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Product/Service Description

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. 

Customer Overview

Total Number of customers undisclosed
Customer Size Large Enterprise, Medium, SMB
Customer Type Central Banks, Commercial Banks, Corporates, CSD/CCP Officials, Financial Consultants and Auditors, Fund Managers, FXs, Hedge Fund Administrators, Investment Banks, Investment Consultants/Independent Investors, Mutual Fund Administrators, Prime Brokers & Dealers, Securities Lending & Financing Organizations
Target Market Africa, Asia, Australia/New Zealand, Europe, Global, North America, South America
Specific geographical coverage undisclosed
undisclosed
Demo & Case Study Urls

Features

  • 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.

Benefits

  • Regularly updated with the latest regulatory changes.
  • Speeds up field supervision processes and field audits.
  • Helps to react quickly to regulatory and legal inquiries.

Platform & Workflow

Server OS undisclosed
Workstation OS undisclosed
Programming Language and API undisclosed
SetUp and Installation Options undisclosed
Deployment Period undisclosed
Reporting Capabilities Depending on the modules the user connects to Protegent it is possible to benefit from integrated dashboard component; standard reports to view and download such as Excel, PDF, XML, or delimited text formats.
Security Options Protegent Surveillance’s Audit module provides increased visibility to address security, risk and compliance challenges. Audit module delivers firm – wide information on client positions, balances, transactions, and activity statistics, aggregated across
The product/service compliant with the following regulatory standards FATCA, MIFID

Connectivity, Hosting and Integration

Hosting Option Hosted by provider, Inhouse
Hosting provider undisclosed
Devices Supported undisclosed
Compatibility with Database Management System (DBMS) SAP®, Sybase® IQ
Third party integration undisclosed

Support Services

Support Option Online Support, Phone Support

Alternatives

Media Coverage (Quick Links)

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