Give us a Call +1 (720) 515-1377

SunGard, one of the world’s leading ERP software and technology services companies, has developed the Protegent Compliance Platform, a new consolidated technology platform to help financial firms achieve competitive advantages by streamlining their regulatory compliance management.

A common platform can help firms use their compliance technology budgets more efficiently, enabling them to keep up with industry changes while continuing to effectively mitigate increasingly complex regulatory risks. SunGard’s Protegent Compliance Platform’s integrated core components help firms reduce the time and resources required for implementation, support and training while increasing compliance visibility of key data through a single, consolidated interface. The web-based Protegent Compliance Platform addresses the needs of global organizations by providing multi-language and multi-time zone capabilities while also positioning the applications for use on mobile and tablet devices.

SunGard’s Protegent Compliance Platform seamlessly integrates existing Protegent compliance solutions across several common functions such as workflow, hierarchy, role and entitlement assignment, ad hoc and dashboard reporting, and system administration. SunGard’s Protegent solutions for compliance help firms manage:

  • Market abuse and insider trading
  • Personal trading and conflicts of interest
  • Sales practice review
  • Best execution
  • Trade cost analysis
  • Policy management
  • Social media surveillance
  • Customer onboarding

Sang Lee, managing partner, Aite Group, said, “The nature of new regulations is leading firms to rethink their organizational structures, business processes, and underlying technology architectures. Investing in a consolidated compliance technology framework could greatly enhance firms’ ability to keep pace with rapidly changing regulatory demands, thereby helping enable these firms to re-focus on identifying new revenue opportunities and staying ahead of the competitive curve.”

Steve Sabin, chief operating officer, SunGard’s Protegent business, said, “SunGard’s consolidated Protegent Compliance Platform helps our customers achieve a competitive advantage by being able to respond more quickly to regulatory inquiries and audits such as providing evidence of review and other requested data without causing a costly and disruptive drain in resources.”

About SunGard’s Protegent

SunGard’s Protegent is a suite of solutions that help automate financial institutions’ compliance processes. It helps give financial institutions transparency into their data while helping them to enforce and document their compliance policies and procedures. Protegent’s solutions cover social media review, personal trading oversight, market abuse, Reg NMS, Order Audit Trail System (OATS), and transaction supervision and surveillance review.