SunGard’s Protegent provides firms greater visibility into potential risk factors while increasing operational efficiency and regulatory transparency. SunGard’s Protegent suite of integrated and automated solutions help simplify the complex nature of market abuse surveillance, staff personal trading tracking, conflicts management, customer onboarding and new account opening, social media administration, firm policy management and education, sales practice review, institutional trade monitoring and commissions processing. By utilizing one trusted partner, firms can efficiently mitigate compliance risks and lower total cost of ownership. Protegent solutions help firms to:
- Identify patterns of trading behaviour across multiple assest classes that may be an indication of market manipulation or illegal insider trading before these can compromise the firm’s reputation
- Fully administer the entire staff personal trading process to ensure conflicts of interests are managed appropriately
- Manage and mitigate conflicts between lines of business within the organization
- Streamline initial and ongoing customer due diligence, KYC and AML processes
- Facilitate and expedite the opening of new brokerage and non-brokerage accounts
- Establish policy that leverages social media as a viable and effective means of customer outreach
- Keep up with the changes in the regulatory environment and ensure that relevant staff are in step via policy dissemination and continuing education
- Ensure trade monitoring compliance with regulatory requirements such as Reg NMS, OATS and OTS reporting
- Create efficiencies in commissions processing to help ensure proper payouts and payment holds
What We Offer
A complete solution that supports the compensation processing and compliance functions for sell-side retail brokerage firms.
Protegent Customer Onboard
A solution to facilitate and expedite the opening of new brokerage and non-brokerage accounts, providing a single point of entry and a high level of automation to distinct account types across multiple back-end applications.
Protegent Policy Manager
Protegent Policy Manager is a comprehensive solution that enables firms to implement and manage compliance policy and education requirements.
A browser-based application that automates compliance with a variety of personal trading regulations and a particular firm’s code of ethics, spanning all areas of personal trading.
Protegent Social Media Surveillance
An automated Web-based solution that enables firms to monitor and archive activity and content posted to social networking sites.
A solution suite that helps firms mitigate regulatory risk by detecting suspicious trading activity and addressing supervision and suitability compliance needs.
Protegent Surveillance for Market Abuse
Protegent Surveillance for Market Abuse helps financial services firms manage issues related to market manipulation and illegal insider trading through multi-asset class, multi-jurisdictional automated and forensic investigative capabilities combined with comprehensive workflow and case management tools.
Valdi Trading Compliance
A Web-based surveillance, supervision, and management reporting tool that provides a complete view of an order’s lifecycle.