited.
38. A method according to claim 32, further comprising: associating
information identifying a date on which the information was edited
with the edited information.
39. A method according to claim 32, further comprising: receiving a
request for an image of a document relating to the selected second
corporate entity; and presenting the image to the user.
40. A computer-readable medium storing processor executable
instructions comprising instructions to: generate a user interface
including a plurality of user selectable corporate entities;
receive a user selection of a corporate entity via the user
interface; retrieve via a processor, corporate information of the
corporate entity, wherein the corporate information includes at
least ownership information; determine a plurality of corporate
entities having ownership relationships with the user selected
corporate entity based on the retrieved corporate information;
present, based on the retrieved corporate information, a tiered
selectable corporate ownership structure including the determined
plurality of corporate entities showing ownership relationships and
a user selectable corporate information category tab, wherein a
first one of the plurality of corporate entities is at least a
partial owner of a second one of the plurality of corporate
entities; receive a selection of the second corporate entity;
receive a selection of the user selectable corporate information
category tab; retrieve a category of corporate information
corresponding to the selected corporate information category tab
and determining at least a portion of the retrieved information to
be related to relating to the second corporate entity; and present
the determined information to a user.
41. A computer-readable medium according to claim 40, wherein the
determined information comprises one or more of: information
relating to a formation of the second corporate entity; a location
of corporate documents relating to the second corporate entity;
contact information relating to the second corporate entity;
ownership information relating to the second corporate entity;
information relating to regulators of the second corporate entity;
information relating to officers of the second corporate entity;
information relating to jurisdictions in which the second corporate
entity is qualified to do business; information relating to reports
filed or to be filed on behalf of the second corporate entity;
controllers information relating to the second corporate entity;
and funds information relating to the second corporate entity.
42. A computer-readable medium according to claim 40, further
comprising instructions to: receive instructions to generate a
document including document information relating to the second
corporate entity; determine the document information; generate the
document; and present the document to the user.
43. A computer-readable medium according to claim 40, further
comprising instructions to: receive instructions to edit the
determined information; determine whether the user is authorized to
edit the determined information; and edit the determined
information if it is determined that the user is authorized to edit
the determined information.
44. A computer-readable medium according to claim 43, further
comprising instructions to: associate information identifying the
user with the edited information.
45. A computer-readable medium according to claim 43, further
comprising instructions to: present an indication that the
determined information is in the process of being edited.
46. A computer-readable medium according to claim 40, the process
steps further comprising instructions to: associate information
identifying a date on which the information was the edited
information.
47. A computer-readable medium according to claim 40, the process
steps further comprising instructions to: receive a request for an
image of a document relating to the second corporate entity; and
present the image to the user.
48. An apparatus to manage corporate entities, comprising: a
processor; and a storage device in communication with said
processor and storing instructions adapted to be executed by said
processor to: generate a user interface including a plurality of
user selectable corporate entities; receive a user selection of a
corporate entity via the user interface; retrieve via a processor,
corporate information of the corporate entity, wherein the
corporate information includes at least ownership information;
determine a plurality of corporate entities having ownership
relationships with the user selected corporate entity based on the
retrieved corporate information; present, based on the retrieved
corporate information, a tiered selectable corporate ownership
structure including the determined plurality of corporate entities
showing ownership relationships and a user selectable corporate
information category tab, wherein a first one of the plurality of
corporate entities is at least a partial owner of a second one of
the plurality of corporate; receive a selection of the second
corporate entity; receive a selection of the user selectable
corporate information category tab; retrieve a category of
corporate information corresponding to the selected corporate
information category tab and determining at least a portion of the
retrieved information to be related to relating to the second
corporate entity; and present the determined information to a
user.
49. An apparatus according to claim 48, wherein the determined
information comprises one or more of: information relating to a
formation of the second corporate entity; a location of corporate
documents relating to the second corporate entity; contact
information relating to the second corporate entity; ownership
information relating to the second corporate entity; information
relating to regulators of the second corporate entity; information
relating to officers of the second corporate entity; information
relating to jurisdictions in which the second corporate entity is
qualified to do business; information relating to reports filed or
to be filed on behalf of the second corporate entity; controllers
information relating to the second corporate entity; and funds
information relating to the second corporate entity.
50. An apparatus according to claim 48, the instructions further
adapted to be executed by said processor to: receive instructions
to generate a document including document information relating to
the second corporate entity; determine the document information;
generate the document; and present the document to the user.
51. An apparatus according to claim 48, the instructions further
adapted to be executed by said processor to: receive instructions
to edit the determined information; determine whether the user is
authorized to edit the determined information; and edit the
determined information if it is determined that the user is
authorized to edit the determined information.
52. An apparatus according to claim 51, the instructions further
adapted to be executed by said processor to: associate information
identifying the user with the edited information.
53. An apparatus according to claim 51, the instructions further
adapted to be executed by said processor to: present an indication
that the determined information is in the process of being
edited.
54. An apparatus according to claim 48, the instructions further
adapted to be executed by said processor to: receive a request for
an image of a document relating to the second corporate entity; and
present the image to the user.
Description
CROSS REFERENCE TO RELATED APPLICATIONS
[0001] This application claims priority to Provisional Application
Ser. No. 60/401,285, filed Aug. 6, 2002 and entitled "Management of
Corporate Entities".
FIELD
[0002] The present invention relates to the management of corporate
entities. In particular, the present invention relates to efficient
management of information relating to a plurality of interrelated
and/or unrelated corporate entities.
BACKGROUND
[0003] Modern business transactions commonly involve several
corporate entities. In a typical transaction, each involved
corporate entity may be owned by several shareholders, one or more
of which may be another of the involved entities. The entities may
also have different corporate structures, reporting requirements
and applicable laws that should be appropriately dealt with during
the transaction. In order to prepare transaction documents and
execute procedures that address each of these concerns, entity
representatives are often required to track and manage officers,
documents and other specific characteristics associated with each
entity.
[0004] Specific characteristics of corporate entities come into
play even outside the context of a particular transaction. In this
regard, corporate "housekeeping" required by laws applicable to a
particular entity includes activities such as electing officers,
complying with tax and regulatory filing deadlines, and holding
board meetings. Again, these activities require tracking of a
myriad of details for each corporate entity.
[0005] Recently, computer databases have been employed to track
information associated with corporate entities. According to these
systems, tax-related information is tracked and accessed by an
accounting department, while corporate structure information is
tracked and accessed by a corporate department. Oftentimes the
systems employed by each department are incompatible, thereby
inhibiting transfer of information among departments. Even if
information associated with several corporate entities were
available in a centrally-accessible data depository, current
systems are unable to present the data in a manner that facilitates
efficient tracking, editing and/or use thereof.
[0006] In view of the foregoing, what is needed are improvements in
the management of information associated with corporate entities.
Such improvements may in turn enable efficient management of the
associated corporate entities.
SUMMARY
[0007] To address the foregoing, embodiments of the present
invention concern a system, a method, an apparatus, a
computer-readable medium storing processor-executable process
steps, and means to present a plurality of selectable elements and
an entity selection area, the entity selection area allowing
selection of at least one corporate entity from a plurality of
corporate entities, receive a selection of the at least one
corporate entity, receive a selection of one of the plurality of
selectable elements, determine information associated with the at
least one corporate entity and the one selected element, and
present the determined information to a user.
[0008] Embodiments of the present invention also provide a user
interface which includes interface an entity selection area
allowing selection of at least one corporate entity from a
plurality of corporate entities, and a plurality of selectable
elements, each of the selectable elements being selectable to cause
presentation of an associated area, wherein an area associated with
each of the plurality of selectable elements presents information
relating to the at least one corporate entity and to the associated
selectable element.
[0009] With these and other advantages and features of the
invention that will become hereinafter apparent, the invention may
be more clearly understood by reference to the following detailed
description of the invention, the appended claims, and the drawings
attached hereto.
BRIEF DESCRIPTION OF THE DRAWINGS
[0010] FIG. 1 is a topographic view of a network architecture
according to some embodiments of the present invention.
[0011] FIG. 2 is a block diagram of an internal architecture of an
entity management server according to some embodiments to the
present invention.
[0012] FIG. 3 is a block diagram of an internal architecture of a
corporate entity server according to some embodiments to the
present invention.
[0013] FIG. 4 is a block diagram of an internal architecture of a
user device according to some embodiments to the present
invention.
[0014] FIG. 5 is a representative view of a tabular portion of an
entity relationship database according to some embodiments of the
present invention.
[0015] FIG. 6 is a representative view of a tabular portion of a
general information database according to some embodiments of the
present invention.
[0016] FIG. 7 is a representative view of a tabular portion of a
legal database according to some embodiments of the present
invention.
[0017] FIG. 8 is a representative view of a tabular portion of a
contacts database according to some embodiments of the present
invention.
[0018] FIG. 9 is a representative view of a tabular portion of an
owners database according to some embodiments of the present
invention.
[0019] FIG. 10 is a representative view of a tabular portion of a
regulators database according to some embodiments of the present
invention.
[0020] FIG. 11 is a representative view of a tabular portion of an
officers database according to some embodiments of the present
invention.
[0021] FIG. 12 is a representative view of a tabular portion of a
jurisdictions database according to some embodiments of the present
invention.
[0022] FIG. 13 is a representative view of a tabular portion of a
reporting database according to some embodiments of the present
invention.
[0023] FIG. 14 is a representative view of a tabular portion of a
controllers database according to some embodiments of the present
invention.
[0024] FIG. 15 is a representative view of a tabular portion of a
funds database according to some embodiments of the present
invention.
[0025] FIG. 16 is a representative view of a tabular portion of a
document generation database according to some embodiments of the
present invention.
[0026] FIG. 17 is a representative view of an interface according
to some embodiments of the present invention.
[0027] FIG. 18 is a representative view of an interface according
to some embodiments of the present invention.
[0028] FIG. 19 is a representative view of an interface according
to some embodiments of the present invention.
[0029] FIG. 20 is a representative view of an interface according
to some embodiments of the present invention.
[0030] FIG. 21 is a representative view of an interface according
to some embodiments of the present invention.
[0031] FIG. 22 is a representative view of an interface according
to some embodiments of the present invention.
[0032] FIG. 23 is a representative view of an interface according
to some embodiments of the present invention.
[0033] FIG. 24 is a representative view of an interface according
to some embodiments of the present invention.
[0034] FIG. 25 is a representative view of an interface according
to some embodiments of the present invention.
[0035] FIG. 26 is a representative view of an interface according
to some embodiments of the present invention.
[0036] FIG. 27 is a representative view of an interface according
to some embodiments of the present invention.
[0037] FIG. 28 is a representative view of an interface according
to some embodiments of the present invention.
[0038] FIG. 29 is a representative view of an interface according
to some embodiments of the present invention.
[0039] FIG. 30 is a representative view of an interface according
to some embodiments of the present invention.
DETAILED DESCRIPTION
[0040] System Architecture
[0041] FIG. 1 illustrates a network architecture of a system
according to some embodiments of the present invention. As shown,
communication network 100 provides communication between entity
management server 200, entity servers 300, 310 and 320, and user
devices 400 and 410.
[0042] Communication network 100 may comprise any number of
different systems for transferring data, including a Local Area
Network (LAN), a Metropolitan Area Network (MAN), a Wide Area
Network (WAN), a proprietary network, a Public Switched Telephone
Network (PSTN), a Wireless Application Protocol (WAP) network, a
wireless LAN (e.g., in accordance with the Institute of Electrical
and Electronics Engineers 802.11 standard), a Bluetooth network, an
Infrared Radiation (IR) network, and/or an IP network such as the
Internet, an intranet or an extranet. As used herein, the term
"communication" can refer to wired and/or wireless communication as
appropriate.
[0043] Entity management server 200 is used to provide an interface
to facilitate the management of corporate entities in accordance
with some embodiments of the invention. As will be described in
detail below, such an interface may be provided through
presentation of a plurality of selectable elements and an entity
selection area, the entity selection area allowing selection of at
least one corporate entity from a plurality of corporate entities,
receive a selection of the at least one corporate entity, reception
of a selection of one of the plurality of selectable elements,
determination of information associated with the at least one
corporate entity and the one selected element, and presentation of
the determined information to a user.
[0044] In one specific example, entity management server 200
receives information associated with corporate entities from many
different sources such as entity servers 300, 310 and 320 and
stores the information in appropriate databases of server 200.
Entity management server 200 then receives a request for
information from one of user devices 400 and 410. The requested
information is retrieved from the databases of entity management
server 200 and used to create an interface according to some
embodiments of the invention. The interface is presented to the
user device from which the request was received, and the user
device in turn presents the interface to a user. This and other
specific examples are discussed in more detail below.
[0045] Entity management server 200 is depicted as a mainframe
server in FIG. 1, but may comprise any device or devices capable of
performing process steps attributed to server 200 herein. Moreover,
entity management server 200 may provide entity management services
to more than one managing entities. Other services may also be
provided by entity management server 200, including functions
usable by disparate companies, departments, and/or offices. In this
regard, entity management server 200 may be operated by a company
in order to manage corporate entities related to the company, or by
a company providing this management as an outsourced function.
[0046] Entity servers 300, 310 and 320 store information relating
to corporate entities. Each of servers 300, 310 and 320 may store
information relating to a single respective entity, and one or more
of servers 300, 310 and 320 may store information relating to two
or more entities. In the former case, entity servers 300, 310 and
320 may comprise central data repositories maintained by their
respective entities. The information stored in entity servers 300,
310 and 320 may therefore be generated by business activities of
the respective entities. The information may also be input by an
operator having authorization to input information. As shown,
entity server 300 also functions as a network server for serving
applications and data to terminals 302 through 308.
[0047] User devices 400 and 410 comprise a personal computer and a
personal digital assistant, respectively. User devices 400 and 410
are capable of communicating with entity management server 200 over
communication network 100, and of presenting an interface to a user
in operation thereof. In some embodiments, such an interface
includes an entity selection area allowing selection of at least
one corporate entity from a plurality of corporate entities, and a
plurality of selectable elements, each of the selectable elements
being selectable to cause presentation of an associated area,
wherein an area associated with each of the plurality of selectable
elements presents information relating to the at least one
corporate entity and to the associated selectable element.
[0048] In other embodiments, the devices of FIG. 1 are connected
differently than as shown. For example, some or all of the devices
may be connected directly to one another. Of course, embodiments of
the invention may include devices that are different from those
shown. It should also be noted that although the devices are shown
in communication with each other, the devices need not be
constantly exchanging data. Rather, communication may be
established when necessary and severed at other times or always
available but rarely used to transmit data. Moreover, although the
illustrated communication links appear dedicated, it should be
noted that each of the links may be shared by other devices.
[0049] Entity Management Server
[0050] FIG. 2 is a block diagram of an internal architecture of
entity management server 200 according to some embodiments of the
invention. As illustrated, entity management server 200 includes
microprocessors 210 in communication with communication bus 220.
Microprocessors 210 may comprise RISC-based and other types of
processors and are used to execute processor-executable process
steps so as to control the elements of entity management server 200
to provide desired functionality.
[0051] Also in communication with communication bus 220 is
communication port 230. Communication port 230 is used to transmit
data to and to receive data from devices external to entity
management server 200 such as devices 300 through 510.
Communication port 230 is therefore preferably configured with
hardware suitable to physically interface with desired external
devices and/or network connections. For example, communication port
230 may comprise an Ethernet connection to a local area network
through which entity management server 200 may receive and transmit
information over the Web.
[0052] Input device 240, display 250 and printer 260 are also in
communication with communication bus 220. Any known input device
may comprise input device 240, including a keyboard, mouse, touch
pad, voice-recognition system, or any combination of these devices.
Of course, information may also be input to entity management
server 200 from other devices via communication port 230. Display
250 may be an integral or separate CRT display, flat-panel display
or the like used to display graphics and text in response to
commands issued by microprocessors 210. Printer 260 may also
present text and graphics to an operator, but in hardcopy form
using ink-jet, thermal, dot-matrix, laser, or other printing
technologies. Elements 240 through 260 are most likely used
sparingly during operation of entity management server 200, but may
be used by an operator for setup and administration.
[0053] RAM 265 is connected to communication bus 220 to provide
microprocessors 210 with fast data storage and retrieval. In this
regard, processor-executable process steps being executed by
microprocessors 210 are typically stored temporarily in RAM 265 and
executed therefrom by microprocessors 210. ROM 270, in contrast,
provides storage from which data can be retrieved but to which data
cannot be stored. Accordingly, ROM 270 is used to store invariant
process steps and other data, such as basic input/output
instructions and data used during boot-up of entity management
server 200 or to control communication port 230. It should be noted
that one or both of RAM 265 and ROM 270 may communicate directly
with microprocessors 210 instead of over communication bus 220.
[0054] Data storage device 280 stores, among other data,
processor-executable process steps of entity management application
281. Microprocessors 210 therefore execute the process steps of
entity management application 281 in order to control entity
management server 200 to facilitate corporate entity management
according to some embodiments of the present invention.
[0055] The process steps of entity management application 281 may
be read from a computer-readable medium, such as a floppy disk, a
CD-ROM, a DVD-ROM, a Zip.TM. disk, a magnetic tape, or a signal
encoding the process steps, and then stored in data storage device
280 in a compressed, uncompiled and/or encrypted format. In
alternative embodiments, hard-wired circuitry may be used in place
of, or in combination with, processor-executable process steps for
implementation of processes according to embodiments of the present
invention. Thus, embodiments of the present invention are not
limited to any specific combination of hardware and software.
[0056] Process steps of Web server 282 are also stored in data
storage device 280. These process steps may be executed by
microprocessors 210 to transmit data to and to receive data from
Web clients, such as Web browsers, over the Web. The data may
include information from entity servers 300, 310 and 320, requests
for information from user devices 400 and 410, and interfaces
facilitating the management of corporate entities according to some
embodiments of the present invention.
[0057] Entity relationship database 283 of data storage device 280
specifies relationships between corporate entities managed
according to the present embodiment. In some embodiments, the
specified relationships indicate that a certain entity is
downstream of another entity, for example in a case that the
certain entity is a subsidiary of the another entity. In another
example, a parent company is indicated as being an upstream entity
to its child companies. The information stored in entity
relationship database 283 is used in some embodiments to create an
interface including an entity selection area that allows selection
of at least one corporate entity from a plurality of corporate
entities.
[0058] Data storage device 280 also stores several other databases
according to some embodiments of the present invention.
Specifically, general database 284 stores information relating to
the formation of a plurality of entities, while legal database 285
includes data indicating legally-related information such as
locations of legal documents and the like. Contacts database 286
and owners database 287 respectively provide information regarding
individuals having some relation to a plurality of corporate
entities, and information identifying owners and ownership details
of a plurality of corporate entities. Regulators database 288
identifies regulatory entities associated with corporate entities,
and officers database 289 specifies officers of corporate entities
managed according to embodiments of the present invention.
[0059] Jurisdictions database 290 includes information related to
an entity's qualifications to do business in one or more
jurisdictions, and reporting database 291 specifies reporting
requirements applicable to one or more of the managed entities.
Controllers database 292 and funds database 293 store information
respectively relating to controllers of corporate entities and to
funds controlled by the managed corporate entities. Document
generation database 294 includes information usable to
automatically generate documents including information specified in
one or more of databases 283 through 293. Such document generation
provides increased efficiency over previous systems for preparing
documents that include often hard-to-retrieve information relating
to several corporate entities.
[0060] The information stored in databases 283 through 294 may be
received from entity servers such as servers 300, 310 and 320, from
an operator of entity management server 200, or from another
device. In some embodiments, the information is used to create an
interface for managing corporate entities according to embodiments
of the present invention.
[0061] Also stored in data storage device 280 may also be other
unshown elements that may be necessary for operation of entity
management server 200, such as an operating system, a database
management system, other applications, other data files, and
"device drivers" for allowing microprocessors 210 to interface with
devices in communication with communication port 230. These
elements are known to those skilled in the art, and are therefore
not described in detail herein.
[0062] Entity Server
[0063] FIG. 3 is a block diagram of the internal components of
entity server 300 according to some embodiments of the invention.
It should be noted that these distinct components may comprise any
of the specific examples given above with respect to
identically-named components of entity management server 200. Of
course, specific functions performed by the components may differ
from the functions performed by the identically-named
components.
[0064] In operation, process steps of entity management client
application 392 are executed by microprocessors 310 to collect and
transfer information associated with one or more corporate entities
to entity management server 200. As mentioned above, the
information may be collected over communication port 330 during
normal business operations and/or through periodic querying of
departmental or company-wide data repositories in communication
with entity server 300. The information may also be input by an
operator using input device 340 and display 350. The information is
stored in entity information database 394, which may include
information related to one or more corporate entities.
[0065] It should be noted that entity management client application
392 may include process steps usable to establish communication
with and exchange data with entity management application 281. In
this regard, entity server 300 may include any software and/or
hardware suitable to perform the steps described herein.
[0066] User Device
[0067] FIG. 4 illustrates several components of user device 400
according to some embodiments of the invention. Again, the
illustrated components may comprise any of the specific examples
given above with respect to identically-named components of user
administration server 200 and/or entity server 300. For example,
communication port 430 may be used to transmit requests for
information to entity management server 200. In this regard, input
device 440 may be used in conjunction with display 450 to request
and to present an interface according to some embodiments of the
invention. Input device 440, display 450 and printer 460 may also
be used in conjunction with other applications provided by user,
device 400 which are unrelated to the present invention.
[0068] Storage device 490 of user device 400 stores
processor-executable process steps of Web client 492, such as a Web
browser. The process steps may be executed by microprocessor 410 to
allow communication with Web servers such as Web server 282 of
entity management server 200. Authorization information database
494 includes information that may be transmitted to entity
management server 200 and used thereby to determine whether a user
of user device 400 is authorized to view some or all of an
interface according to embodiments of the present invention.
[0069] Storage device 490 may store one or more of other
applications, data files, device drivers and operating system files
needed to provide functions other than those directly related to
the present invention. Such functions may include calendaring,
e-mail access, word processing, accounting, presentation
development and the like.
[0070] Databases
[0071] A tabular representation of a portion of entity relationship
database 283 is shown in FIG. 5. As described above, the
information stored in entity relationship database 283 specifies
relationships between corporate entities and may be used to
construct an entity selection area of an interface according to
some embodiments of the present invention. Entity relationship
database 293 of FIG. 5 includes several records, each consisting of
several fields. The fields include entity Id field 501, upstream
entities field 502, and downstream entities field 503.
[0072] Entity Id field 501 includes an identifier that may be used
throughout the databases described herein to identify a particular
corporate entity. In particular, the identifier associated with a
record of entity relationship database 283 identifies a corporate
entity associated with data populating other fields of the record.
The identifier may be assigned by entity management server 200 or
may be received from another device.
[0073] Upstream entities field 502 includes identifiers of entities
that are organizationally upstream from the subject entity, such as
a parent company or partial owner of the subject entity. Downstream
entities field 503 similarly includes identifiers of entities that
are organizationally downstream from the subject entity, such as a
subsidiary or the like. As shown, a particular entity may be
associated with multiple upstream and downstream entities.
[0074] The information stored in entity relationship database 283,
as well as that stored in each other of the databases of entity
management server 200, may be received from a variety of sources,
including entity servers such as entity servers 300, 310 and 320,
user devices such as user devices 400 and 410, an operator manually
inputting the information using input device 240, and other
devices.
[0075] FIG. 6 illustrates a tabular representation of a portion of
general database 284. General database 284 stores information
relating to the formation of a plurality of entities. Specifically,
the fields of each record of database 284 include entity Id field
601, name field 602, type field 603, status field 604, domicile
field 605, taxpayer Id field 606, formed field 607, and dissolved
field 608. Entity Id field 601 of a record is used to identify an
entity with which data of the record are associated. Name field
602, type field 603, status field 604, domicile field 605 and
taxpayer Id field 606 specify respectively-named information for
each record. Formed field 607 and dissolved field 608 indicate
dates on which an associated entity was formed and dissolved, if
ever.
[0076] A tabular representation of a portion of legal database 285
is shown in FIG. 7. Legal database 285 specifies legally-related
information such as locations of legal documents and the like. The
records of database 285 include entity id field 701, which
identifies a particular corporate entity. Original minute book
field 702, duplicate minute book field 703, corporate seal field
704 and stock certificate field 705 specify locations of the
original minute book, duplicate minute book, corporate seal, and
stock certificate of an associated entity. Directors field 706
indicates a number of directors and quorum field 707 specifies a
number of directors required for a quorum under the rules of an
associated entity.
[0077] The tabular portion of contacts database 286 illustrated in
FIG. 8 stores information associated with individuals having some
relation to a corporate entity. In particular, for each individual
reflected in contacts database 286, a record specifies an entity
with which the individual is associated in entity Id field 801, a
name of the individual in contact field 802, the individual's title
in title field 803, a start date associated with the individual in
start date field 804, an associated end date in end date. field
805, and information for contacting the individual in contact
information field 806.
[0078] FIG. 9 illustrates a tabular representation of a portion of
owners database 287. As shown, owners database 287 includes
information identifying owners and ownership details of a plurality
of corporate entities. In particular, each record of owners
database 287 includes entity Id field 901, owner Id field 902, type
field 903, start date field 904, end date field 905, and percent
holding field 906.
[0079] Entity ID field 901 indicates an entity wholly or partially
owned by an entity specified in associated owner Id field 902.
Accordingly, a single entity having multiple owners may be the
subject of multiple records of owners database 287. Type field 903
specifies the type of ownership relationship reflected in a record,
while start date field 904 and end date field 905 respectively
specify a start date and an end date of the ownership relationship.
Percent holding field 906 of a record specifies a percent of the
entity identified in entity Id field 901 of the record that is held
by the entity identified in owner Id field 902 of the record.
[0080] FIG. 10 illustrates a tabular representation of a portion of
regulators database 288. The portion includes several records, each
including entity Id field 1001, regulator field 1002, and
country/region field 1003. In each record, regulator field 1002
associates a regulator with a corporate entity identified in entity
Id field 1001. Country/region field specifies a geographical area
in which the regulator possesses jurisdiction. Accordingly,
regulatory requirements applicable to an entity may be determined
based on the information populating regulators database 288.
[0081] A representation of a tabular portion of officers database
289 is illustrated in FIG. 11. Each record of officers database 289
associates information relating to a corporate officer with an
entity of which the officer is an officer. More particularly, each
record includes entity Id field 1101, name field 1102, title field
1103, and signatory power field 1104. The latter three fields
specify a name, title and signatory power of an officer of the
entity identifies by the former field.
[0082] FIG. 12 illustrates a tabular representation of a portion of
jurisdictions database 290. Jurisdictions database 290 stores
information related to an entity's qualifications to do business in
one or more jurisdictions. Specifically, the fields of each record
of database 290 include entity Id field 1201, qualified field 1202,
type field 1203, reporting field 1204, jurisdiction Id field 1205,
qualify date field 1206, and expire field 1207. Entity Id field
1201 identifies a subject entity, while qualified field 1202
specifies a jurisdiction in which the entity is qualified to do
business. Type field 1203 and reporting field 1204 identify the
type of presence the entity has in the jurisdiction, and whether
the jurisdiction requires any type of reporting. Jurisdiction Id
field 1205 includes an identifier used by the jurisdiction to
identify the entity, and may comprise a taxpayer identifier or the
like. Qualify date 1206 and expire date 1207 respectively indicate
a date on which the entity became qualified to do business in the
jurisdiction, and a date on which the qualification will
expire.
[0083] A tabular representation of a portion of reporting database
291 is shown in FIG. 13. Reporting database 291 specifies
information relating to the reporting requirements applicable to
particular corporate entities. These requirements may be mandatory,
optional, or otherwise applicable. The records of database 291
include entity id field 1301, which identifies a particular
corporate entity. Report field 1302 specifies a report that is the
subject of the record, and domicile/jurisdiction field 1303
identifies the domicile and/or jurisdiction for which the report is
required. Due field 1304 and sent field 1305 respectively identify
dates on which the subject report is due and was sent. Although
database 291 as illustrated in FIG. 13 shows reports associated
with a single corporate entity, it should be noted that database
291 may describe reports associated with a plurality of
entities.
[0084] FIG. 14 illustrates a tabular representation of a portion of
controllers database 292. Controllers database 292 stores
information related to an entity's financial controllers. The
fields of each record of database 292 include entity Id field 1401,
consolidation type field 1402, controllers entity type field 1403,
SAO Id field 1404, SAO contact information field 1405, and SCRP
automated flag 1406.
[0085] A tabular representation of a portion of funds database 293
is shown in FIG. 15. Funds database 293 specifies information
relating to the funds associated with particular corporate
entities. The records of database 293 include entity Id field 1501,
which identifies a particular corporate entity. Trustee field 1502
names a trustee, while board notice field 1503 and board quorum
field 1504 provide information for convening an associated board.
Annuals due field 1505 specifies when annual information associated
with the funds are due.
[0086] FIG. 16 illustrates a tabular representation of a portion of
document generation database 294. The portion includes several
records, each including document Id field 1601, document name field
1602, and document template field 1603. In each record, document
name field 1602 associates a document name with a document Id
specified in document Id field 1601. Document template field 1603
specifies a location of an electronic file including a document
template. Accordingly, document generation database 294 includes
information usable to automatically generate documents including
information specified in one or more of databases 283 through
293.
[0087] It should be noted that the illustrations and accompanying
descriptions of databases included herein merely represent
relationships between stored information. A number of other
arrangements may be employed besides those suggested, including
arrangements in which some or all of the specified data is located
remote from the device with which it is associated herein. It is
further contemplated that each of the databases may include many
more records than those shown and that each record may include
associated fields other than those illustrated.
[0088] Interface
[0089] FIG. 17 illustrates an outward view of user interface 1700
as presented by display 450 of user device 400. According to some
embodiments, a user operates input device 440 of user device 400 to
input a Uniform Resource Locator (URL) into address bar 1710 of a
window presented according to process steps of Web client 492. The
process steps are executed to transmit a request for a Web page
corresponding to the URL to Web server 282 of entity management
server 200, and to receive the Web page therefrom.
[0090] In the present example, interface 1700 is the Web page
received from entity management server 200. Interface 1700 includes
input area 1720 for receiving logon information from the user, and
Submit button 1730 for submitting the logon information to entity
management server 200. Upon receiving the logon information, entity
management application 281 determines whether the user is
authorized to access interfaces according to some embodiments of
the present invention. In this regard, authorization information
494 may also or alternatively be submitted to determine a user's
authorization.
[0091] If the user is authorized to view information provided by
the present example, entity selection interface 1800 is presented
to user device 400 and in turn presented to the user via display
450. Interface 1800 includes instructions 1810, interface links
1815 and entity selection area 1820. Instructions 1810 instruct the
user to select an entity from entity selection area 1820 and to
select one of links 1815 to view corresponding information relating
to the selected entity. As shown, the entities presented in entity
selection area 1820 are associated with an icon indicating that
downstream entities are associated with each entity. In this
regard, information stored in entity relationship database may be
used to construct selection area 1820.
[0092] FIG. 19 illustrates user interface 1900, which is presented
after the user selects the icons associated with the entities of
entity selection area 1820, selects an entity from the resulting
expanded tree structure, and selects the General link of links
1815. The expanded tree structure is shown in entity selection area
1910, and conforms to the information stored in entity relationship
database 283. Main area 1920 presents information associated with
the selected entity in general database 284. The user may select
another entity from entity selection area 1910 to view information
associated with the another entity in database 284, or may select
another link to view other information associated with the
originally-selected entity.
[0093] Interface 2000 is presented upon selection of the Legal
link. Main area 2010 of interface 2000 presents information that is
associated with the selected entity in legal database 285.
Similarly, FIG. 21 shows that main area 2110 of interface 2100
presents contact information associated with the selected entity in
contacts database 296. As also shown, contact names 2120 comprise
hyperlinks that may be selected to view contact information
associated with each contact name in database 296.
[0094] FIG. 22 illustrates interface 2200 as presented upon
selection of the Owners link. Area 2210 of interface 2200 presents
information associated with the selected entity in owners database
287. Like area 2110, area 2210 includes hyperlinks 2220 that may be
selected to view information associated with the presented owners.
Regulators interface 2300 of FIG. 23 presents, in area 2310,
information stored in regulators database 288 that is associated
with the selected entity in regulators database 288.
[0095] Information associated with the selected entity in officers
database 289 is presented through user interface 2400 of FIG. 24.
More specifically, area 2410 presents names, titles, and
descriptions of signatory power for entity directors. Each name
comprises a hyperlink that is selectable to view further
information associated with the named officer. FIG. 25 shows the
information of jurisdictions database 290 as reflected in area 2510
of interface 2500. Accordingly, interface 2500 is presented in
response to user selection of the Jurisdictions link.
[0096] Selection of the Reporting link causes presentation of
interface 2600. As shown in FIG. 26, area 2610 of interface 2600
presents information associated with the selected entity in
reporting database 291. FIG. 27 shows interface 2700, which is
presented in response to selection of the Controllers link. Area
2710 of interface 2700 presents information stored in controllers
database 292. Similarly, FIG. 28 shows interface 2800 and area
2810, which are presented in response to selection of the Funds
link. Accordingly, area 2810 presents information stored in funds
database 293.
[0097] FIG. 29 shows display 450 presenting interface 2900.
Interface 2900 is presented in response to user selection of the
Maintenance link from any of the interfaces of FIGS. 18 through 28.
Interface 2900 includes menu 2910 of Tools and Maintenance options.
Any of these options may be selected in order to perform the task
specified by the selected option. According to FIG. 29, the New
Entity option has been selected and therefore main area 2920
includes an interface for defining a new entity.
[0098] Interface 3000 of FIG. 30 is presented in response to user
selection of the Document Generation option from menu 2910.
Interface 3000 may be used to generate documents relating to one or
more corporate entities. According to the illustrated embodiment,
an entity and a document are selected using pull-down menus located
in main area 3010. In this regard, the pull-down menus may be
populated, respectively, by information stored in general database
284 and document generation database 294.
[0099] By virtue of one or more of the foregoing features, some
embodiments of the present invention provide an efficient interface
for management of information related to corporate entities. It
should be noted that the user interfaces of FIGS. 17 through 30 may
be considered a single user interface. Moreover, a user interface
according to embodiments of the present invention may be arranged
differently than as shown, with all or some of the features of user
interfaces 1700 through 3000 located within one or more user
interfaces.
[0100] One or more of the interfaces described herein may include
areas that allow editing of the information presented therein.
Editing may be allowed based on editing rights of a user to whom
the interface is presented, with several editing authority levels
being available. In some embodiments, such editing causes editing
of corresponding information stored in one or more of databases 283
through 294. Also in some embodiments, edited information may be
associated with information indicating who edited the information
and a date on which the information was edited. Furthermore, an
interface according to some embodiments of the invention may
present indications to a user that information presented therein is
in the process of being edited by another user.
[0101] As mentioned above, each of databases 283 through 294 may
contain information other than that explicitly mentioned herein.
Accordingly, each of interfaces 1700 through 3000 may also present
information other than that described herein. In one example, one
or more of the interfaces may include links selectable to cause
presentation of an area presenting images of documents relating to
the at least one corporate entity. In another example, officers
database 289 and interface 2400 track outside directorships held by
each presented officer. The databases and interfaces related to
reporting requirements may also provide a filing calendar that may
be searched or organized by factors such as due date, entity,
responsible division, responsible person, and regulatory body.
[0102] In some embodiments, entity management server 200 may be
integrated with other devices operated by an entity maintaining
server 200. In addition, many of the embodiments described herein
are directed to the financial services and securities-related
entities. However, embodiments of the present invention are
applicable to many types of entities that are related to many types
of businesses.
[0103] The present invention has been described in terms of several
embodiments solely for the purpose of illustration. Persons skilled
in the art will recognize from this description that the invention
is not limited to the embodiments described, but may be practiced
with modifications and alterations limited only by the spirit and
scope of the appended claims.
* * * * *