FIS Compliance Suite

Formerly 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® 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


Automate regulatory risk detection to improve efficiency


Mitigate potential regulatory compliance issues before they become a problem


Manage workflows and provide evidence of review for auditors and regulators

Dig into the Solution Suite

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

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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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

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

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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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

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

Automates surveillance and supervision review processes
Promotes internal policy enforcement, training and education
Ensures regulatory compliance
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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

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

Gather information and consider suitability pre-sale
Propose and compare options at point of sale
Monitor transactions post-sale
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Suscripción a RISE

Disfrute de una ventaja competitiva con los conocimientos del sector y las perspectivas líderes que le entregamos al despertarse.