Protegent
SunGard Protegent’s compliance, surveillance and supervision solutions offer your organization greater visibility into potential risk factors while increasing regulatory transparency. From employee personal trade monitoring and registered representative surveillance/suitability testing to AML and Reg NMS requirements, SunGard Protegent provides solutions to both buy- and sell-side firms to help:
- Identify problems before they become a pattern
- Monitor and manage employee trading activity
- Recognize questionable transactions and positions, improve field supervision processes and audits client and account activity
- Facilitate and expedite the opening of new brokerage and non-brokerage accounts
What We Offer
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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.
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Protegent PTA
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.
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Protegent Surveillance
A suite of software for brokerage compliance that addresses the complex surveillance and suitability needs of a financial services institution to help a firm mitigate internal and regulatory risk.
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Protegent Trading Compliance (PTC)
A Web-based surveillance, supervision, and management reporting tool that provides a complete view of an order’s lifecycle.