Protegent Surveillance

Protegent Surveillance is a proven compliance solution suite that helps financial services firms mitigate reputational, internal and regulatory risks. With Protegent Surveillance, firms can detect suspicious trading activity and address supervision and suitability requirements. The solution helps firms identify questionable transactions and high-risk positions, streamline review processes, support audits and respond quickly to regulatory and legal inquires. Protegent Surveillance helps firms detect a broad range of issues including commissions, concentration, suitability, licensing, breakpoints, market manipulation, AML, restricted holdings and insider trading activity. Deployment options include a full in-house implementation or a SunGard hosted ASP service module.

Features

  • Identifies questionable transactions and positions
  • Supports issue resolution workflow using a robust alert management functionality
  • Provides alert scoring with justification and auto escalation
  • Easily integrated with all data source systems
  • Provides surveillance for global multi-asset market data
  • Easily accessible web-based user interface
  • Allows personal and shared watch lists
  • Provides flexible and dynamic reporting capabilities

Benefits

  • Automates surveillance and supervision processes
  • Keeps pace with regulatory changes
  • Improves field supervision processes and support field audits
  • Identify, investigate and manage suspicious trading activity
  • Respond quickly to regulatory and legal inquiries

Brochures & Datasheets

  • PDF file [PDF, 942 KB]
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