Protegent Surveillance from SunGard represents a combined solution for enterprise-wide supervision and compliance management, specifically within trade and account review processes. SunGard’s automated supervision system empowers financial institutions to detect, prevent and document potential regulatory violations. Firms can monitor trading activity of the following products: equities, options, fixed income, mutual funds, ETFs, structured products, futures & commodities, fixed and variable annuities, equity indexed annuities, term and whole life.
- Protegent Surveillance can be easily integrated with Protegent Compliance platform, Trade Review, Account Review, Rep Review, Anti-Money Laundering, Audit.
- Protegent Surveillance assists in detection of the following issues: commissions, concentration, suitability, licensing, breakpoints, AML, restricted holdings and many others.
- Customized alert library consists of more than 160 configurable alerts.
- Support of personal and shared watch lists is also available.
- Regularly updated with the latest regulatory changes.
- Speeds up field supervision processes and field audits.
- Helps to react quickly to regulatory and legal inquiries.