FIS Compliance Suite

FIS’ 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. For more information, please visit www.FIS.com/protegent

Protegent’s suite of solutions includes:

• Protegent Surveillance: helps you mitigate reputational, internal and regulatory risk. You can detect suspicious trading activity and address supervision appropriateness and suitability requirements. The solution also helps you identify questionable transactions and high risk positions, streamline review processes, support audits, and respond to regulatory and legal inquires quickly.
• Protegent Personal Trading Assistant (PTA): automates compliance with personal trading regulations. A browserbased application, Protegent PTA spans all areas of personal trading, from pre-clearance authorization through posttrade reconciliation and reporting, to help ensure comprehensive, documented compliance for firms that are subject to personal trading regulations and mandates.
• Protegent Market Abuse: combines the benefits of a comprehensive, off-the-shelf solution with the flexibility of a custom-built solution. It delivers an extensive out-of-the-box rule library that is built upon years of industry experience. Compliance users who are closest to the issues can fine tune the application to meet their changing needs.
• Protegent Trading Compliance: alerts sell-side firms to potential violations occurring in the marketplace, assists in supervisory controls and supports management reporting. This web-based application provides a complete view into an order’s life cycle through an alert-driven solution supported by comprehensive market data and client data warehouses. Daily reviews, post-trade analysis, Best Execution compliance and general trading compliance become more efficient.
• Protegent Compliance Platform: allows you to reuse common components instead of developing or integrating individual components. You can save time and money while giving your compliance teams a technology package that can scale as your business grows.
• Protegent Customer Onboard: facilitates and expedites the process of opening new brokerage and non-brokerage accounts. Available as a standalone solution or as an integrated component of Protegent Surveillance, it provides a single point of entry for distinct account types across multiple back-office applications. By automating time-consuming manual tasks, Protegent Customer Onboard helps ensure greater regulatory compliance.
• Protegent Social Media Surveillance: enables firms to monitor and archive activity and content posted to social networking sites such as Facebook, LinkedIn and Twitter, with no exception for the device used to make the posts.

FIS’ Protegent Suite of Solutions can help you:

• Identify patterns of trading behavior across multiple asset classes and across markets that may indicate market manipulation or illegal insider trading before they can compromise the firm’s reputation
• Ensure trade monitoring compliance with regulatory requirements such as MiFID II Best Execution, Reg NMS, OATS and OTS reporting
• Administer and automate the entire staff personal trading process including restricted list management to ensure that conflicts of interests are managed appropriately
• Streamline initial and ongoing customer due diligence, suitability and appropriates checks, Know Your Customer and anti-money laundering processes
• Expedite the opening of new brokerage and non-brokerage accounts
• Establish policies to help you use social media for customer outreach
• Manage and mitigate conflicts between lines of business
• Keep staff up-to-date with changes in the regulatory environment
• Create efficiencies in commissions processing to help ensure proper payouts and payment holds