Protegent Surveillance

Protegent Surveillance assesses transactions and account data to provide real-time review and account monitoring. It contains regulatory-required baseline rules for mutual funds, equities, options, fixed income products, unit investment trusts, annuities, and life insurance. Protegent Surveillance also provides surveillance reports for a firm’s review. The solution uses a complex yet customizable rule base to identify issues with a variety of transactions and accounts.

Features

  • Automates surveillance and supervision
  • Identifies questionable transactions and positions
  • Provides alert scoring with justification
  • Features auto escalation
  • Allows personal and shared watch lists
  • Provides historical data snapshots
  • Includes statistical reporting

Benefits

  • Keeps pace with regulatory changes
  • Extends domain expertise
  • Automates surveillance and supervision
  • Identifies questionable transactions and positions
  • Improves field supervision processes and support field audits
  • Allows you to respond quickly to regulatory and legal challenges
  • Protegent Account Review Module

    A tool to automate surveillance of accounts to verify client suitability, identify questionable activity, measure and rank account risk, and respond to regulatory and legislative changes.

  • Protegent Anti-Money Laundering Module

    A system that detects and flags for review transaction patterns indicative of potentially suspicious activity in conjunction with a customer’s profile, based on government guidelines.

  • Protegent Audit Module

    A tool that helps senior managers and supervisors to perform remote field audits and sales practice reviews across the organization.

  • Protegent Synapse Workbench

    A platform and database independent development tool that allows non-technical business users to rapidly add, modify, test and deploy rules without programmer involvement.