FIS Trading Compliance Manager

Formerly Protegent Trading Compliance

Maintain the highest of standards in trading compliance obligations


Mitigate Reputational Risk and Focus on Profitability

FIS® Trading Compliance Manager (formerly Protegent Trading Compliance) is a multi-asset web-based surveillance solution that’s designed to alert sell-side firms to potential violations occurring in the marketplace, assist in supervisory controls and support management reporting.

Trading Compliance Manager provides a complete view into an order’s life cycle, driven by alerts and supported by comprehensive market data and client data warehouses. As a result, you can more efficiently manage daily reviews, post-trade analysis, RegNMS compliance, and general trading compliance and supervision.

FIS Can Help

Discover a multi-asset Web-based trading compliance that meets your compliance obligations

Mitigate Risk and Focus on Profitability

Control reputational risk and keep profitability at the forefront with a proactive approach

Improve Quality While Reducing Costs

Rely on our data warehousing to improve execution data while avoiding storage costs

Take Control

Limit access with a permission-based system that securely maintains sensitive information

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