Protegent Sales Practice Review
Protegent Surveillance Sales Practice Review offering helps brokerage firms, banks and insurance
companies identify questionable transactions and positions, improve field supervision processes, support field audits, and respond quickly to regulatory and legal challenges by
analyzing account activity and client profiles against firm defined policies and procedures. Alerts detect and score trades based on the baseline library of alerts within the application. Alerts are highly configurable so firms can manage their compliance workloads and detect those issues that are of highest concern.
Features
- Provides alert scoring with justification
- Features auto escalation
- Allows personal and shared watch lists
- Provides historical data snapshots
- Includes statistical reporting
- Web-based user-interface
Benefits
- Keeps pace with regulatory changes
- Automates surveillance and supervision
- Support Books and Records regulatory requirements
- Support regulatory audits and manage inquiries
- Real-time access to transaction and account information, reports, and alert results.