Protegent PTA
Protegent Personal Trading Assistant (PTA) is a browser-based application that automates compliance with personal trading regulations. Supported regulations include SEC Rules 17j-1 and 204a-1, the FINRA regulation pertaining to employee activities, Investment Company Institute recommendations, Sarbanes-Oxley, and a firm’s specific code of ethics. PTA spans all areas of personal trading from pre-clearance authorization through post-trade reconciliation and reporting to help ensure comprehensive, documented compliance for firms subject to personal trading regulations and mandates.
Features
- Offers fully automated pre-clearance process, manual pre-clearance or a custom combination
- Allows for the definition of individual user roles as well as user groups
- Supports a variety of certifications
- Saves and exports reports in either Adobe PDF or Microsoft Excel (.csv) format
- Blends seamlessly due to pre-integration with multiple adjunct systems
Benefits
- Simplifies compliance process and reduces paperwork
- Provides complete control over a rules validation engine, allowing for detailed customization
- Retrieves reports quickly and easily
- Offers expert resources through PTA’s Support Services