Financial markets regulators are increasing mandates and guidelines for managing employee personal account dealing. Protegent PTA helps firms adhere to FSA, FINRA and SEC regulatory guidelines by providing end-to-end personal trading surveillance, from pre-clearance authorization to post-trade reconciliation and reporting. With Protegent PTAâs automated surveillance tools, multi-national firms like Henderson Global Investors can streamline employee surveillance workflow processes and gain visibility into employee activity across their global workforce.
Andrew Vasenden, compliance manager, Henderson Global Investors, said, âSunGardâs Protegent PTAâs automated surveillance capability helps us monitor employee personal dealing and manage internal code of conduct guidelines. We leverage Protegentâs global support and product teams to help increase firm-wide transparency and protect against potential financial and reputational risks.â
Steve Sabin, chief operating officer of SunGardâs Protegent business unit, said, âSunGardâs Protegent PTA helps multi-national customers, like Henderson Global Investments, improve visibility into employee account activity and reduce exposure to possible regulatory and operational risk exposure.â