Protegent Trading Compliance (PTC)
SunGard Protegent Trading Compliance is a Web-based surveillance, supervision, and management reporting tool that provides a complete view of an order’s lifecycle, including cancel, routes, and executions, for your firm’s institutional equity trading desk. The alert-driven solution is supported by a comprehensive time and sales database that assists your compliance personnel in monitoring and managing equity trading activity. Protegent Trading Compliance also automatically generates a report of every update, providing a complete audit trail.
Features
- Displays a complete view of an order’s lifecycle
- Generates daily blotter reviews
- Produces automatic record of every update
- Offers detailed internal investigation capabilities
- Provides a reporting facility to satisfy FINRA OATS and NYSE OTS
Benefits
- Provides support when responding to audits and regulatory inquiries in a timely manner
- Allows users to generate documentation of issues and actions taken
- Simplifies the investigation process down to the individual transaction level
- Alleviates data storage requirements for individual firms
- Protects access to information with permissions-based controls