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1. WO2021061050 - SYSTEMS AND METHODS FOR AUTOMATING OPERATIONAL DUE DILIGENCE ANALYSIS TO OBJECTIVELY QUANTIFY RISK FACTORS

Publication Number WO/2021/061050
Publication Date 01.04.2021
International Application No. PCT/SG2020/050542
International Filing Date 23.09.2020
IPC
G06Q 40/08 2012.01
GPHYSICS
06COMPUTING; CALCULATING OR COUNTING
QDATA PROCESSING SYSTEMS OR METHODS, SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES, NOT OTHERWISE PROVIDED FOR
40Finance; Insurance; Tax strategies; Processing of corporate or income taxes
08Insurance, e.g. risk analysis or pensions
CPC
G06F 3/0482
GPHYSICS
06COMPUTING; CALCULATING; COUNTING
FELECTRIC DIGITAL DATA PROCESSING
3Input arrangements for transferring data to be processed into a form capable of being handled by the computer; Output arrangements for transferring data from processing unit to output unit, e.g. interface arrangements
01Input arrangements or combined input and output arrangements for interaction between user and computer
048Interaction techniques based on graphical user interfaces [GUI]
0481based on specific properties of the displayed interaction object or a metaphor-based environment, e.g. interaction with desktop elements like windows or icons, or assisted by a cursor's changing behaviour or appearance
0482interaction with lists of selectable items, e.g. menus
G06Q 10/0635
GPHYSICS
06COMPUTING; CALCULATING; COUNTING
QDATA PROCESSING SYSTEMS OR METHODS, SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES, NOT OTHERWISE PROVIDED FOR
10Administration; Management
06Resources, workflows, human or project management, e.g. organising, planning, scheduling or allocating time, human or machine resources; Enterprise planning; Organisational models
063Operations research or analysis
0635Risk analysis
G06Q 10/0637
GPHYSICS
06COMPUTING; CALCULATING; COUNTING
QDATA PROCESSING SYSTEMS OR METHODS, SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES, NOT OTHERWISE PROVIDED FOR
10Administration; Management
06Resources, workflows, human or project management, e.g. organising, planning, scheduling or allocating time, human or machine resources; Enterprise planning; Organisational models
063Operations research or analysis
0637Strategic management or analysis
G06Q 10/06393
GPHYSICS
06COMPUTING; CALCULATING; COUNTING
QDATA PROCESSING SYSTEMS OR METHODS, SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES, NOT OTHERWISE PROVIDED FOR
10Administration; Management
06Resources, workflows, human or project management, e.g. organising, planning, scheduling or allocating time, human or machine resources; Enterprise planning; Organisational models
063Operations research or analysis
0639Performance analysis
06393Score-carding, benchmarking or key performance indicator [KPI] analysis
G06Q 10/105
GPHYSICS
06COMPUTING; CALCULATING; COUNTING
QDATA PROCESSING SYSTEMS OR METHODS, SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES, NOT OTHERWISE PROVIDED FOR
10Administration; Management
10Office automation, e.g. computer aided management of electronic mail or groupware
105Human resources
G06Q 30/0185
GPHYSICS
06COMPUTING; CALCULATING; COUNTING
QDATA PROCESSING SYSTEMS OR METHODS, SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL, SUPERVISORY OR FORECASTING PURPOSES, NOT OTHERWISE PROVIDED FOR
30Commerce, e.g. shopping or e-commerce
01Customer relationship, e.g. warranty
018Business or product certification or verification
0185Product, service or business identity fraud
Applicants
  • AON GLOBAL OPERATIONS SE, SINGAPORE BRANCH [SG]/[SG]
Inventors
  • AKEY, Rian
  • HARRISON, Ryan
Agents
  • SPRUSON & FERGUSON (ASIA) PTE LTD
Priority Data
62/905,60525.09.2019US
62/923,68621.10.2019US
Publication Language English (EN)
Filing Language English (EN)
Designated States
Title
(EN) SYSTEMS AND METHODS FOR AUTOMATING OPERATIONAL DUE DILIGENCE ANALYSIS TO OBJECTIVELY QUANTIFY RISK FACTORS
(FR) SYSTÈMES ET PROCÉDÉS D'AUTOMATISATION D'ANALYSE DE VÉRIFICATION AVANT UTILISATION, PERMETTANT DE QUANTIFIER OBJECTIVEMENT DES FACTEURS DE RISQUE
Abstract
(EN)
Systems and methods for objectively conducting an operational due diligence (ODD) assessment of an investment vehicle manager's operations include providing, to each of a population of managers, an electronically-fillable questionnaire including a number of questions regarding risk factors, each risk factor belonging to one of a number of practice aspects, each question requiring selection from a number of standardized answer options. The answers collected from the number of managers may be combined to identify a propensity for exhibiting each of the number of risk factors across portions of the manager population. Each manager may be benchmarked against the propensity of manager population(s) to provide an objective assessment of manager performance and, in combination, portfolio performance in relation to real world common practices. Results of analysis and benchmarking may be provided in an interactive report for review.
(FR)
L'invention concerne des systèmes et des procédés permettant de réaliser objectivement une évaluation de vérification avant utilisation (ODD) d'utilisations de gestionnaire de moyens de placement comprenant la fourniture, à chacun des gestionnaires d'une population de gestionnaires, d'un questionnaire à compléter électroniquement comprenant un certain nombre de questions concernant des facteurs de risque, chaque facteur de risque appartenant à l'un des aspects d'un certain nombre d'aspects pratiques, chaque question nécessitant une sélection parmi un certain nombre d'options normalisées de réponses. Les réponses collectées à partir du nombre de gestionnaires peuvent être combinées pour identifier une propension à présenter chacun des facteurs du nombre de facteurs de risque à travers des parties de la population de gestionnaires. Chaque gestionnaire peut être comparé vis-à-vis de la propension des populations de gestionnaires pour fournir une évaluation objective des performances de gestionnaires et, en combinaison, des performances de portefeuille par rapport à des pratiques communes de monde réel. Les résultats d'analyse et de comparaison peuvent être fournis dans un rapport interactif pour examen.
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