FIS Protegent

Gain oversight of all regulatory compliance risks and mitigate potential consequences

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Helping Compliance Teams See More and Do More

FIS™ Protegent helps compliance officers cope with increasing data volumes, understand more sophisticated product risks, stay ahead of evolving regulations and rapidly respond to ongoing demands from auditors and regulators.

By utilizing one trusted partner to achieve greater transparency and detection, you can efficiently monitor and take appropriate actions to mitigate compliance risk while lowering your total cost of ownership (TCO).

FIS Can Help

The largest and most configurable alert libraries available… out of the box

Detect

Automate regulatory risk detection to improve efficiency

Act

Mitigate potential regulatory compliance issues before they become a problem

Document

Manage workflows and provide evidence of review for auditors and regulators

Dig into the Solution Suite

FIS™ Protegent Customer Onboard

Protegent Customer Onboard facilitates and expedites the opening of new brokerage and non-brokerage accounts. It helps to ensure compliance with Office of Foreign Assets Control (OFAC) and Anti-Money Laundering (AML) regulations

Vorteile
Available as a stand-alone solution or integrated within Protegent Surveillance
Provides a single point of entry for distinct account types across back-office applications
Detects and mitigates regulatory risks before client accounts are opened
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FIS™ Protegent Market Abuse

Protegent Market Abuse provides comprehensive surveillance for insider trading and market manipulation

Vorteile
Provides an audit trail of all analysis, easing the burden of audits
Combines the benefits of an off-the-shelf solution with the flexibility of a custom-built solution
Can be fine-tuned by users who are closest to the issues
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FIS™ Protegent Personal Trading Assistant (PTA)

Protegent PTA is a browser-based application that automates compliance with personal trading regulations and provides a centralized location to streamline all aspects of employee-facing compliance

Vorteile
Helps ensure compliance with regulatory requirements and individual firm mandates
Reduces compliance paperwork and streamlines workflows
Improves visibility into employee personal trading
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FIS™ Protegent Reg BI

With Protegent Reg BI, you can meet Reg BI’s disclosure, care, conflict of interest and compliance obligations throughout the sales process

Vorteile
Gather information and consider suitability pre-sale
Propose and compare options at point of sale
Monitor transactions post-sale
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FIS™ Protegent Social Media Surveillance

Protegent Social Media Surveillance mitigates reputational, internal and regulatory risk and monitors and archives activity related to social networking sites and corporate Web pages

Vorteile
Automates surveillance and supervision review processes
Promotes internal policy enforcement, training and education
Ensures regulatory compliance
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FIS™ Protegent Surveillance

Protegent Surveillance mitigates reputational, internal and regulatory risk from sales practices issues as well as potential fraud related to high-risk and recidivist brokers, abuse of senior investors, and anti-money laundering

Vorteile
Identifies questionable transactions and high-risk positions
Streamlines review processes, supports audits, and responds to audit inquires
Helps you address future obligations such as the Department of Labor Fiduciary Rule
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FIS™ Protegent Trading Compliance

Protegent Trading Compliance is a Web-based surveillance application that flags potential violations in the marketplace, assists in supervisory controls and supports management reporting

Vorteile
Mitigates risk so that you can focus on profitability
Alleviates the need to calculate execution quality data
Can be used with in-house and third party trading and order management systems
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