FIS Protegent Archived Reviews (More than two years old)

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digital strategist at SMD Services
Jul 02 2012

What is most valuable?

The Protegent surveillance suite of products automates many of the manual financial services / broker dealers compliance processes related to FINRA and the SEC. The suite is comprehensive and fairly easy to implement (depending on your business model and clearing relationships).

What needs improvement?

Custom integration is required as many of these modules are not linked and do not share data easily.

What other advice do I have?

Overall, this is a great product. The ROI is hard to measure as the more information and data you have, the more you want to analyze it and use it....therefore, it is hard to reduce headcount. Also, as new regulations are introduced, more effort is needed to keep up.

What is FIS Protegent?

Compliance officers must manage vast, disparate data and processes to comply with ever-changing global trading regulations, often against tight deadlines. FIS’ Protegent suite of compliance solutions increases visibility across operational data, highlights risk areas for financial crime compliance and integrates workflows for evidence of review. This provides compliance departments with more transparency and efficiency.

Also known as
SunGard Protegent, Protegent
FIS Protegent customers

A Large European Broker, a global asset management firm