FIS Compliance Suite

Formerly Protegent

Gain oversight of all regulatory compliance risks and mitigate potential consequences

Get in touch

Helping Compliance Teams See More and Do More

FIS® Compliance Suite (formerly Protegent) is a scalable platform that solves multiple regulatory challenges, including anti-money laundering and communications surveillance. It leverages artificial intelligence and machine learning to help you stay ahead of regulations and provides full transparency into your risks for more confident decisions.

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® Compliance Reporting Manager (formerly Protegent CAT) helps broker-dealers comply with Consolidated Audit Trail while increasing transparency. It efficiently collects, normalizes, validates, transmits and maintains reportable events in one central forensics repository.

Benefits
Harness the power of big data analytics for more business value
Be secure with a proven partner with industry leading stringent controls
Mitigate potential scrutiny and fines with pre-submission simulation
Learn more

FIS® Market Surveillance Manager (formerly Protegent Market Abuse) provides comprehensive surveillance for insider trading and market manipulation

Benefits
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
Tell Me More

FIS® Employee Compliance Manager (formerly Protegent Personal Trading Assistant) 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

Benefits
Helps ensure compliance with regulatory requirements and individual firm mandates
Reduces compliance paperwork and streamlines workflows
Improves visibility into employee personal trading
Learn more

FIS® AML Compliance Hub with C3 AI transforms your financial crime detection with machine learning so you can accurately identify, prioritize and report suspicious activity while reducing false positives.

Benefits
Follow suspicious behavior from source to true Suspicious Activity Report (SAR)
Minimize false positive alerts by up to 85%
Increase SAR identification as much as 200%
Explore It Now

FIS® Communications Compliance Manager with Shield uses natural language processing and artificial intelligence to rapidly and accurately perform content and context analysis of all communication types.

Benefits
Respond effectively to compliance risks
Streamline communications compliance with natural language processing and AI
Integrate your surveillance with a behavioral modeling module
Explore it Now

FIS® Supervision Compliance Manager (formerly 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

Benefits
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
Learn More

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

Benefits
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
See More

RISE Subscription

Enjoy a competitive advantage with industry insights and leading perspectives delivered to you as you wake up.