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

  • 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 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.

  • 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.

  • Protegent Trading Compliance (PTC)

    A Web-based surveillance, supervision, and management reporting tool that provides a complete view of an order’s lifecycle.