Our employee personal trading software can capture, report and monitor all of your employees personal trading compliance activities in the most efficient and cost effective approach, ensuring you are in accordance with industry regulations and your firms policies and procedures. Risk and compliance protegent trading compliance in todays increasingly complex regulatory environment. Protegent pta spans all areas of personal trading, from preclearance authorization through posttrade reconciliation and reporting, to help ensure comprehensive, documented compliance for any firm. Sig, has extended its relationship with sungards protegent trading compliance. Employee personal trading software mycomplianceoffice. Comprehensive pretrade and posttrade compliance solutions for multiasset buyside asset managers our privacy policy describes how fidessa uses cookies on our website. Personal securities account management provides robust capabilities to effectively capture, monitor and report on employee personal trading activities.
Rex gooch, vice president of product strategy for sungards protegent solution, talks about the development of the protegent compliance platform. American capital strategies selects sungards protegent for. New york, ny vocus june 25, 2009 floridabased park financial group, a full service brokerage firm specializing in equity trading, execution services and corporate finance, has expanded. Evaluating rules around crossing trades and wash sales, counterparty trade volume and extended settlement dates are part of sentinel trading compliance. Sungards suite of trading solutions helps customers reduce latency and improve execution across multiple platforms, instruments and geographies. Convergepoint policy management software is ranked 23rd in grc while fis protegent is ranked 19th in grc. Susquehanna financial group, lllp sfg, the institutional brokerdealer member of the susquehanna international group of companies sig, has extended its relationship with sungards protegent trading compliance as the firms platform for trading compliance of its institutional equities tradin. Protegent policy manager is powered by access compliance from cfm partners, a provider of knowledgebased governance, risk and compliance grc solutions since 1995. Protegent compliance platform protegent trading compliance is a webbased surveillance application designed to alert users of potential violations occurring in the marketplace, assist in supervisory controls and support management reporting. On the other hand, convergepoint policy management software is most compared with compliance 360, navex global and nasdaq bwise, whereas fis protegent is most compared with compliance 360 and rsa archer. Thomson financial announces partnership with protegent, inc. Top 9 vendors in the global trade management software market. Store user information online for three years, with an additional four years of storage on tape.
I had to tell the trader what to do i had two minutes. Park financial group expands relationship with sungard. Three weeks into my job as compliance officer on the trading floor i am sitting at my desk. Protegent surveillance consolidates data from disparate trading and transaction processing systems to provide compliance officers with the ability to efficiently manage and automate.
Sungard protegent aml software solutions product highlight. He opened the door and immediately a trader shouted. On the other hand, convergepoint policy management software is most compared with compliance 360, navex global. Personal securities account management leverages regeds powerful platform capabilities to automate and streamline the time consuming supervision and reporting of personal trading accounts intuitive. It helps give financial institutions transparency into their data while helping them to enforce and document their compliance policies and procedures. Codes transactions with flags to indicate suitability or nonsuitability for the client. Keybanc selects sungards brass oms, assent liquidity. I remember the first time my compliance boss took me to the trading floor. Even a minor mistake can have devastating effects for your business. Susquehanna financial group extends its relationship with sungards protegent trading compliance external image susquehanna financial group, lllp sfg, the institutional brokerdealer member of the susquehanna international group of companies sig, has extended its relationship with sungards protegent trading compliance as the firms. Store user information online for three years, with an. Use of technology and software in mifid ii compliance programs. Review of sungards protegent compliance platform recently, we published our annual list of the top aml software solutions for financial services firms. Scila surveillance is a turnkey market surveillance solution for exchanges, trading participants and regulators that seeks to apply modern technology to obtain a seamless route from early detection of.
Vigilante best insider trading software compliance. By automating the management of personal trading activities, firms can have confidence they are embedding bestpractices in their compliance program. Oct 23, 2006 protegent surveillance consolidates data from disparate trading and transaction processing systems to provide compliance officers with the ability to efficiently manage and automate the compliance. Sungards protegent suite of compliance solutions was one of the platforms included in our list of the best antimoney laundering aml compliance tools. As we move closer to the expected implementation date in january 2017, how would you describe the impact that mifid ii will have on the internal. Founded in 2000, protegents unique platform technology drives a suite of customizable, prepackaged software products. Review of sungards protegent compliance platform advisoryhq.
Apr 07, 2016 17a4 llc provides designated 3 rd party services for hundreds of broker dealer clients. Protegent trading compliance is a webbased surveillance application designed to alert users of potential violations occurring in the marketplace, assist in supervisory controls and support management reporting. Park financial group expands relationship with sungard with. Keybanc also renewed its commitment to sungards brass order management system oms and protegent trading compliance ptc solution. Spearheaded implementation and testing of protegent personal trading assistant pta software, reducing costs and allowing better oversight and reporting of colleague activities. Top 9 vendors in the global trade management software market from 20162020. The right software will keep you organized, efficient, and ahead of all requirements, so you can reduce the time and money spent on compliance. This webbased application provides a complete view into an orders life cycle through an alertdriven solution supported by comprehensive market data and client data warehouses. If you continue using our website, you are consenting to our use of cookies. Introductionpurpose as a global financial institution, the bank of new york mellon corporation and its subsidiaries the company.
The software enables easier and more effective oversight. The addition of protegent trading compliance further strengthens the suite of. We are delighted to offer our clients a premier compliance solution through this strategic partnership with protegent, said william oconor, managing director, retail wealth management, thomson. The latest release of protegent pta, an employee trading and code of ethics compliance solution, provides rule logic to help firms monitor and prevent short selling of securities of the publicly. Aug 08, 2011 sungard launches protegent policy manager for managing compliance policy and education. It helps the trading companies to effectively manage the import and export of. We are continuously comparing our procedures against the changing regulatory environment to simplify, rather than complicate, the compliance. Susquehanna financial group, lllp sfg, the institutional brokerdealer member of the susquehanna international group of companies sig, has extended its relationship with sungards protegent. Personal securities trading policy january 15, 2019 page 1 a. The right software will keep you organized, efficient, and ahead of all requirements, so you can reduce. Contact us, and let us help you find the best compliance solution for your business. Descartes customs compliance software solutions enabling compliance for all modes of transportation and participants across the global supply chain the dynamics of global trade changed dramatically in the aftermath of 911 and since this tragic event, the u.
Spearheaded implementation and testing of protegent personal trading assistant pta software. Protegent 360 antivirus is an award winning complete security software comes with advanced features which provide extremely robust protection against advanced online threats. The enablon regulatory compliance management software solution enables companies to understand what regulations, policies and obligations are applicable to them globally or at the site level, and enables them to manage changes to applicable regulations, helping eliminate compliance deviations and non compliance risks. Vigilante trading software which gives you an automated solution for centrally manage and track compliance pertaining to insider trading and insider trading tracking, compliance control and tracking, set up trading policy, announces opening and closing of trading windows, preclearance approval, capture trade details. Best execution order routing and execution the protegent trading compliance best execution module helps you meet your fiduciary obligations while improving your competitive advantage. Nice actimize describes trade surveillance as the solution for the life cycle of prohibited trading and related communications given its ability to find relevant news events, use machinereadable data to get a sense of news, and then sweep trading activity to determine suspicious trading behavior. The protegent trading compliance best execution module helps you meet your fiduciary obligations while improving your competitive advantage. The benefits of sungards protegent compliance platform. Fw speaks with magnus almqvist, senior product specialist at sungard, about the use of technology and software in mifid ii compliance programs.
Protegent trading compliance also provides the tools to monitor, research, and react to regulatory inquiries in a timely fashion. Park financial also uses sungards brass order management system oms for market making, agency and proprietary trading. May 23, 20 rex gooch, vice president of product strategy for sungards protegent solution, talks about the development of the protegent compliance platform. Scila surveillance is a turnkey market surveillance solution for exchanges, trading participants and regulators that seeks to apply modern technology to obtain a seamless route from early detection of market abuse to presentable evidence. Aside from these specific features, the advisory firm gartner notes in their market guide for corporate compliance and oversight solutions that one of the most important functions of compliance software.
Compliance management software is a program used to continually track, monitor, and audit whether business processes are aligned with applicable laws, organizational policies, and the standards of consumers and business partners. Sungards protegent pta is an automated solution that helps streamline the compliance process for personal trading in a wide range of industries. Benefit from access to the market data tick database for all securities. Descartes customs compliance software solutions enabling compliance for all modes of transportation and participants across the global supply chain the dynamics of global trade changed dramatically in. Scila solutions for market surveillance and compliance. He left to become coo and compliance manager at city index limited for five years and in 1997 became a founder director of trading compliance limited. Vendormatch celent experts in financial services technology. Federal government has passed regulations designed to protect its borders and ensure. Customs compliance software customs software trade.
Brokeraudit, coreaudit, agentaudit, and employeeaudit. American capital will use protegent to better manage and automate various aspects of its employee facing compliance requirements. Sungard launches protegent policy manager for managing. Fis protegent is a suite of solutions that help automate financial institutions compliance processes. Introductionpurpose as a global financial institution, the bank of new york mellon corporation and its subsidiaries the company are subject to certain laws andor regulations governing the personal trading of securities as hereinafter defined. Software platform ancoa financial message monitoring bloomberg component analytics vault, professional analytics, search, storage bnext platform capital markets compliance cmc suite bt. View bryan espositos profile on linkedin, the worlds largest professional community. American capital strategies selects sungards protegent. As part of plans to enhance its product offerings, global software giant sungard has acquired dataware solutions, a provider of employee trading compliance software to financial institutions. The software provides significant savings on costs of a firms compliance program with automation. Compliance officers must manage vast, disparate data and processes to comply with everchanging global trading regulations, often against tight deadlines. Protegent buy antivirus for laptop and desktop computers. To help susquehanna financial group maintain its high standards with regard to regulatory compliance. Sungards protegent surveillance, a software application for.
Susquehanna financial group extends its relationship with. Protegent compliance platform protegent trading compliance is a webbased surveillance application designed to alert users of potential violations occurring in the marketplace, assist in supervisory. He is responsible for presales of the protegent market abuse and protegent pta. Jun 25, 2009 floridabased park financial group, a full service brokerage firm specializing in equity trading, execution services and corporate finance, has expanded its relationship with sungard with the addition of protegent trading compliance for best execution and regnms 605, 606 and 611 reporting. From 1998 to 2007 he was ceo of three retail derivatives brokers, founding two of them and has held cf1, cf3, cf10 and cf11 roles. Bryan esposito vice president vp, ethics office anti. Sungards protegent assists financial services firms in. Oct 15, 2009 keybanc also renewed its commitment to sungards brass order management system oms and protegent trading compliance ptc solution. Magnus almqvist is a senior product specialist for protegent, sungards compliance business for the capital markets. Greenwich, ct indata, the provider of software and services for buyside firms, has announced that kiltearn partners. Convergepoint policy management software is rated 0, while fis protegent is rated 0. We are continuously comparing our procedures against the changing regulatory environment to simplify, rather than complicate, the compliance process. Regulatory compliance software the enablon regulatory compliance management software solution enables companies to understand what regulations, policies and obligations are applicable to them. The solution covers all asset classes and market models and has been deployed for over 50 clients in 17.