Compliance officers must manage vast, disparate data and processes to comply with ever-changing global trading regulations, often against tight deadlines. FIS™’ Protegent suite of compliance solutions increases visibility across operational data, highlights risk areas for financial crime compliance and integrates workflows for evidence of review. This provides compliance departments with more transparency and efficiency.
The process for opening new brokerage and nonbrokerage accounts must involve more than just opening the accounts if the goal is higher open rates, greater broker satisfaction and risk mitigation. Protegent Customer Onboard trading compliance software automates time-consuming manual tasks, reduces training time and ensures greater regulatory compliance.
Many firms subject to personal trading mandates have to contend with a complex compliance process and excessive paperwork. FIS™’ Protegent Personal Trading Assistant (PTA), a web-based trading compliance software application, automates compliance with personal trading regulations covering the full spectrum of regulatory agencies, self-regulating organizations and your internal code of ethics and policies.
With mounting global compliance risks, comprehensive compliance solutions and market abuse software tools are necessary to address market manipulation and insider trading concerns. Protegent Surveillance for Market Abuse provides the holistic monitoring, detection and resolution tools needed, combining the benefits of a comprehensive, off-the-shelf compliance solution with the adaptability of custom-built market abuse software.
Always on the lookout for questionable transactions and high-risk positions, sell-side retail brokerage firms need an enterprise trade surveillance tool to meet mounting regulatory requirements. Protegent Surveillance trading compliance software detects suspicious trading activity and addresses supervision and suitability requirements across the enterprise, helping you mitigate reputational, internal and regulatory risks.
Sell-side firms need to meet strict regulatory reporting requirements on large volumes of data every day. Protegent Trading Compliance, a multiasset software solution, provides a complete view into an order’s life cycle through alert-driven, intraday trade surveillance tools and regulatory reporting capabilities supported by comprehensive market data and client data warehouses.